Seres Therapeutics Inc
For the period ended Dec 31, 2023. Filed Mar 5, 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 Mar 5, 2024
MCRB$1.56-8.2%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 15. Exhibits and Financial Statement Schedules
Item 15. Exhibits and Financial Statements Schedules
(a)(1) Financial Statements.
See the “Index to Consolidated Financial Statements” on page F-1 below for the list of financial statements filed as part of this report.
(a)(2) Financial Statement Schedules.
All schedules have been omitted because they are not required or because the required information is given in the Consolidated Financial Statements or Notes thereto set forth below beginning on page F-1.
(a)(3) Exhibits.
The following is a list of all exhibits filed as a part of this Annual Report on Form 10-K.
| Incorporated by Reference · Filed/ | ||||||
|---|---|---|---|---|---|---|
| ExhibitNumber | Exhibit Description | Form | File No. | Exhibit | FilingDate | FurnishedHerewith |
| 3.1 | Restated Certificate of Incorporation | 8-K | 001-37465 | 3.1 | 7/1/15 | |
| 3.2 | Certificate of Amendment to Restated Certificate of Incorporation of Registrant, dated June 27, 2023 | 8-K | 001-37465 | 3.1 | 6/28/23 | |
| 3.3 | Amended and Restated Bylaws | 8-K | 001-37465 | 3.1 | 1/2/24 | |
| 4.1 | Specimen Stock Certificate evidencing the shares of common stock | S-1/A | 333-204484 | 4.2 | 6/16/15 | |
| 4.2 | Description of Capital Stock | * | ||||
| 4.3 | Form of Warrant, dated April 27, 2023, issued by the Registrant to the Lenders, together with a schedule of warrant holders | 8-K | 001-37465 | 4.1 | 4/27/23 | |
| 10.1# | 2015 Incentive Award Plan, as amended and forms of award agreements thereunder | 10-K | 001-37465 | 10.1 | 3/7/23 | |
| 10.2# | 2015 Employee Stock Purchase Plan | S-1/A | 333-204484 | 10.3 | 6/16/15 | |
| 10.3# | 2012 Stock Incentive Plan, as amended and form of option agreement thereunder | S-1 | 333-204484 | 10.1 | 5/27/15 | |
| 10.4# | 2022 Employment Inducement Award Plan and forms of award agreements thereunder | 10-K | 001-37465 | 10.4 | 3/7/23 | |
| 10.5# | Non-Employee Director Compensation Program | 10-K | 001-37465 | 10.5 | 3/7/23 | |
| 10.6 | Lease, dated September 22, 2021, by and between the Registrant and HCP/KING 101 CPD LLC | * | ||||
| 10.7# | Second Amended and Restated Employment Agreement, dated January 29, 2021, by and between the Registrant and Eric D. Shaff | 8-K | 001-37465 | 10.1 | 2/1/21 | |
| 10.8# | Amended and Restated Employment Agreement, dated January 29, 2021, by and between the Registrant and Thomas J. DesRosier | 8-K | 001-37465 | 10.2 | 2/1/21 | |
| 10.9# | Second Amended and Restated Employment Agreement, dated January 29, 2021, by and between the Registrant and Matthew R. Henn, Ph.D. | 8-K | 001-37465 | 10.3 | 2/1/21 | |
| 10.10# | Amended and Restated Employment Agreement, dated January 29, 2021, by and between the Registrant and David S. Ege, Ph.D. | 10-Q | 001-37465 | 10.2 | 8/3/21 | |
| 10.11# | Letter Agreement, dated November 4, 2021, by and between the Registrant and David S. Ege, Ph.D. | 10-Q | 001-37465 | 10.2 | 11/10/21 | |
| 10.12# | Amended and Restated Employment Agreement, dated January 29, 2021, by and between the Registrant and Teresa L. Young | 10-K | 001-37465 | 10.13 | 3/2/21 | |
| 10.13# | Amended and Restated Employment Agreement, dated January 29, 2021, by and between the Registrant and Lisa von Moltke, M.D. | 10-K | 001-37465 | 10.14 | 3/2/21 | |
