Item 5. Other Information
ITEM 5. OTHER INFORMATION
Not applicable.
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ITEM 6. EXHIBITS
The exhibits listed in the Exhibit Index are required by Item 601 of Regulation S-K. The SEC file number for all items incorporated by reference herein from reports on Forms 10-K, 10-Q, and 8-K is 001-36483.
Incorporated by Reference
Exhibit
Number Description of Exhibit Form Filing Date Number
3.1
Certificate of Incorporation of the Registrant.
10-Q 08/14/2014 3.1
3.2
Certificate of Amendment of Certificate of Incorporation of the Registrant.
S-4 12/02/2016 3.3
3.3
Certificate of Amendment of Certificate of Incorporation of the Registrant.
8-K 02/13/2017 3.1
3.4
Certificate of Amendment of Certificate of Incorporation of the Registrant.
8-K 02/13/2017 3.2
3.5
Amended and Restated Bylaws of the Registrant.
10-Q 08/15/2016 3.1
3.6
Amendment to the Amended and Restated Bylaws of the Registrant.
8-K 02/13/2017 3.3
3.7
Certificate of Ownership and Merger of the Registrant.
8-K 02/13/2017 3.4
4.1
Specimen Common Stock Certificate.
S-1 03/19/2014 4.1
4.4
Form of Warrant to Purchase Common Stock
8-K 02/07/2020 4.1
10.1
Fourth Addendum to Lease by and between Registrant and Crestview, LLC, dated as of April 7, 2020.
10-Q 05/08/2020 10.2
10.2^
Amendment to Research Subaward Agreement, entered into as of April 7, 2020, by and between Registrant and Yale University.
10-Q 05/08/2020 10.3
10.3
Deferral Agreement between Silicon Valley Bank and the Registrant effective as of April 6, 2020.
10-Q 05/08/2020 10.4
10.4
U.S. Small Business Administration Paycheck Protection Program Note, by and between the Registrant and Silicon Valley Bank, dated April 21, 2020.
8-K 04/27/2020 10.1
10.5
Employment Agreement by and between the Registrant and Lee Rauch, dated as of June 16, 2020.
8-K 06/19/2020 10.1
31.1
Certification of Principal Executive Officer pursuant to Rule13a-14(a) and Rule 15d-14(a) of the Securities and Exchange Act, as amended.
x
31.2
Certification of Principal Financial Officer pursuant to Rule13a-14(a) and Rule 15d-14(a) of the Securities and Exchange Act, as amended.
x
32.1*
Certification of Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. 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
104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)
____________________
^ Certain portions of the exhibit, identified by the mark, “[*],” have been omitted because such portions contained information that is both (i) not material and (ii) would likely cause competitive harm if publicly disclosed.
* This certification is being furnished pursuant to 18 U.S.C. Section 1350 and is not being filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and is not to be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof.
** In accordance with Rule 406T of Regulation S-T, the Interactive Data Files in Exhibit 101 are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, are deemed not filed for purposes of Section 18 of the Exchange Act of 1934, as amended, and otherwise are not subject to liability under these sections.
x Field herewith.
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SIGNATURES
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.
MIRAGEN THERAPEUTICS, INC.
Date: August 5, 2020 By: /s/ William S. Marshall
William S. Marshall, Ph.D.
Chief Executive Officer
(Principal Executive Officer)
Date: August 5, 2020 By: /s/ Jason A. Leverone
Jason A. Leverone
Chief Financial Officer
(Principal Financial Officer; Principal Accounting Officer)
78
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.