4D Molecular Therapeutics Inc
For the period ended Dec 31, 2023. Filed Feb 29, 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 29, 2024
FDMT$12.46-0.2%Stored close · as of Nov 10, 2026
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Item 15. Exhibits, Financial Statement Schedules
(a)
The financial statements schedules and exhibits filed as part of this Annual Report on Form 10-K are as follows:
(1)
Financial Statements;
Reference is made to the financial statements included in Item 8 of Part II hereof.
(2)
Financial Statement Schedules
All financial statement schedules are omitted because they are not required or the required information is included in the financial statements or notes thereto.
(3)
Exhibits
The exhibits required to be filed as part of this report are listed in the Exhibit List attached hereto and are incorporated herein by reference.
Exhibit Index
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| ExhibitNumber | Exhibit Description | Form | Date | Number | FiledHerewith |
| 3.1 | Amended and Restated Certificate of Incorporation, as currently in effect. | 8-K | 12/15/20 | 3.1 | |
| 3.2 | Amended and Restated Bylaws, as currently in effect. | 8-K | 11/22/23 | 3.1 | |
| 4.1 | Description of Securities of the Registrant. | 10-K | 3/15/23 | 4.1 | |
| 4.2 | Form of Common Stock Certificate. | S-1/A | 12/7/20 | 4.2 | |
| 4.3 | Form of Pre-Funded Warrant | 8-K | 2/9/2024 | 4.1 | |
| 10.1(a)# | 2015 Equity Incentive Plan. | S-1 | 11/17/20 | 10.1(a) | |
| 10.1(b)# | Form of Stock Option Agreement under 2015 Equity Incentive Plan. | S-1 | 11/17/20 | 10.1(b) | |
| 10.2(a)# | 2020 Incentive Award Plan. | S-8 | 12/15/20 | 99.2(a) | |
| 10.2(b)# | Form of Stock Option Grant Notice and Stock Option Agreement under the 2020 Incentive Award Plan. | S-1/A | 12/7/20 | 10.2(b) | |
| 10.2(c)# | Form of Restricted Stock Award Grant Notice and Restricted Stock Award Agreement under the 2020 Incentive Award Plan. | S-1/A | 12/7/20 | 10.2(c) | |
| 10.2(d)# | Form of Restricted Stock Unit Award Grant Notice and Restricted Stock Unit Award Agreement under the 2020 Incentive Award Plan. | S-1/A | 12/7/20 | 10.2(d) | |
| 10.3# | 2020 Employee Stock Purchase Plan. | S-8 | 12/15/20 | 99.3 | |
| 10.4† | Form of Indemnification Agreement for directors and officers. | S-1/A | 12/7/20 | 10.4 | |
| 10.5† | Amended and Restated Collaboration and License Agreement, dated August 6, 2019, between the Registrant and uniQure biopharma B.V. | S-1 | 11/17/20 | 10.6 | |
| 10.6† | Collaboration and License Agreement, dated August 6, 2019, by and between the Registrant and uniQure biopharma B.V. | S-1 | 11/17/20 | 10.7 | |
| 10.7† | Exclusive License and Bailment Agreement, dated December 19, 2013, between the Registrant and The Regents of the University of California. | S-1/A | 12/7/20 | 10.8 | |
| 10.8† | Exclusive License and Bailment Agreement, dated December 19, 2013, between the Registrant and The Regents of the University of California. | S-1/A | 12/7/20 | 10.9 | |
| 10.9# | Offer Letter, dated March 20, 2015 between David Kirn, M.D. and the Registrant. | S-1/A | 12/7/20 | 10.10 | |
| 10.10# | Change in Control and Severance Agreement, dated September 22, 2021, by and between David Kirn and 4D Molecular Therapeutics, Inc. | 8-K | 9/24/21 | 10.1 | |
| 10.11# | Change in Control and Severance Agreement, dated September 22, 2021, by and between Fred Kamal and 4D Molecular Therapeutics, Inc. | 10-Q | 11/10/21 | 10.4 | |
| 10.12# | Restated Amended and Restated Non-Employee Director Compensation Policy. | 10-Q | 5/12/22 | 10.1 | |
| 10.13† | License Agreement between the Registrant and Astellas Gene Therapies, Inc., dated as of July 5, 2023 | 10-Q | 11/9/23 | 10.1 | |
| 10.14# | Offer Letter, dated September 4, 2023, between Uneek Mehra and the Registrant | X | |||
| 10.15# | Change in Control and Severance Agreement, dated August 29, 2023, by and between Uneek Mehra and the Registrant | X | |||
| 10.16# | Change in Control and Severance Agreement, dated September 22, 2021, by and between Scott Bizily and the Registrant | X |
| 10.17# | Amended and Restated Change in Control and Severance Agreement, dated June 23, 2023 by and between Robert Kim and the Registrant | X |
| 23.1 | Consent of PricewaterhouseCoopers LLP, Independent Registered Public Accounting Firm. | X |
| 31.1 | Certification of the 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. | X |
| 31.2 | Certification of the 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. | X |
| 32.1* | Certifications of the Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X |
| 97 | Registrant’s Policy for Recovery of Erroneously Awarded Compensation | X |
| 101.INS | Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL document. | X |
| 101.SCH | Inline XBRL Taxonomy Extension Schema with Embedded Linkbase Documents | X |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) | X |
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