Item 5. Other Information
Item 5. Other Information.
None.
67
Item 6. E xhibits.
Furnish the exhibits required by Item 601 of Regulation S-K (§ 229.601 of this chapter).
Exhibit
Number
Description
Form
File No.
Exhibit No.
Exhibit Filing Date
Filed/Furnished Herewith
3.1
Restated Certificate of Incorporation of Prelude Therapeutics Incorporated
X
3.2
Restated Bylaws of Prelude Therapeutics Incorporated
X
4.1
Form of Common Stock Certificate.
S-1/A
333-248628
4.1
09/16/2020
10.1
Form of Indemnification Agreement with directors and officers.
S-1
333-248628
10.1
09/04/2020
10.2
2016 Stock Incentive Plan and forms of award agreements.
S-1
333-248628
10.2
09/04/2020
10.3
2020 Equity Incentive Plan and forms of award agreements.
S-1/A
333-248628
10.3
09/21/2020
10.4
2020 Employee Stock Purchase Plan and forms of award agreements.
S-1/A
333-248628
10.4
09/21/2020
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
XBRL Instance Document
X
101.SCH
XBRL Taxonomy Extension Schema Document.
X
101.CAL
XBRL Taxonomy Extension Calculation Linkbase Document.
X
101.DEF
XBRL Taxonomy Extension Definition Linkbase Document.
X
101.LAB
XBRL Taxonomy Extension Label Linkbase Document.
X
101.PRE
XBRL Taxonomy Extension Presentation Linkbase Document.
X
* The certifications furnished in Exhibits 32.1 and 32.2 hereto are deemed to accompany this Form 10-Q and are not deemed “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liability of that section, nor shall they be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act .
68
SIGNA TURES
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.
Company Name
Date: November 10, 2020
By:
/s/ Krishna Vaddi
Krishna Vaddi, PhD
Chief Executive Officer
Date: November 10, 2020
By:
/s/ Brian Piper
Brian Piper, M.B.A.
Chief Financial Officer
69
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.