ANAPTYSBIO INC
For the period ended Dec 31, 2023. Filed Mar 11, 2024.
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FY2023 · Filed Mar 11, 2024
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Item 15. Exhibits, Consolidated Financial Statement Schedules
(a) The following documents are filed as part of this report:
- Consolidated Financial Statements
See Index to Consolidated Financial Statements under Part II, Item 8 herein.
- Consolidated Financial Statement Schedules
No consolidated financial statement schedules are provided because the information called for is not required or is shown either in the consolidated financial statements or notes thereto.
- Exhibits
EXHIBIT INDEX
| Incorporated by reference | |||||
|---|---|---|---|---|---|
| ExhibitNumber · Description of Document · Form · File No. · Exhibit · FilingDate · FiledHerewith | |||||
| 3.1 | Amended and Restated Certificate of Incorporation, as currently in effect. | 10-Q | 001-37985 | 10.26 | August 7, 2023 |
| 3.2 | Restated Bylaws, as currently in effect. | 8-K | 001-37985 | 3.1 | February 10, 2023 |
| 4.1 | Form of Common Stock Certificate. | S-1 | 333-206849 | 4.1 | December 23, 2015 |
| 4.2 | Description of the Registrant’s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 | 10-K | 001-37985 | 4.3 | March 2, 2020 |
| 10.1* | Form of Indemnity Agreement. | S-1 | 333-206849 | 10.1 | September 9, 2015 |
| 10.2* | Amended and Restated 2006 Equity Incentive Plan and forms of award agreements. | S-1 | 333-206849 | 10.2 | January 17, 2017 |
| 10.3* | 2017 Equity Incentive Plan, and forms of award agreements. | S-1 | 333-206849 | 10.3 | January 17, 2017 |
| 10.4* | 2017 Employee Stock Purchase Plan, and forms of award agreements. | S-1 | 333-206849 | 10.4 | January 17, 2017 |
| 10.5+ | Collaboration and Exclusive License Agreement, dated March 10, 2014, by and among the Registrant, TESARO, Inc. and TESARO Development, Ltd., as amended. | S-1 | 333-206849 | 10.10 | May 10, 2016 |
| 10.6 | Wateridge Lease Agreement. | 10-Q | 001-37985 | 10.16 | May 6, 2020 |
| 10.7* | Amended and Restated Employment Agreement, effective May 8, 2023, by and between the Registrant and Eric Loumeau | 10-Q | 001-37985 | 10.25 | May 11, 2023 |
| 10.8* | Amended and Restated Employment Agreement, effective April 25, 2022, by and between the Registrant and Dennis Mulroy | 8-K | 001-37985 | 10.3 | April 29, 2022 |
| 10.9* | Amended and Restated Employment Agreement, effective April 25, 2022, by and between Registrant and Paul Lizzul | 8-K | 001-37985 | 10.1 | April 29, 2022 |
| 10.10++ | Amendment No. 3 to the Collaboration and Exclusive License Agreement | 10-K | 001-37985 | 10.16 | February 25, 2021 |
| 10.11++ | Confidential Settlement and Modification Agreement dated as of October 23, 2020 | 10-K | 001-37985 | 10.18 | February 25, 2021 |
| 10.12 | First Amendment to Lease Agreement | 10-Q | 001-37985 | 10.19 | August 9, 2021 |
| 10.13‡++ | Royalty Purchase Agreement, dated October 25, 2021, by and between the Registrant and Sagard Healthcare Royalty Partners, LP | 8-K | 001-37985 | 2.1 | December 1, 2021 |
| Incorporated by reference | ||||||
|---|---|---|---|---|---|---|
| ExhibitNumber | Description of Document | Form | File No. | Exhibit | FilingDate | FiledHerewith |
| 10.14 | Amendment No. 4 to Tesaro AnaptysBio Collaboration | 10-K | 001-37985 | 10.19 | March 7, 2022 | |
| 10.15* | Amended and Restated Employment Agreement, effective August 4, 2023, by and between the Registrant and Daniel Faga | 10-Q | 001-37985 | 10.27 | November 2, 2023 | |
| 10.16‡++ | Purchase and Sale Agreement, dated September 9, 2022, by and between the Registrant and DRI Healthcare Acquisitions L.P. | 10-Q | 001-37985 | 10.23 | November 8, 2022 | |
| 10.17 | Sales Agreement, dated November 8, 2022, by and between the Registrant and Cowen and Company, LLC | 10-Q | 001-37985 | 10.24 | November 8, 2022 | |
| 10.18‡++ | License Agreement, dated November 24, 2023, by and between the Registrant and Centessa Pharmaceuticals (UK) Limited | X | ||||
| 10.19‡++ | Amendment No. 5 to Tesaro AnaptysBio Collaboration | X | ||||
| 21.1 | Subsidiaries of the Registrant. | X | ||||
| 23.1 | Consent of KPMG LLP, an independent registered public accounting firm. | X | ||||
| 24.1 | Power of Attorney | X | ||||
| 31.1 | Certification of Principal Executive Officer, pursuant to Rule 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 31.2 | Certification of Principal Financial Officer, pursuant to Rule 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 32.1** | Certification of Chief Executive Officer, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 32.2** | Certification of Chief Financial Officer, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 97 | Policy Relating to Recovery of Erroneously Awarded Compensation. | X | ||||
| 101.INS | XBRL Report Instance Document - The instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. | |||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | |||||
| 101.CAL | Inline XBRL Taxonomy Calculation Linkbase Document | |||||
| 101.LAB | Inline XBRL Taxonomy Label Linkbase Document | |||||
| 101.PRE | Inline XBRL Presentation Linkbase Document | |||||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | |||||
| 104 | Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) | |||||
- Executive compensation plan or agreement.
** This certification is deemed not filed for purpose of section 18 of the Exchange Act or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act.
- Registrant has omitted and filed separately with the SEC portions of the exhibit pursuant to a confidential treatment request under Rule 406 promulgated under the Securities Act.
++ Certain portions of this exhibit have been omitted by means of marking such portions with asterisks because the Registrant has determined that the information is not material and is the type that the Registrant treats as private or confidential.
‡ Exhibits and schedules to this agreement have been omitted pursuant to the rules of the SEC. The Registrant will submit copies of such exhibits and schedules to the SEC upon request.
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