Tempest Therapeutics Inc
For the period ended Dec 31, 2023. Filed Mar 19, 2024.
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FY2023 · Filed Mar 19, 2024
TPST$0.37+3.5%Stored close · as of Nov 10, 2026
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Item 15. Exhibit and Financial Statement Schedules
ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES
We have filed the following documents as part of this Annual Report:
(a)(1) Financial Statements
The financial statements are included in Item 8. “Financial Statements and Supplementary Data.”
(a)(2) Financial Statement Schedules
All schedules are omitted as information required is inapplicable or the information is presented in the financial statements and the related notes.
(a)(3) Exhibits
| Incorporation by Reference | ||||||
|---|---|---|---|---|---|---|
| Exhibit Number | Description of Exhibit | Form | File Number | Exhibit | Filing Date | Filed or Furnished Herewith |
| 2.1* | Agreement and Plan of Merger, dated as of March 29, 2021, by and among Tempest Therapeutics, Inc., Mars Merger Corp. and Tempest Therapeutics, Inc. | 8-K | 001-35890 | 2.1 | 3/29/2021 | |
| 3.1 | Restated Certificate of Incorporation of the Registrant, as amended | 10-Q | 001-35890 | 3.1 | 5/15/2019 | |
| 3.2 | Certificate of Amendment to the Restated Certificate of Incorporation of the Company, as filed with the Secretary of State of the State of Delaware on June 24, 2021 | 8-K | 001-35890 | 3.1 | 6/28/2021 | |
| 3.3 | Certificate of Amendment to the Restated Certificate of Incorporation of the Company, as filed with the Secretary of State of the State of Delaware on June 25, 2021 | 8-K | 001-35890 | 3.2 | 6/28/2021 | |
| 3.4 | Certificate of Designation of Series A Junior Participating Preferred Stock filed with the Secretary of State of the State of Delaware on October 10, 2023 | 8-K | 001-35890 | 3.1 | 10/11/2023 | |
| 3.5 | Amended and Restated Bylaws of the Registrant | 8-K | 001-35890 | 3.1 | 9/24/2021 | |
| 4.1 | Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 | X | ||||
| 4.2 | Form of Tempest Therapeutics, Inc. Warrant to Purchase Stock | S-4/A | 333-255198 | 4.2 | 5/4/2021 | |
| 4.3 | Form of Pre-Funded Warrant | 8-K | 001-35890 | 4.1 | 5/2/2022 | |
| 4.4 | Registration Rights Agreement, dated April 26, 2022, by and among Tempest Therapeutics, Inc. and the persons party thereto | 8-K | 001-35890 | 10.2 | 5/2/2022 | |
| 4.5 | Rights Agreement, dated as of October 10, 2023, between Tempest Therapeutics, Inc. and Computershare Trust Company, N.A., which includes the form of Certificate of Designation as Exhibit A, the form of Right Certificate as Exhibit B and the Summary of Rights to Purchase Preferred Shares as Exhibit C | 8-K | 001-35890 | 4.1 | 10/11/2023 | |
| 10.1+ | 2011 Equity Incentive Plan | S-8 | 333-257727 | 10.2 | 7/7/2021 | |
| 10.2+ | 2017 Equity Incentive Plan | S-8 | 333-257727 | 10.1 | 7/7/2021 | |
| 10.3+ | Form of Stock Option Agreement under the 2017 Equity Incentive Plan | 10-K | 001-35890 | 10.3 | 3/29/2022 | |
| 10.13+ | Amended and Restated 2019 Equity Incentive Plan | 8-K | 001-35890 | 10.1 | 6/21/2022 | |
| 10.14+ | Form of Option Grant Package under 2019 Equity Incentive Plan | 10-Q | 001-35890 | 10.7 | 8/12/2019 | |
| 10.15+ | Form of RSU Grant Package under 2019 Equity Incentive Plan | 10-Q | 001-35890 | 10.8 | 8/12/2019 | |
| 10.16+ | Form of Stock Option Agreement under the Sub Plan for French Residents under 2019 Equity Incentive Plan | 10-K | 001-35890 | 10.16 | 3/11/2020 | |
| 10.17+ | Form of Inducement Nonqualified Stock Option Agreement subject to the terms of the 2019 Equity Incentive Plan | 10-K | 001-35890 | 10.17 | 3/11/2020 | |
| 10.18+ | Amended and Restated 2019 Employee Stock Purchase Plan | 8-K | 001-35890 | 10.2 | 6/21/2022 | |
| 10.19 | Loan and Security Agreement, dated January 15, 2021, by and among Oxford Finance LLC, the Lenders party thereto, and Tempest | S-4/A | 333-255198 | 10.3 | 5/4/2021 | |
| 10.20+ | Form of Indemnification Agreement | 8-K | 001-35890 | 10.1 | 7/07/2021 | |
