Other Information
−Removed: Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics
−Removed: Effective August 12, 2022, the Board adopted a revised Code of Ethics and Conduct (the “Revised Code”).
−Removed: The Revised Code applies to all employees, officers and directors of the Company.
−Removed: The Revised Code was adopted to reflect what the Company considers to be current best practices and policies for an operating company and to make certain technical, administrative and non-substantive amendments to the prior Code of Ethics and Conduct.
−Removed: The adoption of the Revised Code did not relate to or result in any waiver, explicit or implicit, of any provision of the prior Code of Ethics and Conduct.
−Removed: The above description of the Revised Code does not purport to be complete and is qualified in its entirety by reference to the full text of the Revised Code, a copy of which is filed as Exhibit 14.1 hereto and incorporated herein by reference.
−Removed: The Revised Code is also available on the Company’s investor relations website (ir.alaunos.com).
−Removed: The contents of the Company’s website are not incorporated by reference in this Quarterly Report on Form 10-Q or made a part hereof for any purpose.
Amended and Restated Certificate of Incorporation of the Registrant, and all amendments thereto.
1 unchanged sentence
001-33038, filed September 22, 2020).
−Removed: Fourth Amendment to the Cooperative Research and Development Agreement, dated June 24, 2022, by and between the National Cancer Institute and the Registrant.
−Removed: Equity Distribution Agreement, dated August 12, 2022, by and between Piper Sandler & Co.
−Removed: and the Registrant.
−Removed: Code of Ethics and Conduct, as amended August 12, 2022.
Certification of Principal Executive Officer pursuant to Exchange Act Rule 13a-14(a) or 15(d)-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
14 unchanged sentences
(On Behalf of the Registrant and as Principal Executive Officer and Principal Financial Officer)
−Removed: August 15, 2022
+Added: November 14, 2022
/s/ Michael Wong
1 unchanged sentence
(Principal Accounting Officer)
−Removed: August 15, 2022
+Added: November 14, 2022
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.