Stoke Therapeutics Inc
For the period ended Dec 31, 2023. Filed Mar 25, 2024.
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FY2023 · Filed Mar 25, 2024
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Item 15. Exhibits, Financial Statement Schedules
(a) The following documents are filed as a part of this Form 10-K:
Financial Statements
Our consolidated financial statements are listed in the “Index to Consolidated Financial Statements” under Part II, Item 8 of this Form 10-K.
Financial Statement Schedules
Financial statement schedules not listed have been omitted because they are not applicable, or the required information is shown in the consolidated financial statements or notes thereto.
Exhibits
| ExhibitNumber | Description | Form | File No. | ExhibitFiling Date | ExhibitNo. | Filed/FurnishedHerewith |
|---|---|---|---|---|---|---|
| 3.1 · Restated Certificate of Incorporation, as amended. · X | ||||||
| 3.2 | Restated Bylaws, as amended. | 8-K | 001-38938 | February 3, 2023 | 3.1 | |
| 4.1 | Form of Common Stock Certificate. | S-1 | 333-231700 | June 7, 2019 | 4.1 | |
| 4.2 | Description of Common Stock Registered Under Section 12 of the Securities Exchange Act of 1934. | X | ||||
| 4.3# | Registration Rights Agreement, by and among the Registrant, Blue Horizon Enterprise Ltd. and Ezbon International Limited, dated May 3, 2023. | 10Q | 001-38938 | May 4, 2023 | 4.1 | |
| 10.1* | Form of Indemnification Agreement with directors and officers. | S-1 | 333-231700 | June 7, 2019 | 10.1 | |
| 10.2* | 2014 Equity Incentive Plan, as amended, and forms of award agreements. | S-1 | 333-231700 | May 23, 2019 | 10.2 | |
| 10.3* | 2019 Equity Incentive Plan, and forms of award agreements. | 10-K | 001-38938 | March 6, 2023 | 10.3 | |
| 10.4* | 2019 Employee Stock Purchase Plan, and forms of award agreements. | S-1 | 333-231700 | June 7, 2019 | 10.5 | |
| 10.5* | 2023 Inducement Plan, and forms of award agreements. | S-8 | 333-271273 | April 13, 2023 | 99.1 | |
| 10.6* | Amended and Restated Executive Employment Agreement, by and between the Registrant and Edward M. Kaye, effective as of October 21, 2020. | 10-Q | 001-38938 | November 12, 2020 | 10.1 | |
| 10.7* | Amended and Restated Executive Employment Agreement, by and between the Registrant and Stephen J. Tulipano, effective as of October 21, 2020. | 10-Q | 001-38938 | November 12, 2020 | 10.2 | |
| 10.8* | Amended and Restated Executive Employment Agreement, by and between the Registrant and Barry Ticho, effective as of October 21, 2020. | 10-K | 001-38938 | March 9, 2021 | 10.7 | |
| ExhibitNumber | Description | Form | File No. | ExhibitFiling Date | ExhibitNo. | Filed/FurnishedHerewith |
|---|---|---|---|---|---|---|
| 10.9* | Change of Control and Severance Agreement, by and between the Registrant and Edward M. Kaye, effective as of October 21, 2020. | 10-Q | 001-38938 | November 12, 2020 | 10.4 | |
| 10.10* | Change of Control and Severance Agreement, by and between the Registrant and Stephen J. Tulipano, effective as of October 21, 2020. | 10-Q | 001-38938 | November 12, 2020 | 10.5 | |
| 10.11* | Change of Control and Severance Agreement, by and between the Registrant and Barry Ticho, effective as of October 21, 2020. | 10-K | 001-38938 | March 9, 2021 | 10.10 | |
| 10.12 | Lease Agreement, dated as of September 8, 2021, by and between ARE-MA Region No. 24, LLC and the Registrant, as amended to date. | X | ||||
| 10.13 | Lease Agreement, by and between MIT 139 Main Street Leasehold LLC, and the Registrant., as amended to date. | 10-Q | 001-38938 | August 10, 2021 | 10.1 | |
| 10.14 | Scientific Advisory Board Agreement by and between the Registrant and Adrian Krainer, Ph.D., dated June 1, 2022. | 10-Q | 001-38938 | August 8, 2022 | 10.1 | |
| 10.15† | License and Collaboration Agreement, dated as of January 9, 2022, by and between Acadia Pharmaceuticals Inc. and the Registrant. | 10-Q | 001-38938 | May 10, 2022 | 10.1 | |
| 10.16 | Controlled Equity Offering Sales Agreement, dated as of May 20, 2022, between the Registrant and Cantor Fitzgerald & Co.. | S-3 | 333-265107 | May 20, 2022 | 1.2 | |
| 21.1 | Subsidiary of the Registrant. | S-1 | 333-231700 | May 23, 2019 | 21.1 | |
| 23.1 | Consent of independent registered public accounting firm. | X | ||||
| 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. | X | ||||
| 31.2 | 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. | X | ||||
| 32.1** | 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. | X | ||||
| 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. | X | ||||
| 97 | Compensation Recovery Policy | X | ||||
| 101.INS | Inline XBRL Instance Document. | X | ||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document. | X | ||||
| ExhibitNumber | Description | Form | File No. | ExhibitFiling Date | ExhibitNo. | Filed/FurnishedHerewith |
| 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 | Inline Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101). | X | ||||
† Registrant has omitted certain portions of the exhibit pursuant to Item 601(b)(10) of Regulation S-K.
- Indicates a management contract or compensatory plan or arrangement in which directors or executive officers are eligible to participate.
** The certifications furnished in Exhibits 32.1 and 32.2 hereto are deemed to accompany this Form 10-K and are not deemed “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liability of that section, nor shall they be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act.
Registrant has omitted schedules and exhibits pursuant to Item 601(a)(5) of Regulation S-K. The Registrant agrees to furnish supplementally a copy of the omitted schedules and exhibits to the SEC upon request.
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