What changed in this filing

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Item 9A. Controls and Procedures

2021-03-16 compared with 2020-03-05 · 22 added, 21 removed, 183 unchanged (19% of the section changed)

9 unchanged sentences

events, and there can be no assurance that any design will succeed in achieving its stated goals under all potential future conditions.

respect to the year ended December 31, 2019, under the supervision and with the participation of our management, we conducted

an evaluation of the effectiveness of the design and operations of our disclosure controls and procedures.

Based upon this evaluation,

the Company’s principal executive officer and principal financial officer have concluded that the Company’s disclosure

controls and procedures are effective.

of December 31, 2020, an evaluation was conducted under the supervision and with the participation of our management, including

our Chief Executive Officer and Chief Financial Officer, of the effectiveness of our disclosure controls and procedures.

on this evaluation, such officers have concluded that our disclosure controls and procedures are effective as of December 31,

Management’s

4 unchanged sentences

of our principal executive officer and principal financial officer, of the effectiveness of our internal control over financial

reporting as of December 31, 2019, based on the criteria set forth in the 2013 Internal Control—Integrated Framework

issued by the Committee of Sponsoring Organizations of the Treadway Commission.

Based on this evaluation, our management concluded

that our internal control over financial reporting was effective as of December 31, 2019.

reporting as of December 31, 2020, based on the criteria set forth in the 2013 Internal Control—Integrated Framework issued

by the Committee of Sponsoring Organizations of the Treadway Commission.

Based on this evaluation, our management concluded that

our internal control over financial reporting was effective as of December 31, 2020.

report does not include an attestation report of our independent registered public accounting firm regarding our internal control

69 unchanged sentences

are included in Part II, Item 8 of this Annual Report:

Report of Independent Registered Public Accounting Firm

Balance Sheets as of December 31, 2019 and 2018

Statements of Operations for the periods ended December 31, 2019, 2018 and 2017

Statements of Redeemable Convertible Preferred Stock and Stockholders’

Equity (Deficit) for the periods ended December 31, 2019, 2018 and 2017

Statements of Cash Flows for the periods ended December 31, 2019, 2018 and 2017

Notes to the Financial Statements

of Independent Registered Public Accounting Firm

Sheets as of December 31, 2020 and 2019

of Operations for the years ended December 31, 2020, 2019 and 2018

of Redeemable Convertible Preferred Stock and Stockholders’

Equity (Deficit) for the years ended December 31, 2020, 2019

of Cash Flows for the years ended December 31, 2020, 2019 and 2018

to the Financial Statements

Financial Statement Schedules

16 unchanged sentences

333-226774), originally filed August 10, 2018).

Warrant dated November 13, 2019 issued to SWK Holdings LLC.

dated November 13, 2019 issued to SWK Holdings LLC.

(incorporated by reference to Exhibit 4.5 to the Registrant’s Annual

Report on Form 10-K for the year ended December 31, 2019 filed March 5, 2020).

Description of Securities of the Registrant (filed herewith).

Registration Rights Agreement dated June 19, 2017 by and among the Registrant and certain of its stockholders (incorporated by reference to Exhibit 10.2 to the Registrant’s Registration Statement on Form S-1, as amended (File No.

22 unchanged sentences

333-226774), originally filed August 10, 2018).

2018 Equity Incentive Plan (incorporated by reference to Exhibit 10.16 to the Registrant’s Registration Statement on Form S-1, as amended (File No.

333-226774), originally filed August 10, 2018).

2018 Equity Incentive Plan (as amended December 2020 (filed herewith).

2018 Employee Stock Purchase Plan (incorporated by reference to Exhibit 10.17 to the Registrant’s Registration Statement on Form S-1, as amended (File No.

4 unchanged sentences

333-226774), originally filed August 10, 2018).

Credit Agreement dated as of November 13, 2019, by and among the Company and SWK Funding LLC

Agreement dated as of November 13, 2019, by and among the Company and SWK Funding LLC (incorporated by reference to Exhibit

10.14 to the Registrant’s Annual Report on Form 10-K for the year ended December 31, 2019 filed March 5, 2020).

Consent of KMJ Corbin & Company LLP, Independent Registered Public Accounting Firm.

5 unchanged sentences

Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

following financial information from the Company’s Annual Report on Form 10-K for the period ended December 31, 2019,

following financial information from the Company’s Annual Report on Form 10-K for the year ended December 31, 2019,

formatted in Extensible Business Reporting Language (XBRL):

40 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.

What changed 10-K

Item 9A. Controls and Procedures