Other Information.
−Removed: During the three-month period ended March 31, 2024, none of our directors or officers (as defined in Rule 16a-1(f) of the Securities Exchange Act of 1934, as amended) adopted, terminated or modified a Rule 10b5-1 trading arrangement or any “non-Rule 10b5-1 trading agreement” (as defined in Item 408(c) of Regulation S-K).
+Added: During the three-month period ended June 30, 2024, none of our directors or officers (as defined in Rule 16a-1(f) of the Securities Exchange Act of 1934, as amended) adopted, terminated or modified a Rule 10b5-1 trading arrangement or any “non-Rule 10b5-1 trading agreement” (as defined in Item 408(c) of Regulation S-K).
Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.2 to the Current Report on Form 8-K filed with the SEC on June 23, 2020).
Amended and Restated Bylaws (incorporated by reference to Exhibit 3.3 to the Current Report on Form 8-K filed with the SEC on June 23, 2020).
−Removed: Employment Agreement between Compass Therapeutics, Inc.
−Removed: and Thomas J.
−Removed: Schuetz, M.D., Ph.D., dated January 8, 2024 (incorporated by reference to Exhibit 10.10 to the Annual Report on Form 10-K filed with the SEC on March 21, 2024).
−Removed: Employment Agreement between Compass Therapeutics, Inc.
−Removed: and Vered Bisker-Leib, Ph.D., M.B.A., dated January 8, 2024 (incorporated by reference to Exhibit 10.11 to the Annual Report on Form 10-K filed with the SEC on March 21, 2024).
+Added: Separation Agreement, dated May 28, 2024, by and between Compass Therapeutics, Inc.
+Added: and Vered Bisker-Leib, PhD (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed with the SEC on May 28, 2024).
+Added: Consulting Agreement, dated May 28, 2024, by and between Compass Therapeutics, Inc.
+Added: and Vered Bisker-Leib, PhD (incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K filed with the SEC on May 28, 2024).
Certification of Principal Executive and Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
−Removed: Certification of Principal Executive Officer Pursuant to 18 U.S.C.
+Added: Certification of Principal Executive and Financial Officer Pursuant to 18 U.S.C.
Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
8 unchanged sentences
** This exhibit is being furnished and shall not be deemed to be “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liability of that section, nor shall such exhibits be deemed to be incorporated by reference in any registration statement or other document filed under the Securities Act or the Exchange Act, except as otherwise stated in such filing.
−Removed: # Indicates a management contract or any compensatory plan, contract or arrangement.
Pursuant to the requirements of the Exchange Act, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
Compass Therapeutics, Inc.
−Removed: /s/ Vered Bisker-Leib
−Removed: Vered Bisker-Leib, PhD
+Added: August 12, 2024
+Added: /s/ Thomas Schuetz
+Added: Thomas Schuetz, MD
Principal Executive Officer, Principal Financial and Accounting Officer
+Added: August 12, 2024
/s/ Neil Lerner
2 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.