Item 5. Other Information
ITEM 5. OTHER INFORMATION
None
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ITEM 6. EXHIBITS
Exhibit
Number Description
3.1 (1)
Amended and Restated Certificate of Incorporation.
3.2 (1)
Amended and Restated Bylaws.
4.1 (2)
Form of Common Stock Certificate
4.2 (2)
Form of Warrant to Purchase Series B-1 Preferred Stock issued to Square 1 Bank.
4.3 (2)
Form of Warrant to Purchase Series D Preferred Stock issued to Western Alliance Bank.
4.4 (2)
Warrant to Purchase Series D-1 Preferred Stock issued to Western Alliance Bank.
4.5 (2)
Form of Warrant to Purchase Series D-1 Preferred Stock issued to Midcap Financial Trust.
4.6 (2)
Form of Warrant to Purchase Common Stock Issued to Underwriters.
4.7 (2)
Form of Warrant Certificate (included in Exhibit 4.8).
4.8 (2)
Form of Warrant Agent Agreement by and between the Registrant and American Stock Transfer & Trust Company LLC, as warrant agent.
4.9 (3)
Form of Warrant to Purchase Common Stock for Service Providers.
4.10 (4)
Form of Warrant to Purchase Common Stock for Innovatus.
4.11 (4)
Registration Rights Agreement, dated March 14, 2019, between the Company and Aspire Capital Fund, LLC.
4.12 (4)
Registration Rights Agreement, dated March 14, 2019, by and among the Company and the Innovatus Investors.
4.13 (5)
Form of Warrant to Purchase Common Stock issued to Investors in October 2019 Public Offering.
4.14 (5)
Form of Pre-Funded Warrant issued to Investors in October 2019 Public Offering.
4.15 (6)
Form of Warrants Amendment and Agreement.
4.16 (6)
Form of New Warrant issued in April 2020.
4.17 (7)
Form of Warrant to Purchase Common Stock issued to Investors in April 2020 Public Offering.
4.18 (7)
Form of Prefunded Warrant issued to Investors in April 2020 Public Offering.
10.1 (8)
At Market Issuance Sales Agreement, dated August 13, 2020, by and between the Company and Ladenburg Thalmann & Co. Inc.
10.2+ (9)
Bionano Genomics, Inc. 2020 Inducement Plan.
10.3+ (9)
Form of Stock Option Grant Notice and Stock Option Agreement under the Bionano Genomics, Inc. 2020 Inducement Plan.
10.4^ Consent and Third Amendment to Loan and Security Agreement, dated August 21, 2020, by and among the Company, Innovatus Life Sciences Lending Fund I, LP and East West Bank.
10.5^ Agreement and Plan of Merger, dated August 21, 2020, by and among the Company, Alta Merger Sub, Inc., Lineagen, Inc. and Michael S. Paul, Ph.D.
10.6+ Employment Agreement, effective as of September 1, 2020, by and between Christopher Stewart and the Company.
10.7+ Employment Agreement, effective as of August 31, 2020, by and between Alka Chaubey and the Company.
31.1* Certification of Principal Executive Officer pursuant to Rules 13a-14(a) and 15d-14(a) promulgated under the Securities Exchange Act of 1934, as amended.
31.2 Certification of Principal Financial Officer pursuant to Rules 13a-14(a) and 15d-14(a) promulgated under the Securities Exchange Act of 1934, as amended .
32.1*
Certification of Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
101.INS XBRL Instance Document.
101.SCH XBRL Taxonomy Extension Schema Document.
101.CAL XBRL Taxonomy Extension Calculation Linkbase Document.
101.DEF XBRL Taxonomy Extension Definition Linkbase Document.
101.LAB XBRL Taxonomy Extension Label Linkbase Document.
101.PRE XBRL Taxonomy Extension Presentation Linkbase Document.
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(1) Incorporated by reference to the Registrant’s Current Report on Form 8-K, filed with the SEC on August 24, 2018.
(2) Incorporated by reference to the Registrant’s Registration Statement on Form S-1 (File No. 333-225970), as amended.
(3) Incorporated by reference to the Registrant’s Current Report on Form 8-K, filed with the SEC on November 21, 2018.
(4) Incorporated by reference to the Registrant’s Current Report on Form 8-K, filed with the SEC on March 14, 2019.
(5) Incorporated by reference to the Registrant’s Registration Statement on Form S-1 (File No. 333-233828), as amended.
(6) Incorporated by reference to the Company’s Current Report on Form 8-K, filed with the SEC on March 2, 2020.
(7) Incorporated by reference to the Registrant’s Registration Statement on Form S-1 (File No. 333-237074), as amended.
(8) Incorporated by reference to the Registrant’s Registration Statement on Form S-3 (File No. 333-245762).
(9) Incorporated by reference to the Registrant’s Current Report on Form 8-K, filed with the SEC on August 24, 2020.
+ Indicates management contract or compensatory plan or arrangement.
^ Certain exhibits and schedules have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The Registrant hereby undertakes to furnish supplementally a copy of any omitted exhibit or schedule upon request by the SEC.
* 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.
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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.
BIONANO GENOMICS, INC.
Dated: November 12, 2020
By: /s/ R. Erik Holmlin, Ph.D.
R. Erik Holmlin, Ph.D.
President and Chief Executive Officer
(Principal Executive Officer)
Dated: November 12, 2020
By: /s/ Christopher Stewart
Christoper Stewart
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.