KYNTRA BIO, INC. 10-Q

ITEM 5. OTHER INFORMATION. Rule 10b5-1 Trading Plans On August 31, 2023 , Christine Chung , Senior Vice President , China Operations of the Company, terminated a Rule 10b5-1 trading plan, which was previously adopted on March 7, 2023 and intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act. The plan provided for the potential sale of up to 125,000 shares of common stock held by Ms. Chung. Prior to its termination, Ms. Chung sold 12,500 shares under the plan. On July 12, 2023 , Mark Eisner , then Chief Medical Officer of the Company, terminated a Rule 10b5-1 trading plan, which was previously adopted on March 2, 2023 and intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act. The plan provided for the potential sale of up to 107,260 shares of common stock held by Mr. Eisner. Prior to its termination, Mr. Eisner sold 0 shares under the plan. On August 31, 2023 , Juan Graham , Chief Financial Officer of the Company, terminated a Rule 10b5-1 trading plan, which was previously adopted on August 26, 2022 and intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act. The plan provided for the potential sale of up to 29,911 shares of common stock held by Mr. Graham. Prior to its termination, Mr. Graham sold 7,929 shares under the plan. On September 22, 2023 , Jeffrey Henderson , a member of the Company’s Board of Directors , terminated a Rule 10b5-1 trading plan, which was previously adopted on March 3, 2023 and intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act. The plan provided for the potential sale of up to 20,000 shares of common stock held by Mr. Henderson. Prior to its termination, Mr. Henderson sold 6,000 shares under the plan. 88 Table of Contents ITEM 6. E XHIBITS Exhibit Incorporation By Reference Number Exhibit Description Form SEC File No. Exhibit Filing Date 3.1 Amended and Restated Certificate of Incorporation of FibroGen, Inc. 8-K 001-36740 3.1 11/21/2014 3.2 Amended and Restated Bylaws of FibroGen, Inc. S-1/A 333-199069 3.4 10/23/2014 4.1 Form of Common Stock Certificate. 8-K 001-36740 4.1 11/21/2014 4.2 Common Stock Purchase Agreement by and between FibroGen, Inc. and AstraZeneca AB, dated as of October 20, 2014. S-1/A 333-199069 4.17 10/24/2014 10.1+ Offer Letter, dated July 23, 2023, between FibroGen, Inc. and Thane Wettig. 8-K 001-36740 10.1 07/25/2023 10.2+ Consulting Agreement, dated July 23, 2023, between FibroGen, Inc. and Enrique Conterno. 8-K 001-36740 10.2 07/25/2023 31.1* Certification of Chief Executive Officer, as required by Rule 13a-14(a) or Rule 15d-14(a). — — — — 31.2* Certification of Chief Financial Officer, as required by Rule 13a-14(a) or Rule 15d-14(a). — — — — 32.1* Certification of Principal Executive Officer and Principal Financial Officer, as required by Rule 13a-14(b) or Rule 15d-14(b) and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. §1350)(1)). — — — — 101.INS Inline XBRL Instance Document: the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document — — — — 101.SCH Inline XBRL Taxonomy Extension Schema Document — — — — 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document — — — — 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document — — — — 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document — — — — 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document — — — — 104 Cover Page Interactive Data File (formatted as inline XBRL with applicable taxonomy extension information contained in Exhibits 101.) — — — — † Portions of this exhibit (indicated by asterisks) have been omitted as the Company has determined that (i) the omitted information is not material and (ii) the omitted information would likely cause competitive harm if publicly disclosed or is the type of information the Company treats as confidential. + Indicates a management contract or compensatory plan. 89 Table of Contents SIGNAT URES Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. FibroGen, Inc. Date: November 6, 2023 By: /s/ Thane Wettig Thane Wettig Chief Executive Officer (Principal Executive Officer) Date: November 6, 2023 By: /s/ Juan Graham Juan Graham Senior Vice President and Chief Financial Officer (Principal Financial and Accounting Officer) 90