| 10.14# | Employment Agreement, dated May 10, 2021 by and between the Registrant and David Arkowitz | 8-K | 001-37465 | 10.1 | 5/20/21 | |
| 10.15^ | Collaboration and License Agreement, dated January 9, 2016, by and between the Registrant and Société des Produits Nestlé S.A. | 10-Q | 001-37465 | 10.1 | 5/16/16 | |
| 10.16 | Amendment No. 1 to the Collaboration and License Agreement, dated August 10, 2016, by and between the Registrant and Nestec Ltd. | 10-K | 001-37465 | 10.22 | 3/6/19 | |
| 10.17^ | Letter Agreement dated October 30, 2018, by and between the Registrant and Nestec Ltd. | 10-K | 001-37465 | 10.23 | 3/6/19 | |
| 10.18 | Securities Purchase Agreement, dated August 12, 2020 by and between the Company and Société des Produits Nestlé S.A. | 8-K | 001-37465 | 10.1 | 8/14/20 | |
| 10.19† | License Agreement, dated July 1, 2021, by and between the Registrant and NHSc Pharma Partners | 10-Q | 001-37465 | 10.1 | 11/10/21 | |
| 10.20† | Amendment No. 1 to License Agreement, dated March 24, 2022, by and between the Registrant and NHSc Pharma Partners | 10-Q | 001-37465 | 10.3 | 5/4/222 | |
| 10.21† | Long Term Manufacturing Agreement, dated November 8, 2021, by and between the Registrant and BacThera AG | 10-K | 001-37465 | 10.25 | 3/1/22 | |
| 10.22† | Amendment to Long Term Manufacturing Agreement, dated December 14, 2022, by and between the Registrant and BacThera AG | 10-K | 001-37465 | 10.28 | 3/7/23 | |
| 10.23 | Form of Non-Affiliate Purchase Agreement | 8-K | 001-37465 | 10.1 | 6/30/22 | |
| 10.24 | Form of Affiliate Purchase Agreement | 8-K | 001-37465 | 10.2 | 6/30/22 | |
| 10.25 | Placement Agency Agreement, dated June 29, 2022, by and between Registrant and J.P. Morgan Securities LLC | 8-K | 001-37465 | 10.3 | 6/30/22 | |
| 10.26† | Supply Agreement, dated September 15, 2015, by and between Registrant and GenIbet BioPharmaceuticals, SA, as amended | * | ||||
| 10.27† | Supply Agreement, dated March 13, 2023, by and between the Registrant and Nestlé Enterprises S.A. | 10-Q | 001-37465 | 10.1 | 5/9/23 | |
| 10.28 | Credit Agreement and Guaranty, dated April 27, 2023, among the Registrant, as the borrower, the subsidiary guarantors from time to time party thereto, the lenders from time to time party thereto, and Oaktree Fund Administration, LLC, as administrative agent for the lenders | 8-K | 001-37465 | 10.1 | 4/27/23 | |
| 21.1 | Subsidiaries of Seres Therapeutics, Inc. | 10-K | 001-37465 | 21.1 | 3/2/20 | |
| 23.1 | Consent of PricewaterhouseCoopers LLP, Independent Registered Public Accounting Firm | * | ||||
| 31.1 | Rule 13a-14(a)/15d-14(a) Certification of Chief Executive Officer | * | ||||
| 31.2 | Rule 13a-14(a)/15d-14(a) Certification of Chief Financial Officer | * |
| 32.1 | Section 1350 Certification of Chief Executive Officer | ** |
| 32.2 | Section 1350 Certification of Chief Financial Officer | ** |
| 97.1# | Policy for Recovery of Erroneously Awarded Compensation | * |
| 101.INS | Inline XBRL Instance Document- the Instance Document does not appear in the interactive data file because its XBRL tags are embedded within the Inline XBRL document | * |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | * |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) | * |
- Filed herewith.
** Furnished herewith.
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