1 unchanged sentence
Securities Trading Plans of Directors and Executive Officers
−Removed: During the three months ended March 31, 2024, 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.
+Added: During the three months ended June 30, 2024, 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.
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.
Description of Document
−Removed: Amended and Restated Certificate of Incorporation.
−Removed: Amended and Restated Bylaws.
−Removed: Certificate of Amendment to the Amended and Restated Certificate of Incorporation.
−Removed: Form of warrant to purchase shares of common stock.
−Removed: Specimen Common Stock Certificate.
−Removed: Asset Purchase Agreement with Blueprint Medicines Corporation, dated February 22, 2024 .
−Removed: Amendment No.
−Removed: 2 to the License and Collaboration Agreement with Eli Lilly and Company, dated March 11, 2024.
−Removed: Fourth Amendment to the Credit and Security Agreement with MidCap Financial Trust, dated April 11, 2024.
+Added: Amended and Restated Open Market Sale Agreement SM , dated August 2, 2024, by and between Rigel Pharmaceuticals, Inc.
+Added: and Jefferies LLC (filed as an exhibit to Rigel’s Registration Statement on Form S-3, dated August 2, 2024 and incorporated herein by reference).
+Added: Amended and Restated Certificate of Incorporation (filed as an exhibit to Rigel’s Current Report on Form 8-K, dated June 24, 2003 and incorporated herein by reference).
+Added: Amended and Restated Bylaws (filed as an exhibit to Rigel’s Current Report on Form 8-K, dated November 3, 2022 and incorporated herein by reference).
+Added: Certificate of Amendment to the Amended and Restated Certificate of Incorporation (filed as an exhibit to Rigel’s Current Report on Form 8-K, dated May 29, 2012 and incorporated herein by reference).
+Added: Certificate of Amendment to the Amended and Restated Certificate of Incorporation (filed as an exhibit to Rigel’s Current Report on Form 8-K, dated May 18, 2018 and incorporated herein by reference).
+Added: Certificate of Amendment to the Amended and Restated Certificate of Incorporation (filed as an exhibit to Rigel’s Current Report on Form 8-K, dated June 27, 2024 and incorporated herein by reference).
+Added: Form of warrant to purchase shares of common stock (filed as an exhibit to Rigel’s Registration Statement on Form S-1, filed on September 15, 2000, as amended and incorporated herein by reference).
+Added: Specimen Common Stock Certificate (filed as an exhibit to Rigel’s Current Report on Form 8-K dated June 24, 2003 and incorporated herein by reference).
Rigel Pharmaceuticals, Inc.
+Added: 2018 Equity Incentive Plan, as amended .
+Added: Rigel Pharmaceuticals, Inc.
Inducement Plan, as amended .
10 unchanged sentences
Filed herewith.
−Removed: ˄ Certain marked information has been redacted from this exhibit pursuant to Item 601(b)(1)(iv) of Regulation S-K because it is both not material and is the type that the registrant treats as private and confidential.
−Removed: An unredacted copy of this exhibit will be furnished supplementally to the SEC upon request.
+Added: Indicates a management contract or compensatory plan or arrangement.
* 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.
−Removed: (1) Filed as an exhibit to Rigel’s Current Report on Form 8-K dated June 24, 2003, and incorporated herein by reference.
−Removed: (2) Filed as an exhibit to Rigel’s Current Report on Form 8-K dated November 3, 2022, and incorporated herein by reference.
−Removed: (3) Filed as an exhibit to Rigel’s Current Report on Form 8-K dated May 18, 2018, and incorporated herein by reference.
−Removed: (4) Filed as an exhibit to Rigel’s Registration Statement on Form S-1 (No.
−Removed: 333-45864), filed on September 15, 2000, as amended, and incorporated herein by reference.
−Removed: (5) Filed as an exhibit to Rigel’s Current Report on Form 10-K dated June 24, 2003, and incorporated herein by reference.
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.
2 unchanged sentences
(Principal Executive Officer)
+Added: August 6, 2024
Chief Financial Officer
(Principal Financial Officer)
+Added: August 6, 2024
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.