Other Information.
−Removed: On April 1, 2023, we entered into a consulting agreement with Veer Bhavnagri, our former General Counsel.
−Removed: Pursuant to the consulting agreement, Mr.
−Removed: Bhavnagri provides us with transition and consulting services as reasonably requested from time to time, in exchange for compensation at an hourly rate.
−Removed: The term of the consulting agreement will expire on September 30, 2023.
−Removed: On April 29, 2023, we entered into a consulting agreement with Alison Moore, Ph.D., our former Chief Technical Officer.
−Removed: Pursuant to the consulting agreement, Dr.
−Removed: Moore provides us with transition and consulting services as reasonably requested from time to time, in exchange for compensation at an hourly rate.
−Removed: The term of the consulting agreement will expire on December 31, 2023.
−Removed: 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.
+Added: Appointment of Principal Financial Officer
+Added: In connection with the previously announced resignation of Eric Schmidt, Ph.D., from his position as Chief Financial Officer, principal financial officer and principal accounting officer of the Company effective at the close of business August 2, 2023 (CFO Resignation), on August 1, 2023, our board of directors appointed David M.
+Added: Chang, M.D., Ph.D, our current President and Chief Executive Officer and member of the board of directors, as principal financial officer of the Company, to be effective on August 3, 2023..
+Added: Appointment of Principal Accounting Officer
+Added: In connection with the CFO Resignation, on August 1, 2023, our board of directors appointed Jack Chen, our current Vice President and Controller, as principal accounting officer of the Company, to be effective on August 3, 2023.
+Added: Chen, 53, has served as our Vice President and Controller since July 2018.
+Added: Prior to joining us, Mr.
+Added: Chen served as Vice President of Finance, Corporate Controller at Tintri, Inc., a provider of storage systems and data management software, from February 2014 to June 2018.
+Added: Previously, Mr.
+Added: Chen served as Director of Finance and was responsible for the financial planning and analysis for Grass Valley, LLC from September 2013 to February 2014 and Host Analytics, Inc.
+Added: from January 2011 to July 2013.
+Added: Before that, Mr.
+Added: Chen held various managerial roles in finance and accounting at Sonics, Inc., Micromuse Inc., Ciphergen Biosystems, Inc.
+Added: and Tumbleweed Communications.
+Added: Chen began his career at KPMG US LLP.
+Added: He received a B.A.
+Added: in Economics from the University of Chicago, and a Masters in Accountancy Science from the University of Illinois at Urbana Champaign, and is a former certified public accountant.
+Added: Chen will also enter into an indemnity agreement with the Company in the form previously filed with the SEC on October 2, 2018 as Exhibit 10.1 to our Registration Statement on Form S-1, as amended.
+Added: There are no family relationships between Mr.
+Added: Chen and any of our current or former directors or executive officers.
+Added: Chen is not a party to any transaction that would require disclosure under Item 404(a) of Regulation S-K promulgated under the Securities Act of 1933, as amended.
Description of document
10 unchanged sentences
333-227333), filed with the SEC on September 14, 2018).
−Removed: 10.1 Consulting Agreement, dated April 1, 2023 , by and between the Registrant and Veer Bhavnagri.
−Removed: 10.2 Consulting Agreement, dated April 29, 2023, by and between the Registrant and Alison Moore, Ph.D.
−Removed: 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.
10 unchanged sentences
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.
−Removed: May 3, 2023 By:
+Added: August 2, 2023 By:
/s/ David Chang
David Chang, M.D., Ph.D.
−Removed: President and Chief Executive Officer
+Added: Chief Executive Officer
(Principal Executive Officer)
−Removed: May 3, 2023 By:
+Added: August 2, 2023 By:
/s/ Eric Schmidt
3 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.