29 unchanged sentences
Other Information
−Removed: Not Applicable.
+Added: During the quarter ended December 31, 2023, no director or officer, as defined in Rule 16a-1(f), adopted or terminated a "Rule 10b5-1 trading arrangement" or a "non-Rule 10b5-1 trading arrangement," each as defined in Regulation S-K Item 408 .
Disclosures regarding Foreign Jurisdictions that Prevent Inspections
34 unchanged sentences
10-K 001-37752 3.1 3/15/2018
−Removed: Certificate of Amendment to the Certificate of Incorporation of the Registrant
−Removed: 8-K 000-53290 3.1 4/12/2016
Amended and Restated Bylaws of the Registrant
8-K 001-37752 3.1 3/17/2023
−Removed: Investor’s Rights Agreement, effective as of December 31, 2005, by and between The University of Mississippi Research Foundation and ChromaDex
−Removed: 8-K 333-140056 4.1 6/24/2008
−Removed: Tag-Along Agreement effective as of December 31, 2005, by and among the Registrant, Frank Louis Jaksch, Snr.
−Removed: & Maria Jaksch, Trustees of the Jaksch Family Trust, Margery Germain, Lauren Germain, Emily Germain, Lucie Germain, Frank Louis Jaksch, Jr., and the University of Mississippi Research Foundation
−Removed: 8-K 333-140056 4.2 6/24/2008
4.1 Form of Stock Certificate representing shares of the Registrant’s Common Stock effective as of December 10, 2018
8 unchanged sentences
8-K 001-37752 99.2 4/29/2020
−Removed: Registration Rights Agreement, dated as of February 20, 2021, by and among the Registrant and Everfund
−Removed: 8-K 001-37752 99.2 2/22/2021
4.6 Registration Rights Agreement, dated as of September 30, 2022, by and among the Registrant and the parties thereto
8-K 001-37752 10.3 10/3/2022
−Removed: Incorporated by Reference Filed or
−Removed: Description Form File Number Exhibit Filing Date
10.1 Second Amended and Restated 2007 Equity Incentive Plan effective March 13, 2007, as amended May 20, 2010 (1)+
6 unchanged sentences
8-K 333-140056 10.4 6/24/2008
+Added: 10.4 ChromaDex Corporation 2017 Equity Incentive Plan, as amended +
+Added: 8-K 001-37752 10.1 6/20/2023
10.5 Amended and Restated Employment Agreement dated April 19, 2010, by and between Frank L.
4 unchanged sentences
8-K 001-37752 10.2 6/28/2018
+Added: Incorporated by Reference Filed or
+Added: Description Form File Number Exhibit Filing Date
10.7 Waiver of bonus compensation agreement dated February 13, 2023, by and between Frank L.
and ChromaDex, Inc.
−Removed: 10.7 License Agreement, dated March 25, 2010 between the University of Mississippi and ChromaDex, Inc.
−Removed: 10-Q 000-53290 10.1 5/18/2010
−Removed: 10.8 First Amendment to License Agreement, made as of June 3, 2011 between the University of Mississippi and ChromaDex, Inc.
−Removed: 10-Q 000-53290 10.1 8/11/2011
+Added: 10-K 001-37752 10.6 3/8/2023
10.8 Restated and Amended License Agreement, effective as of June 3, 2015 between the University of Mississippi and ChromaDex, Inc.*
10-Q 000-53290 10.2 8/13/2015
−Removed: 11.0 First Amendment to the License Agreement, effective as of September 5, 2014 between the Regents of the University of California and ChromaDex, Inc.
−Removed: 10-Q 000-53290 10.1 11/6/2014
−Removed: 10.10 Second Amendment to the License Agreement, effective as of December 31, 2015, between the Regents of the University of California and ChromaDex, Inc.
−Removed: 10-Q 001-37752 10.8 11/10/2026
10.9 Exclusive License Agreement, dated July 13, 2012 between Dartmouth College and ChromaDex, Inc.
10 unchanged sentences
8-K 000-53290 10.1 4/20/2016
−Removed: Incorporated by Reference Filed or
−Removed: Description Form File Number Exhibit Filing Date
10.15 First Amendment to Lease Agreement, dated August 3, 2020, by and between ChromaDex Analytics, Inc.
1 unchanged sentence
Fordham LLC and 64 1625-1751 S.
−Removed: Fordham LLC (62 1625-1751 S.
−Removed: Fordham LLC and 64-1625-1751 S.