| 10.21+ | Employment Agreement, dated July 7, 2021, by and between the Company and Stephen Brady | 8-K | 001-35890 | 10.2 | 7/07/2021 | |
| 10.22+ | Employment Agreement, dated July 7, 2021, by and between the Company and Thomas Dubensky, Ph.D. | 8-K | 001-35890 | 10.3 | 7/07/2021 | |
| 10.23+ | Employment Agreement, dated July 7, 2021, by and between the Company and Samuel Whiting, M.D., Ph.D. | 8-K | 001-35890 | 10.4 | 7/07/2021 | |
| 10.24 | Lease Agreement, dated January 24, 2022, by and between HCP Life Science REIT, Inc. and Tempest Therapeutics, Inc. | 10-K | 001-35890 | 10.24 | 03/22/2023 | |
| 10.25 | First Amendment to Loan and Security Agreement, dated December 23, 2022, by and among Oxford Finance LLC, Tempest Therapeutics, Inc., Tempest TX, Inc. and Millendo Therapeutics US, Inc. | 8-K | 001-35890 | 10.1 | 12/29/2022 | |
| 10.26# | Second Amendment to Loan and Security Agreement, dated November 3, 2023, by and among Oxford Finance LLC, Tempest Therapeutics, Inc., Tempest TX, Inc. and Millendo Therapeutics US, Inc | X | ||||
| 10.27 | Tempest Therapeutics, Inc. Amended and Restated 2023 Equity Incentive Plan | 10-Q | 001-35890 | 10.1 | 8/10/2023 | |
| 10.28 | Form of Option Grant Package under the Amended and Restated 2023 Equity Incentive Plan | 10-Q | 001-35890 | 10.2 | 8/10/2023 | |
| 10.29 | Tempest Therapeutics, Inc. 2023 Inducement Plan | 10-Q | 001-35890 | 10.3 | 8/10/2023 | |
| 10.30 | Form of Option Grant Package under the 2023 Inducement Plan | 10-Q | 001-35890 | 10.4 | 8/10/2023 | |
| 10.31+ | Separation and Consulting Agreement by and between the Registrant and Thomas Dubensky, Ph.D., dated September 15, 2023 | 10-Q | 001-35890 | 10.1 | 11/8/2023 | |
| 21.1 | Subsidiaries of the Registrant | 10-K/A | 001-35890 | 21.1 | 4/1/2022 | |
| 23.1 | Consent of Ernst & Young LLP, independent registered public accounting firm | X | ||||
| 24.1 | Power of Attorney (included on signature page) | X | ||||
| 31.1 | Certification of Principal Executive Officer pursuant to Rules 13a-14(a) and 15d-14(a) promulgated 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 Principal Financial Officer pursuant to Rules 13a-14(a) and 15d-14(a) promulgated under the Securities Exchange Act of 1934, as adopted pursuant to section 302 of the Sarbanes-Oxley Act of 2002 | X | ||||
| 32.1^ | Certification of Principal Executive Officer and Principal Financial Officer pursuant to Rules 13a-14(b) and 15d-14(b) promulgated under the Securities Exchange Act of 1934 and 18 U.S.C. Section 1350, as adopted pursuant to section 906 of The Sarbanes-Oxley Act of 2002 | X | ||||
| 97.1+ | Incentive Compensation Recoupment Policy | X | ||||
| 101.INS | Inline XBRL Instance Document | X | ||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | X | ||||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | X | ||||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | X | ||||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | X | ||||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | X | ||||
| 104 | Cover Page Interactive Data File (formatted as inline XBRL with applicable taxonomy extension contained in Exhibit 101). | |||||
- Exhibits and/or schedules have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The registrant hereby undertakes to furnish supplementally copies of any of the omitted exhibits and schedules upon request by the SEC.
- Indicates management contract or compensatory plan.
^ These certifications are being furnished solely to accompany this Annual Report pursuant to 18 U.S.C. Section 1350, and are not being filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and are not to be incorporated by reference into any filing of the Registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing.
Pursuant to Item 601(b)(10)(iv) of Regulation S-K, certain portions of this exhibit (indicated by ***) have been omitted because the identified information is not material and is the type that the Registrant treats as private or confidential.
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