Other Information.
−Removed: Appointment of Principal Financial Officer
−Removed: 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.
−Removed: 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..
−Removed: Appointment of Principal Accounting Officer
−Removed: 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.
−Removed: Chen, 53, has served as our Vice President and Controller since July 2018.
−Removed: Prior to joining us, Mr.
−Removed: 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.
−Removed: Previously, Mr.
−Removed: 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.
−Removed: from January 2011 to July 2013.
−Removed: Before that, Mr.
−Removed: Chen held various managerial roles in finance and accounting at Sonics, Inc., Micromuse Inc., Ciphergen Biosystems, Inc.
−Removed: and Tumbleweed Communications.
−Removed: Chen began his career at KPMG US LLP.
−Removed: He received a B.A.
−Removed: 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.
−Removed: 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.
−Removed: There are no family relationships between Mr.
−Removed: Chen and any of our current or former directors or executive officers.
−Removed: 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).
+Added: 5.1 Opinion of Cooley LLP.
+Added: 10.1 Employment Letter of Agreement, dated August 11, 2023, by and between the Registrant and Earl Douglas.
+Added: 10.2 Employment Letter of Agreement, dated October 12, 2023, by and between the Registrant and Geoffrey Parker.
+Added: 10.3†‡ Asset Contribution Agreement, dated April 2, 2018, by and between the Registrant and Pfizer Inc.
+Added: 10.4 Amendment No.
+Added: 2 to Sales Agreement, dated November 2, 2023, by and between the Registrant and Cowen and Company, LLC.
+Added: 23.1 Consent of Cooley LLP (included in Exhibit 5.1).
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.
9 unchanged sentences
104 The cover page from the Company’s Quarterly Report on Form 10-Q has been formatted in Inline XBRL.
+Added: __________________________
+Added: † Certain portions of this exhibit (indicated by “[***]”) have been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K.
+Added: ‡ Schedules have been omitted pursuant to Item 601(a)(5) of Regulation S-K.
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: August 2, 2023 By:
+Added: November 2, 2023 By:
/s/ David Chang
2 unchanged sentences
(Principal Executive Officer)
−Removed: August 2, 2023 By:
−Removed: /s/ Eric Schmidt
−Removed: Eric Schmidt, Ph.D.
+Added: November 2, 2023 By:
+Added: /s/ Geoffrey Parker
+Added: Geoffrey Parker
Chief Financial Officer
1 unchanged sentence
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.