−Removed: Fordham LLC are successors-in-interest to Lease Agreement, made as of April 14, 2016, by and between ChromaDex Analytics, Inc and Longmont Diagonal Investments LLC)
10-Q 001-37752 10.8 11/4/2020
3 unchanged sentences
10-Q 001-37752 10.4 8/9/2018
−Removed: 10.20 Membership Interest Purchase Agreement effective as of March 12, 2017, by and among Robert Fried, Charles Brenner, Jeffrey Allen and the Registrant
−Removed: 10-Q 001-37752 10.1 5/11/2017
10.18 Form of Restricted Stock Award Agreement for Robert Fried +
2 unchanged sentences
8-K 001-37752 10.1 6/28/2018
−Removed: 10.23 ChromaDex Corporation 2017 Equity Incentive Plan, as amended, and Form of Option Grant Notice, Form of Option Agreement, Form of Restricted Stock Award Grant Notice, Form of Restricted Stock Award Agreement, Form of Restricted Stock Unit Award Grant Notice and Form of Restricted Stock Unit Award Agreement thereunder +
−Removed: 8-K 001-37752 99.1 6/22/2020
10.20 Lease, dated July 6, 2017, by and between 10900 WILSHIRE L.L.C and ChromaDex, Inc.
6 unchanged sentences
10-K 001-37752 10.53 3/7/2019
+Added: 10.24 Fourth Amendment to Lease, dated December 20, 2018, by and between 10900 WILSHIRE L.L.C and ChromaDex, Inc.
10.25 Fifth Amendment to Lease, dated May 21, 2021, by and between 10900 WILSHIRE L.L.C and ChromaDex, Inc.
10-Q 001-37752 10.1 8/3/2021
−Removed: 10.29 Fifth Amendment to Lease, dated May 21, 2021, by and between 10900 WILSHIRE L.L.C and ChromaDex, Inc.
+Added: Sixth Amendment to Lease, dated October 11, 2023, by and between 10900 WILSHIRE L.L.C and ChromaDex, Inc.
10-Q 001-37752 10.1 11/8/2023
−Removed: 10.30 Executive Employment Agreement, dated October 5, 2017, by and between Kevin M.
−Removed: Farr and the Registrant +
−Removed: 8-K 001-37752 10.1 10/10/2017
−Removed: 10.31 Securities Purchase Agreement dated April 26, 2017, by and among the Company and the Purchasers
−Removed: 8-K 001-37752 99.1 4/27/2017
−Removed: 10.32 Supply Agreement, dated December 19, 2018, by and between ChromaDex, Inc.
−Removed: and Nestec Ltd.
−Removed: 10-K 001-37752 10.34 3/14/2022
−Removed: 10.33 Note Purchase Agreement, dated May 9, 2019, by and among ChromaDex Corporation and Winsave Resource Limited and Pioneer Step Holdings Limited
−Removed: 8-K 001-37752 99.1 5/10/2019
Incorporated by Reference Filed or
Description Form File Number Exhibit Filing Date
−Removed: 10.34 Omnibus Amendment to Note Purchase Agreement and Convertible Promissory Notes, dated June 30, 2019, by and among ChromaDex Corporation and Winsave Resource Limited and Pioneer Step Holdings Limited
−Removed: 8-K 001-37752 99.1 7/1/2019
−Removed: 10.35 Securities Purchase Agreement, dated August 13, 2019, by and among ChromaDex Corporation and the purchasers therein
−Removed: 8-K 001-37752 99.1 8/14/2019
−Removed: 10.36 Securities Purchase Agreement, dated April 27, 2020, by and among ChromaDex Corporation and Winsave Resources Limited and Pioneer Step Holdings Limited
+Added: 10.27 Securities Purchase Agreement dated April 26, 2017, by and among the Company and the Purchasers
8-K 001-37752 99.1 4/27/2017
+Added: 10.28 Amended and Restated Supply Agreement, dated October 10, 2022, by and between the Company, Nestec Ltd.
+Added: 10-Q 001-37752 10.6 11/2/2022
+Added: 10.29 First Amendment to the Amended and Restated Supply Agreement, dated August 16, 2023, by and between the Company, Nestec Ltd.
+Added: 10-Q 001-37752 10.2 11/8/2023
10.30 At Market Issuance Sales Agreement, dated as of June 12, 2020, by and among ChromaDex Corporation, B.
8 unchanged sentences
10-K 001-37752 10.42 3/14/2022
+Added: 10.34 Consent to Business Financing Agreement, dated January 14, 2021, by and among Western Alliance Bank and ChromaDex Corporation
+Added: 10-Q 001-37752 10.4 5/6/2021
10.35 Third Modification to Business Financing Agreement dated December 11, 2021 by and among Western Alliance Bank, ChromaDex Corporation, ChromaDex, Inc.
