2 unchanged sentences
The term “disclosure controls and procedures” means our controls and other procedures that are designed to ensure that information required to be disclosed by us in the reports that we file or submit under the Securities Exchange Act of 1934, as amended, or the Exchange Act, is recorded, processed, summarized and reported, within the time periods specified in the SEC’s rules and forms.
−Removed: Disclosure controls and procedures include, without limitation, controls and procedures designed to ensure that information required to be disclosed by us in the reports that we file or submit under the Exchange Act is accumulated and communicated to our management, including our principal executive officer who is also acting as our principal financial officer, or persons performing similar functions, as appropriate to allow timely decisions regarding required disclosure.
−Removed: We carried out an evaluation, under the supervision and with the participation of our management, including our principal executive officer who is also acting as our acting principal financial officer, of the effectiveness of our disclosure controls and procedures (as defined in Exchange Act Rules 13a – 15(e) and 15d – 15(e)).
−Removed: Based upon that evaluation, our principal executive officer who is also acting as our principal financial officer concluded that, as of the end of the period covered in this report, our disclosure controls and procedures were effective to ensure that information required to be disclosed in reports filed under the Exchange Act is recorded, processed, summarized and reported within the required time periods and is accumulated and communicated to our management, including our principal executive officer who is also acting as our principal financial officer, as appropriate to allow timely decisions regarding required disclosure.
−Removed: Our principal executive officer who is also acting as our principal financial officer does not expect that our disclosure controls or internal controls will prevent all error and all fraud.
+Added: Disclosure controls and procedures include, without limitation, controls and procedures designed to ensure that information required to be disclosed by us in the reports that we file or submit under the Exchange Act is accumulated and communicated to our management, including our principal executive officer and principal financial officer, or persons performing similar functions, as appropriate to allow timely decisions regarding required disclosure.
+Added: We carried out an evaluation, under the supervision and with the participation of our management, including our principal executive officer and principal financial officer, of the effectiveness of our disclosure controls and procedures (as defined in Exchange Act Rules 13a – 15(e) and 15d – 15(e)).
+Added: Based upon that evaluation, our principal executive officer and principal financial officer concluded that, as of the end of the period covered in this report, our disclosure controls and procedures were effective to ensure that information required to be disclosed in reports filed under the Exchange Act is recorded, processed, summarized and reported within the required time periods and is accumulated and communicated to our management, including our principal executive officer and principal financial officer, as appropriate to allow timely decisions regarding required disclosure.
+Added: Our principal executive officer and principal financial officer do not expect that our disclosure controls or internal controls will prevent all error and all fraud.
Although our disclosure controls and procedures were designed to provide reasonable assurance of achieving their objectives, a control system, no matter how well conceived and operated, can provide only reasonable, but not absolute assurance that the objectives of the system are met.
6 unchanged sentences
Our management is responsible for establishing and maintaining adequate internal control over financial reporting, as such term is defined in Exchange Act Rules 13a-15(f) and 15d-15(f).
−Removed: Under the supervision and with the participation of our Chief Executive Officer and Senior Vice President, Finance and Chief Accounting Officer, our management conducted an evaluation of the effectiveness of our internal control over financial reporting based on the framework in Internal Control—Integrated Framework (2013) issued by the Committee of Sponsoring Organizations of the Treadway Commission.
+Added: Under the supervision and with the participation of our Chief Executive Officer and Chief Financial Officer, our management conducted an evaluation of the effectiveness of our internal control over financial reporting based on the framework in Internal Control—Integrated Framework (2013) issued by the Committee of Sponsoring Organizations of the Treadway Commission.
Based on that evaluation, our management concluded that our internal control over financial reporting was effective as of December 31, 2022.
5 unchanged sentences
OTHER INFORMATION
+Added: DISCLOSURE REGARDING FOREIGN JURISDICTIONS THAT PREVENT INSPECTIONS
+Added: Not applicable.
DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE
49 unchanged sentences
Number Description Form Exhibit Filing Date
+Added: 4.15 Form of Warrant
+Added: 8-K 4.1 April 1, 2022
4.16 Description of Securities.
14 unchanged sentences
10-K 10.9 April 13, 2018
−Removed: 10.7* Employment Agreement by and between the Registrant and Angelos Stergiou, effective July 1, 2019
+Added: 10.7* Employment Agreement, effective July 1, 2019, by and between the Registrant and Angelos Stergiou.
10-Q 10.3 May 14, 2020
−Removed: 10.8* Letter Employment Agreement by and between the Registrant and Barbara Wood, dated March 14, 2018
+Added: 10.8* Letter Employment Agreement, dated March 14, 2018, by and between the Registrant and Barbara Wood.
8-K 10.1 March 19, 2018
−Removed: 10.9* Employment Agreement by and between the Registrant and John Burns, effective as of January 11, 2018
+Added: 10.9* Employment Agreement, effective as of January 11, 2018, by and between the Registrant and John Burns.
8-K 10.1 January 18, 2018
−Removed: 10.10* Change in Control Severance Agreement by and between the Registrant and Dragan Cicic, M.D.
