Item 5. Other Information
Item 5. Other Information.
On April 1, 2023, we entered into a consulting agreement with Veer Bhavnagri, our former General Counsel. Pursuant to the consulting agreement, Mr. Bhavnagri provides us with transition and consulting services as reasonably requested from time to time, in exchange for compensation at an hourly rate. The term of the consulting agreement will expire on September 30, 2023.
On April 29, 2023, we entered into a consulting agreement with Alison Moore, Ph.D., our former Chief Technical Officer. Pursuant to the consulting agreement, Dr. Moore provides us with transition and consulting services as reasonably requested from time to time, in exchange for compensation at an hourly rate. The term of the consulting agreement will expire on December 31, 2023.
The foregoing summaries of the consulting agreements are not complete and are qualified in their entirety by the consulting agreements, copies of which are filed as Exhibits 10.1 and 10.2 to this report.
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Item 6. Exhibits.
Exhibit
number
Description of document
3.1 Amended and Restated Certificate of Incorporation of the Registrant (incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K (File No. 001-38693), filed with the SEC on October 15, 2018).
3.2 Certificate of Amendment of Amended and Restated Certificate of Incorporation of the Registrant (incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K (File No. 001-38693), filed with the SEC on June 17, 2022).
3.3 Amended and Restated Bylaws of the Registrant (incorporated by reference to Exhibit 3.2 to the Registrant’s Current Report on Form 8-K (File No. 001-38693), filed with the SEC on October 15, 2018).
4.1 Reference is made to Exhibits 3.1 , 3.2 and 3.3 .
4.2 Form of Common Stock Certificate of the Registrant (incorporated by reference to Exhibit 4.1 to the Registrant’s Registration Statement on Form S-1, as amended (File No. 333-227333), filed with the SEC on October 2, 2018).
4.3 Investors Rights Agreement, dated April 6, 2018, as amended September 5, 2018, by and among the Registrant and certain of its stockholders (incorporated by reference to Exhibit 4.2 to the Registrant’s Registration Statement on Form S-1, as amended (File No. 333-227333), filed with the SEC on September 14, 2018).
10.1 Consulting Agreement, dated April 1, 2023 , by and between the Registrant and Veer Bhavnagri.
10.2 Consulting Agreement, dated April 29, 2023, by and between the Registrant and Alison Moore, Ph.D.
10.3 Employment Letter of Agreement, dated April 18, 2023, by and between the Registrant and Timothy Moore.
31.1 Certification of Principal Executive Officer pursuant to Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as amended.
31.2 Certification of Principal Financial Officer pursuant to Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as amended.
32.1 Certification of Principal Executive Officer and Principal Financial Officer pursuant to Rule 13a-14(b) of the Securities Exchange Act of 1934, as amended, and 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
101.INS XBRL 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 Extension Calculation Linkbase Document.
101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document.
101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document.
101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document.
104 The cover page from the Company’s Quarterly Report on Form 10-Q has been formatted in Inline XBRL.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
Date: May 3, 2023 By: /s/ David Chang
David Chang, M.D., Ph.D.
President and Chief Executive Officer
(Principal Executive Officer)
Date: May 3, 2023 By: /s/ Eric Schmidt
Eric Schmidt, Ph.D.
Chief Financial Officer
(Principal Financial and Accounting Officer)
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Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.