Contineum Therapeutics, Inc. 10-Q

Item 5. Other Information. (c) Securities Trading Plans of Directors and Executive Officers During the quarter ended March 31, 2024, none of our officers or directors, as defined in Rule 16a - 1 (f), informed us of the adoption or termination of a Rule 10b5 - 1 trading arrangement or a non-Rule 10b5 - 1 trading arrangement, each as defined in Regulation S-K Item 408. 56 Table of Contents Item 6. Exhibits Incorporated by Reference Filed Herewith Exhibit Number Description Form File No. Exhibit Filing Date 3.1 Amended and Restated Certificate of Incorporation of the Registrant. 8-K 001-42001 3.1 04/09/2024 3.2 Amended and Restated Bylaws of the Registrant. 8-K 001-42001 3.2 04/09/2024 4.1 Form of Registrant’s Class A common stock certificate. S-1/A 333-278003 4.1 04/01/2024 4.2 Amended and Restated Investors’ Rights Agreement, dated February 9, 2021, by and among the Registrant and the other parties thereto. S-1 333-278003 4.2 03/15/2024 4.3^ Warrant to Purchase Stock, issued to Silicon Valley Bank, dated as of September 1, 2020. S-1 333-278003 4.3 03/15/2024 4.4 Letter Agreement, dated as of July 9, 2021, by and among the Registrant, Baker Brothers Life Sciences, L.P. and 667, L.P. S-1 333-278003 4.4 03/15/2024 4.5 Amended and Restated Registration Rights Agreement dated as of July 9, 2021, by and between the Registrant and Baker Bros. Advisors LP. S-1 333-278003 4.5 03/15/2024 10.1+ Form of Indemnity Agreement between the Registrant and each of its directors and executive officers. S-1/A 333-278003 10.1 04/01/2024 10.2+ 2012 Equity Incentive Plan, as amended, and forms of agreements thereunder. S-1 333-278003 10.2 03/15/2024 10.3+ 2024 Equity Incentive Plan and form of agreements thereunder. S-1/A 333-278003 10.3 04/01/2024 10.4+ 2024 Employee Stock Purchase Plan. S-1/A 333-278003 10.4 04/01/2024 10.5+ Offer Letter, dated as of August 14, 2018, by and between the Registrant and Carmine Stengone. S-1/A 333-278003 10.5 04/01/2024 10.6+ Offer Letter, dated as of March 9, 2018, as amended by Amendment to Original Offer Letter, dated as of December 16, 2021, each by and between the Registrant and Daniel Lorrain, Ph.D. S-1/A 333-278003 10.6 04/01/2024 10.7+ Offer Letter, dated as of August 20, 2020, by and between the Registrant and Peter Slover. S-1/A 333-278003 10.7 04/01/2024 10.8^ Lease Agreement, dated January 3, 2018, by and between ARE-SD Region No. 44, LLC and the Registrant. S-1 333-278003 10.8 03/15/2024 10.9 First Amendment to Lease dated February 16, 2018, by and between ARE-SD Region No. 44, LLC and the Registrant. S-1 333-278003 10.9 03/15/2024 10.10 Second Amendment to Lease, dated April 2, 2018, by and between ARE-SD Region No. 44, LLC and the Registrant. S-1 333-278003 10.10 03/15/2024 10.11 Third Amendment to Lease, dated June 15, 2021, by and between ARE-SD Region No. 44, LLC and the Registrant. S-1 333-278003 10.11 03/15/2024 10.12 Lease Termination, dated October 25, 2023, by and between ARE-SD Region No. 44, LLC and the Registrant. S-1 333-278003 10.12 03/15/2024 10.13^ Lease Agreement, dated October 25, 2023, by and between ARE-3535/3566 General Atomics Court, LLC and the Registrant. S-1 333-278003 10.13 03/15/2024 57 Table of Contents 10.14 Loan and Security Agreement, dated as of September 1, 2020, by and between the Registrant and Silicon Valley Bank. S-1 333-278003 10.14 03/15/2024 10.15 First Amendment to Loan and Security Agreement, dated as of March 15, 2021, by and between the Registrant and Silicon Valley Bank. S-1 333-278003 10.15 03/15/2024 10.16† License Agreement, dated February 3, 2023, by and between the Registrant and Janssen Pharmaceutica NV. S-1 333-278003 10.16 03/15/2024 31.1 Certification of Principal Executive 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. X 31.2 Certification of Principal 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. X 32.1* Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. X 32.2* Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. X 101.INS Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL document. X 101.SCH Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents X 104 Cover Page Interactive Data File (embedded within the Inline XBRL document) X _________________________________________ + Indicates management contract or compensatory plan. † Pursuant to Item 601(b)(10) of Regulation S-K, certain confidential portions of this exhibit have been omitted by means of marking such portions with asterisks as the identified confidential portions are both not material and are the type of information that the Registrant treats as private or confidential. ^ Pursuant to Item 601(a)(5) of Regulation S-K, certain exhibits and schedules have been omitted. The Registrant hereby undertakes to furnish supplementally a copy of any omitted exhibit or schedule upon request by the SEC. * The certifications furnished in Exhibit 32.1 and 32.2 hereto are deemed to be furnished with this Quarterly Report on Form 10-Q and will not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, except to the extent that the Registrant specifically incorporates them by reference. 58 Table of Contents 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. Contineum Therapeutics, Inc. May 16, 2024 By: /s/ Carmine Stengone Carmine Stengone President and Chief Executive Officer (Principal Executive Officer) May 16, 2024 By: /s/ Peter Slover Peter Slover Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer) 59