RIGEL PHARMACEUTICALS INC 10-Q

Item 5. Other Information ​ Securities Trading Plans of Directors and Executive Officers ​ During the three months ended September 30, 2023, none of our directors or executive officers adopted or terminated any contract , instruction or written plan for the purchase or sale of our securities that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or any “non-Rule 10b5-1 trading arrangement” as defined in Item 408 of Regulation S-K under the Securities Exchange Act of 1934, as amended. ​ Item 6. Exhibits ​ The exhibits listed on the accompanying index to exhibits are filed or incorporated by reference (as stated therein) as part of this Quarterly Report on Form 10-Q. ​ ​ Exhibit Number ​ Description of Document ​ ​ ​ 3.1 ​ Amended and Restated Certificate of Incorporation. (1) ​ ​ ​ 3.2 ​ Amended and Restated Bylaws. (2) 3.3 ​ Certificate of Amendment to the Amended and Restated Certificate of Incorporation. (3) ​ ​ ​ 4.1 ​ Form of warrant to purchase shares of common stock. (4) ​ ​ ​ 4.2 ​ Specimen Common Stock Certificate. (5) ​ ​ ​ 10.1# ​ Executive Severance Plan, as amended. 10.2# ˄ ​ Amendment 1 to the License and Collaboration Agreement with Eli Lilly and Company. 31.1# ​ Certification required by Rule 13a-14(a) or Rule 15d-14(a) of the Exchange Act. ​ ​ ​ 31.2# ​ Certification required by Rule 13a-14(a) or Rule 15d-14(a) of the Exchange Act. ​ ​ ​ 32.1*# ​ Certification required by Rule 13a-14(b) or Rule 15d-14(b) of the Exchange Act and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. 1350). ​ ​ ​ 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.LAB ​ Inline XBRL Taxonomy Extension Labels Linkbase Document. ​ ​ ​ 101.PRE ​ Inline XBRL Taxonomy Extension Presentation Linkbase Document. ​ ​ ​ 101.DEF ​ Inline XBRL Taxonomy Extension Definition Linkbase Document. ​ ​ ​ 104 ​ Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) # Filed herewith ˄ Certain marked information has been omitted from this exhibit because it is both not material and is the type that the registrant treats as private and confidential. * The certifications attached as Exhibit 32.1 accompany this Quarterly Report on Form 10-Q pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, and shall not be deemed “filed” by the registrant for purposes of Section 18 of the Exchange Act. (1) Filed as an exhibit to Rigel’s Current Report on Form 8-K dated June 24, 2003, and incorporated herein by reference. (2) Filed as an exhibit to Rigel’s Current Report on Form 8-K dated November 3, 2022, and incorporated herein by reference. 93 ​ Table of Contents (3) Filed as an exhibit to Rigel’s Current Report on Form 8-K dated May 18, 2018, and incorporated herein by reference. (4) Filed as an exhibit to Rigel’s Registration Statement on Form S-1 (No. 333-45864), filed on September 15, 2000, as amended, and incorporated herein by reference. (5) Filed as an exhibit to Rigel’s Current Report on Form 10-K dated June 24, 2003, and incorporated herein by reference. ​ 94 ​ Table of Contents SIGNATURES ​ 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. ​ ​ ​ ​ ​ ​ ​ RIGEL PHARMACEUTICALS, INC. ​ ​ ​ ​ ​ ​ By: /s/ RAUL R. RODRIGUEZ ​ ​ ​ Raul R. Rodriguez ​ ​ ​ Chief Executive Officer (Principal Executive Officer) ​ ​ Date: November 7, 2023 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ By: /s/ DEAN L. SCHORNO ​ ​ ​ Dean L. Schorno ​ ​ ​ Chief Financial Officer (Principal Financial Officer) ​ ​ Date: November 7, 2023 ​ ​ ​ 95 ​