1 unchanged sentence
8-K 001-37752 10.1 12/14/2021
+Added: 10.36 Fourth Modification to Business Financing Agreement dated November 9, 2023 by and among Western Alliance Bank, ChromaDex Corporation, ChromaDex Inc.
+Added: and ChromaDex Analytics, Inc.
+Added: 8-K 001-37752 10.1 12/13/2023
+Added: 10.37 Fifth Modification to Business Financing Agreement dated December 8, 2023 by and among Western Alliance Bank, ChromaDex Corporation, ChromaDex Inc.
+Added: and ChromaDex Analytics, Inc.
+Added: 8-K 001-37752 10.2 12/13/2023
10.38 Manufacturing and Supply Agreement, dated as of January 1, 2016, by and between ChromaDex, Inc.
1 unchanged sentence
10-Q 001-37752 10.1 11/4/2020
−Removed: 10.43 Amendment to Manufacturing and Supply Agreement, dated as of February 27, 2017, by and between ChromaDex, Inc.
+Added: 10.39 First Amendment to Manufacturing and Supply Agreement, dated as of February 27, 2017, by and between ChromaDex, Inc.
Grace & Co.-Conn.
9 unchanged sentences
10-Q 001-37752 10.5 11/4/2020
+Added: Incorporated by Reference Filed or
+Added: Description Form File Number Exhibit Filing Date
10.43 Fifth Amendment to Manufacturing and Supply Agreement, dated as of January 1, 2020, by and between ChromaDex Inc.
4 unchanged sentences
10-Q 001-37752 10.7 11/4/2020
−Removed: Incorporated by Reference Filed or
−Removed: Description Form File Number Exhibit Filing Date
10.45 Seventh Amendment to Manufacturing and Supply Agreement, dated as of August 2, 2021, by and between ChromaDex Inc.
3 unchanged sentences
Grace & Co.-Conn.**
−Removed: 10.51 Securities Purchase Agreement, dated February 20, 2021, by and between the Company and Everfund
10-K 001-37752 10.50 3/8/2023
−Removed: 10.52 Consent to Business Financing Agreement, dated January 14, 2021, by and among Western Alliance Bank and ChromaDex Corporation
+Added: 10.47 Ninth Amendment to Manufacturing and Supply Agreement, dated as of November 2, 2023, by and between ChromaDex Inc.
+Added: Grace & Co.-Conn.**
10-Q 001-37752 10.3 11/8/2023
21 unchanged sentences
8-K 001-37752 10.2 10/3/2022
−Removed: 10.63 Executive Employment Agreement, dated January 1, 2023, by and between Brianna Gerber and the Registrant +
−Removed: 8-K 001-37752 10.1 1/5/2023
10.58 Securities Purchase Agreement, dated as of October 10, 2022, by and between the Company and the Purchaser *
8-K 001-37752 10.1 10/11/2022
−Removed: 10.65 Amended and Restated Supply Agreement, dated October 10, 2022, by and between the Company, Nestec Ltd.
−Removed: 10-Q 001-37752 10.6 11/2/2022
Incorporated by Reference Filed or
Description Form File Number Exhibit Filing Date
−Removed: 10.66 Separation Letter Agreement, dated August 10, 2022, by and between the Company and Kevin Farr +
−Removed: 8-K 001-37752 10.1 8/10/2022
−Removed: 10.67 Consultant Agreement, dated August 10, 2022, by and between the Company and Kevin Farr +
+Added: 10.59 Executive Employment Agreement, dated January 1, 2023, by and between Brianna Gerber and the Registrant +
8-K 001-37752 10.1 1/5/2023
+Added: 10.60 Amended and Restated Incentive Compensation Recoupment Policy +
Subsidiaries of ChromaDex Corporation
5 unchanged sentences
Section 1350 (as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002)
+Added: Dodd-Frank Clawback Policy +
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.
7 unchanged sentences
and ChromaDex, Inc.
−Removed: (2) Schedules have been omitted pursuant to Item 601(b)(2) of Regulation S-K.
+Added: (2) Schedules have been omitted pursuant to Item 601(a)(5) of Regulation S-K.
ChromaDex Corporation undertakes to furnish supplemental copies of any of the omitted schedules upon request by the Securities and Exchange Commission;
29 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.