Personalis Inc
For the period ended Dec 31, 2023. Filed Feb 28, 2024.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Feb 28, 2024
PSNL$15.88-0.4%Stored close · as of Nov 10, 2026
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Item 15. Exhibits, Financial Statement Schedules
(a) Financial Statements and Schedules
The financial statements are set forth under Item 8 of this Annual Report on Form 10-K, as indexed below. Financial statement schedules have been omitted since they either are not required, not applicable, or the information is otherwise included.
| INDEX TO CONSOLIDATED FINANCIAL STATEMENTS | |
|---|---|
| Page | |
| Consolidated Balance Sheets | 66 |
| Consolidated Statements of Operations | 67 |
| Consolidated Statements of Comprehensive Loss | 68 |
| Consolidated Statements of Stockholders’ Equity | 69 |
| Consolidated Statements of Cash Flows | 70 |
| Notes to Consolidated Financial Statements | 71 |
| Reports of Independent Registered Public Accounting Firms | 91 |
(b) Exhibits
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| ExhibitNumber | Description | Form | File No. | Exhibit | Filing Date |
| 3.1 | Amended and Restated Certificate of Incorporation of the Registrant. | 8-K | 001-38943 | 3.1 | 6/24/2019 |
| 3.2 | Amended and Restated Bylaws of the Registrant. | 8-K | 001-38943 | 3.1 | 10/31/2022 |
| 4.1 | Description of Securities of Personalis, Inc. | 10-K | 001-38943 | 4.1 | 2/25/2021 |
| 4.2 | Form of Common Stock Certificate of the Registrant. | S-1/A | 333-231703 | 4.1 | 6/7/2019 |
| 4.3 | Warrant to Purchase Shares of Common Stock of Personalis, Inc., dated November 28, 2023, and expiring December 31, 2024 (the “First Warrant”). | 8-K | 001-38943 | 4.1 | 11/28/2023 |
| 4.4 | Warrant to Purchase Shares of Common Stock of Personalis, Inc., dated November 28, 2023, and expiring December 31, 2025 (the “Second Warrant”). | 8-K | 001-38943 | 4.2 | 11/28/2023 |
| 10.1# | Personalis, Inc. 2011 Equity Incentive Plan, as amended, and forms of agreements thereunder. | S-1 | 333-231703 | 10.1 | 5/23/2019 |
| 10.2# | Personalis, Inc. 2019 Equity Incentive Plan and forms of agreements thereunder. | S-1/A | 333-231703 | 10.2 | 6/7/2019 |
| 10.3# | Personalis, Inc. 2019 Employee Stock Purchase Plan. | S-1/A | 333-231703 | 10.3 | 6/7/2019 |
| 10.4#* | Personalis, Inc. 2020 Inducement Plan, as amended. | ||||
| 10.5#* | Form of RSU Award Agreement under 2020 Inducement Plan. | ||||
| 10.6#* | Form of Option Agreement under 2020 Inducement Plan. | ||||
| 10.7# | Form of Indemnification Agreement entered into by and between the Registrant and each director and executive officer. | S-1/A | 333-231703 | 10.4 | 6/7/2019 |
| 10.8# | Amended and Restated Non-Employee Director Compensation Policy, dated March 2, 2023. | 10-Q | 001-38943 | 10.1 | 5/3/2023 |
| 10.9# | Amended and Restated Employment Agreement dated March 7, 2023, between the Company and Aaron Tachibana. | 8-K | 001-38943 | 10.1 | 3/8/2023 |
| 10.10# | Amended and Restated Offer Letter, dated March 7, 2023, between the Company and Christopher Hall. | 8-K | 001-38943 | 10.2 | 3/8/2023 |
| 10.11# | Amended and Restated Employment Agreement dated March 8, 2023, between the Company and Richard Chen. | 8-K | 001-38943 | 10.3 | 3/8/2023 |
| 10.12#* | Second Amended and Restated Executive Severance Agreement, dated September 25, 2023, between the Company and Christopher Hall. | ||||
| 10.13#* | Third Amended and Restated Executive Severance Agreement, dated September 25, 2023, between the Company and Aaron Tachibana. | ||||
| 10.14#* | Third Amended and Restated Executive Severance Agreement, dated September 25, 2023, between the Company and Richard Chen. | ||||
| 10.15#* | Second Amended and Restated Executive Severance Agreement, dated September 18, 2023, between the Company and Stephen Moore. | ||||
| 10.16Ω‡ | Commercialization and Reference Laboratory Agreement, between Personalis, Inc. and Tempus AI, Inc. (f/k/a Tempus Labs, Inc.), dated November 25, 2023. | 8-K | 001-38943 | 10.1 | 11/28/2023 |
| 10.17 | Lease, by and between MENLO PREHC I, LLC, MENLO PREPI I, LLC, TPI INVESTORS 9, LLC and the Registrant, dated February 2, 2015. | S-1 | 333-231703 | 10.9 | 5/23/2019 |
| 10.18 | First Amendment to Lease, by and between MENLO PREPI I, LLC and TPI INVESTORS 9, LLC and the Registrant, dated April 8, 2020. | 10-Q | 001-38943 | 10.1 | 8/6/2020 |
| 10.19 | Lease, by and between Ardenwood Ventures I, LLC and the Registrant, dated August 25, 2021. | 10-Q | 001-38943 | 10.1 | 11/4/2021 |
| 10.20 | Amendment No. 1 to Lease, by and between Ardenwood Ventures I, LLC and the Registrant, dated December 8, 2021. | 10-K | 001-38943 | 10.16 | 2/24/2022 |
| 10.21 | Amendment No. 2 to Lease, by and between Ardenwood Ventures I, LLC and the Registrant, dated June 9, 2022. | 10-Q | 001-38943 | 10.1 | 8/3/2022 |
| 10.22 | Amendment No. 3 to Lease, by and between Ardenwood Ventures I, LLC and the Registrant, dated December 19, 2022. | 10-K | 001-38943 | 10.19 | 2/23/2023 |
| 10.23‡ | Contract No. 36C24E22D0031, by and between the U.S. Department of Veterans Affairs and the Registrant, dated September 30, 2022. | 10-Q | 001-38943 | 10.1 | 11/2/2022 |
| 21.1 | Subsidiaries of the Registrant as of December 31, 2023. | ||||
| 23.1 | Consent of Independent Registered Public Accounting Firm. | ||||
| 23.2 | Consent of Independent Registered Public Accounting Firm. |
| 24.1 | Power of Attorney (included on the Signatures page of this Annual Report on Form 10-K). |
| 31.1 | Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
| 31.2 | Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
| 32.1† | Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| 32.2† | Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| 97#* | Incentive Compensation Recoupment Policy. |
| 101* | Inline XBRL Document Set for the consolidated financial statements and accompanying notes in Part II, Item 8, “Financial Statements and Supplementary Data” of this Annual Report on Form 10-K. |
| 104* | Inline XBRL for the cover page of this Annual Report on Form 10-K, included in the Exhibit 101 Inline XBRL Document Set. |
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