+Added: 10.10* Change in Control Severance Agreement, dated December 14, 2021, by and between the Registrant and Dragan Cicic, M.D.
8-K 10.1 December 16, 2021
35 unchanged sentences
10-Q 10.6 August 15, 2011
−Removed: 10.17 Scientific Advisory Agreement between the Registrant (formerly Galena Biopharma, Inc.) and George E.
−Removed: Peoples, Ph.D., dated April 13, 2011
+Added: 10.17 Scientific Advisory Agreement, dated April 13, 2011, between the Registrant (formerly Galena Biopharma, Inc.) and George E.
+Added: Peoples, Ph.D.
10-Q 10.10 August 15, 2011
6 unchanged sentences
8-K 10.1 September 21, 2011
−Removed: 10.20+ License Agreement, effective as of April 30, 2009, between Kwangdong Pharmaceutical Co., Ltd.
+Added: 10.20+ License Agreement, effective as of April 30, 2009, by and between Kwangdong Pharmaceutical Co., Ltd.
and Apthera, Inc.
5 unchanged sentences
10-K 10.43 March 12, 2013
−Removed: 10.23+ License and Development Agreement, dated January 13, 2014, between the Registrant and Dr.
+Added: 10.23+ License and Development Agreement, dated January 13, 2014, by and between the Registrant and Dr.
Reddy’s Laboratories, Ltd.
2 unchanged sentences
10-K 10.37 March 17, 2014
−Removed: 10.25 Amendment of the Exclusive License Agreement by and between Mills Pharmaceuticals, LLC and BioVascular, Inc.
+Added: 10.25 Amendment of the Exclusive License Agreement, dated September 7, 2017, by and between Mills Pharmaceuticals, LLC and BioVascular, Inc.
8-K 10.1 September 11, 2017
13 unchanged sentences
8-K 10.1 January 7, 2020
−Removed: 10.33 Securities Purchase Agreement dated January 9, 2020 between the Registrant and certain Investors
−Removed: 8-K 10.1 January 10, 2020
10.33 Form of Placement Agent Agreement.
2 unchanged sentences
8-K 10.1 June 11, 2020
−Removed: 10.36 First Amendment to Sublease dated December 6, 2021 between the Registrant and Riemer & Braunstein LLP
Number Description Form Exhibit Filing Date
+Added: 10.35 First Amendment to Sublease, dated December 6, 2021, by and between the Registrant and Riemer & Braunstein LLP.
+Added: 10-K 10.36 March 31, 2022
10.36* 2021 Employee Stock Purchase Plan.
S-8 99.4 August 13, 2021
−Removed: 10.38 Securities Purchase Agreement dated July 31, 2020 between the Registrant and certain institutional and accredited investors
−Removed: 8-K 10.1 August 4, 2020
10.37 Form of Registration Rights Agreement.
2 unchanged sentences
8-K 10.1 January 28, 2021
−Removed: 10.41 Share Purchase Agreement dated December 13, 2020 between the Registrant and certain investors
−Removed: 8-K 10.1 December 14, 2020
−Removed: 10.42 Termination Agreement between the Registrant, The Henry M.
−Removed: Jackson Foundation, and the MD Anderson Cancer Center, dated February 4, 2021
+Added: 10.39+ Side Letter Agreement, dated December 5, 2022, by and between the Registrant and 3D Medicines Inc.
+Added: 10.40 Termination Agreement, dated February 4, 2021, among the Registrant, The Henry M.
+Added: Jackson Foundation, and the MD Anderson Cancer Center.
10-K 10.50 March 23, 2021
−Removed: 10.43 Controlled Equity Offering SM Sales Agreement , dated as o f April 16, 2021, by and among SELLAS Life Sciences Group, Inc.
+Added: 10.41 Sales Agreement, dated as of April 16, 2021, by and between SELLAS Life Sciences Group, Inc.
and Cantor Fitzgerald & Co.
S-3 1.2 April 16, 2021
+Added: 10.42+ License Agreement, dated March 31, 2022, by and between SELLAS Life Sciences Group, Inc.
+Added: and GenFleet Therapeutics (Shanghai) Inc.
+Added: 10-Q 10.1 May 12, 2022
14.1 Code of Business Conduct and Ethics.
34 unchanged sentences
Stergiou President, Chief Executive Officer and Director
−Removed: (Principal Executive Officer and Principal Financial Officer) March 31, 2022
+Added: (Principal Executive Officer) March 16, 2023
Stergiou, M.D., ScD h.c.
−Removed: Burns Senior Vice President, Finance and Chief Accounting Officer
−Removed: (Principal Accounting Officer) March 31, 2022
+Added: Burns Senior Vice President, Chief Financial Officer
+Added: (Principal Financial and Accounting Officer) March 16, 2023
/s/ Jane Wasman Chair of the Board of Directors March 16, 2023
4 unchanged sentences
/s/ John Varian Director March 16, 2023
+Added: /s/ Katherine Kalin Director March 16, 2023
+Added: Katherine Kalin
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.