Galecto Inc
For the period ended Dec 31, 2023. Filed Mar 8, 2024.
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FY2023 · Filed Mar 8, 2024
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Item 15. Exhibits, Financial Statement Schedules
(1)
For a list of the financial statements included herein, see Index to the Consolidated Financial Statements on page F-1 of this Annual Report on Form 10-K, incorporated into this Item by reference. All financial statements;
(2)
Financial statement schedules have been omitted because they are either not required or not applicable or the information is included in the consolidated financial statements or the notes thereto. Those financial statement schedules required to be filed by Item 8 of this form, and by paragraph (b) below.
(3)
Exhibits
| ExhibitNumber | Exhibit Description | Incorporated by ReferenceHerein from Form or Schedule | Filing Date | SEC File / Reg. Number |
|---|---|---|---|---|
| 3.1 | Amended and Restated Certificate of Incorporation of Registrant. | Form 8-K (Exhibit 3.1) | November 4, 2020 | 001-39655 |
| 3.2 | Amended and Restated Bylaws of the Registrant. | Form 8-K (Exhibit 3.2) | November 4, 2020 | 001-39655 |
| 4.1 | Specimen Common Stock Certificate. | Form S-1/A(Exhibit 4.1) | October 22, 2020 | 333-249369 |
| 4.2* | Description of Capital Stock. | |||
| 10.1# | 2020 Stock Option and Grant Plan. | Form S-1/A(Exhibit 10.1) | October 22, 2020 | 333-249369 |
| 10.2#* | 2020 Equity Incentive Plan, and forms of award agreements thereunder. | |||
| 10.3# | Senior Executive Cash Incentive Bonus Plan. | Form S-1/A(Exhibit 10.3) | October 22, 2020 | 333-249369 |
| 10.4# | Executive Separation Benefits Plan. | Form 8-K(Exhibit 10.1) | July 6, 2021 | 001-39655 |
| 10.5# | Form of Officer Indemnification Agreement between the Registrant and each of its executive officers. | Form S-1/A(Exhibit 10.4) | October 22, 2020 | 333-249369 |
| 10.6# | Form of Director Indemnification Agreement between the Registrant and each of its directors. | Form S-1/A(Exhibit 10.5) | October 22, 2020 | 333-249369 |
| 10.7# | Non-Employee Director Compensation Policy, as amended. | Form 8-K(Exhibit 10.1) | February 9, 2022 | 001-39655 |
| 10.8# | Service Agreement between Galecto Biotech ApS and Hans Schambye, dated April 23, 2013. | Form S-1/A(Exhibit 10.7) | October 22, 2020 | 333-249369 |
| 10.9#+ | Bonus Agreement between Galecto Biotech ApS and Hans Schambye, dated September 26, 2023. | Form 10-Q(Exhibit 10.1) | November 6, 2023 | 001-39655 |
| . | ||||
| 10.10# | Employment Agreement between Galecto, Inc. and Jonathan Freve, dated March 11, 2020. | Form S-1/A(Exhibit 10.12) | October 22, 2020 | 333-249369 |
| 10.11# | Amendment to Employment Agreement between Galecto, Inc. and Jonathan Freve, dated March 14, 2020. | Form S-1/A(Exhibit 10.13) | October 22, 2020 | 333-249369 |
| 10.12# | Retention Compensation Agreement between Galecto, Inc. and Jonathan Freve, dated September 26, 2023. | Form 10-Q(Exhibit 10.2) | November 6, 2023 | 001-39655 |
| ExhibitNumber | Exhibit Description | Incorporated by ReferenceHerein from Form or Schedule | Filing Date | SEC File / Reg. Number |
|---|---|---|---|---|
| 10.13# | Employment Contract between Galecto Biotech ApS and Bertil E. Lindmark, dated November 28, 2019. | Form S-1/A(Exhibit 10.10) | October 22, 2020 | 333-249369 |
| 10.14# | Addendum to Employment Contract between Galecto Biotech ApS and Bertil E. Lindmark, dated January 15, 2020. | Form S-1/A(Exhibit 10.11) | October 22, 2020 | 333-249369 |
| 10.15# | English language summary of Lease Agreement between Galecto Biotech ApS and COBIS A/S, dated April 5, 2021. | Form 10-Q(Exhibit 10.1) | August 5, 2021 | 001-39655 |
| 21.1* | List of Subsidiaries of the Registrant. | |||
| 23.1* | Consent of EY Godkendt Revisionspartnerselskab, independent registered public accounting firm. | |||
| 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. | |||
| 97#* | Incentive Compensation Recovery Policy. | |||
| 101.INS | Inline XBRL Instance Document | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | |||
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) | |||
*Filed herewith.
** Furnished herewith.
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