Item 5. Other Information
ITEM 5. OTHER INFORMATION
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
(e)
In May 2019, the named executive officers and principal financial officer, or, collectively, the Officers, agreed to a voluntary 10% salary reduction. On August 3, 2020, the Company’s board of directors approved revisions to the base salary amounts of the Officers to return them to the salary amounts in effect prior to the voluntary salary reduction in 2019. As a result, the base salary rate to be paid to the Officer’s for the remainder of 2020 is as follows:
•
Michael R. Bristow, President and Chief Executive Officer, $304,219;
•
Thomas A. Keuer, Chief Operating Officer, $303,000;
•
Christopher D. Ozeroff, Secretary, Senior Vice President and General Counsel, $297,343; and
•
Brian L. Selby, Vice President, Finance, $247,200.
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I TEM 6. EXHIBITS
EXHIBIT INDEX
The following documents are filed as part of this quarterly report on Form 10-Q. The Company will furnish a copy of any exhibit listed to requesting stockholders upon payment of the Company’s reasonable expenses in furnishing those materials.
Incorporated by Reference (1)
Exhibit
No.
Description
Form
Filing
Date
Number
Filed
Herewith
3.1
Amended and Restated Certificate of Incorporation of the Registrant, as amended .
10-K
3/27/2009
3.1
3.1(a)
Certificate of Amendment to Restated Certificate of Incorporation .
8-K
3/5/2013
5.1
3.1(b)
Certificate of Amendment to Restated Certificate of Incorporation .
8-K
9/3/2015
3.1
3.1(c)
Certificate of Amendment to Restated Certificate of Incorporation .
8-K
4/3/2019
3.1
3.2
Second Amended and Restated Bylaws of the Registrant, as amended .
10-Q
11/16/2009
3.2
4.1
Reference is made to Exhibits 3.1, 3.1(a), 3.1(b) and 3.2
4.2
Form of Common Stock Certificate .
10-Q
5/8/2019
4.2
4.3
Form of Pre-Funded Warrant .
8-K
6/3/2020
4.1
10.1
Form of Stock Purchase Agreement between the Company and the Purchasers, dated as of June 2, 2020 .
8-K
6/3/2020
10.1
10.2
Amendment No. 7 to Capital on Demand TM Sales Agreement, dated July 2, 2020, by and between ARCA biopharma, Inc. and JonesTrading Institutional Services LLC .
8-K
7/2/2020
10.1
10.3
Amendment No. 8 to Capital on Demand TM Sales Agreement, dated July 14, 2020, by and between ARCA biopharma, Inc. and JonesTrading Institutional Services LLC .
8-K
7/14/2020
10.1
10.4
Capital on Demand TM Sales Agreement, dated July 22, 2020, by and between ARCA biopharma, Inc. and JonesTrading Institutional Services LLC .
8-K
7/22/2020
10.1
31.1
Certification of Principal Executive Officer pursuant to Rule 13a-14(a) or 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 Rule 13a-14(a) or 15d-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 .
X
50
Incorporated by Reference (1)
Exhibit
No.
Description
Form
Filing
Date
Number
Filed
Herewith
32.1
Certification of Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. sec. 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act
of 2002 .
X
101.INS
XBRL Instance Document (filed electronically herewith)
X
101.SCH
XBRL Taxonomy Extension Schema Document (filed electronically herewith)
X
101.CAL
XBRL Taxonomy Extension Calculation Linkbase Document (filed electronically herewith)
X
101.LAB
XBRL Taxonomy Extension Label Linkbase Document (filed electronically herewith)
X
101.PRE
XBRL Taxonomy Extension Presentation Linkbase Document (filed electronically herewith)
X
101.DEF
XBRL Taxonomy Extension Definition Linkbase Document (filed electronically herewith)
X
(1)
The SEC file number for all items incorporated by reference herein from reports on Forms 10-K, 10-Q and 8-K is 000-22873.
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SIGNA TURE
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 hereunto duly authorized.
ARCA biopharma, Inc. (Registrant)
By:
/s/ Brian L. Selby
Brian L. Selby
Vice President, Finance
(Principal Financial and Accounting Officer)
Dated: August 5, 2020
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Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.