BioAtla Inc
For the period ended Dec 31, 2023. Filed Mar 26, 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 26, 2024
BCAB$1.74-44.7%Stored close · as of Aug 28, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 16. Form 10-K Summary
None.
Exhibit Index
The following exhibits, if not filed or furnished herewith, are incorporated herein by reference to this Annual Report on form 10-K:
| ExhibitNumber | Exhibit Description | Form | File No. | Exhibit | ExhibitFiling Date | Filed/Furnished Herewith |
|---|---|---|---|---|---|---|
| 3.1 | Amended and Restated Certificate of Incorporation of BioAtla, Inc. | 8-K | 001-39787 | 3.1 | 12-18-2020 | |
| 3.2 | Amended and Restated Bylaws of BioAtla, Inc. | 8-K | 001-39787 | 3.1 | 01-05-2024 | |
| 4.1 | Specimen Common Stock Certificate evidencing the shares of common stock | S-1/A | 333-250093 | 4.1 | 12-08-2020 | |
| 4.2 | Investors’ Rights Agreement, dated July 13, 2020 | S-1/A | 333-250093 | 4.2 | 12-08-2020 | |
| 4.3 | Description of Securities | X | ||||
| 10.1+ | 2020 Equity Incentive Plan | S-1/A | 333-250093 | 10.1 | 12-08-2020 | |
| 10.2+ | Amendment No. 1 to 2020 Equity Incentive Plan | S-8 | 333-251520 | 99.2 | 12-18-2020 | |
| 10.3+ | 2020 Employee Stock Purchase Plan | S-1/A | 333-250093 | 10.3 | 12-08-2020 | |
| 10.4* | Exclusive Rights Agreement with Himalaya SEZC, dated January 1, 2020 | S-1 | 333-250093 | 10.4 | 11-13-2020 | |
| 10.5* | Global Co-Development and Collaboration Agreement with BeiGene, Ltd. and BeiGene Switzerland GmbH, dated April 8, 2019, as amended by First Amendment, dated December 24, 2019 and as amended by Second Amendment, October 5, 2020 | S-1 | 333-250093 | 10.8 | 11-13-2020 | |
| 10.6+ | Employment Letter Agreement between BioAtla, LLC and Jay Short, as amended by the Letter Amendment dated October 1, 2011 | S-1/A | 333-250093 | 10.11 | 12-08-2020 | |
| 10.7+ | Severance Agreement between BioAtla, LLC and Jay Short, dated July 1, 2018 | S-1/A | 333-250093 | 10.13 | 12-08-2020 | |
| 10.8+ | Offer Letter between BioAtla, LLC and Scott Smith, dated August 2, 2018 | S-1/A | 333-250093 | 10.14 | 12-08-2020 | |
| 10.9+ | Letter Agreement between BioAtla, LLC and Scott Smith, dated August 3, 2018 | S-1/A | 333-250093 | 10.15 | 12-08-2020 | |
| 10.10+ | Severance Agreement between BioAtla, LLC and Scott Smith, dated August 20, 2018 | S-1/A | 333-250093 | 10.16 | 12-08-2020 | |
| 10.11+ | Offer Letter between BioAtla, LLC and Richard Waldron, dated October 23, 2013 | 10-K | 001-39787 | 10.19 | 02-28-2022 | |
| 10.12+ | Severance Agreement between BioAtla, LLC and Richard Waldron, dated July 1, 2018 | 10-K | 001-39787 | 10.20 | 02-28-2022 | |
| ExhibitNumber | Exhibit Description | Form | File No. | Exhibit | ExhibitFiling Date | Filed/Furnished Herewith |
|---|---|---|---|---|---|---|
| 10.13+ | Offer Letter between BioAtla, LLC and Eric Sievers, dated June 17, 2019 | 10-K | 001-39787 | 10.21 | 02-28-2022 | |
| 10.14+ | Offer Letter between BioAtla, LLC and Christian Vasquez, dated October 22, 2015 | 10-K | 001-39787 | 10.22 | 02-28-2022 | |
| 10.15+ | Form of Indemnification Agreement between the Registrant and each of its executive officers or directors | S-1/A | 333-250093 | 10.18 | 12-08-2020 | |
| 10.16 | Lease Agreement with HCP Torreyana, LLC, dated June 2, 2017 | S-1/A | 333-250093 | 10.19 | 12-08-2020 | |
| 10.17 | First Amendment to Lease with HCP Torreyana, dated January 16, 2019 | X | ||||
| 10.18* | Master Clinical Trial Collaboration Agreement, dated January 5, 2022, by and between BioAtla, Inc. and Bristol-Myers Squibb Company | 10-Q | 001-39787 | 10.2 | 11-04-2022 | |
| 10.19* | First Amendment to Master Clinical Trial Agreement between BioAtla, Inc. and Bristol-Myers Squibb Company | 10-K | 001-39787 | 10.24 | 03-23-2023 | |
| 10.20* | China Clinical Trial Services Agreement, dated April 8, 2022, by and between BioAtla, Inc. and Himalaya Therapeutics Limited Company | 10-Q | 001-39787 | 10.1 | 08-09-2022 | |
| 10.21+ | Amendment No. 2 to 2020 Equity Incentive Plan | 10-K | 001-39787 | 10.26 | 02-28-2022 | |
| 10.22+ | Amendment No. 1 to Employee Stock Purchase Plan | 10-K | 001-39787 | 10.27 | 02-28-2022 | |
| 10.23* | Amendment No. 3 to Global Co-Development and Collaboration Agreement among BeiGene, Ltd., BeiGene Switzerland GmbH and BioAtla, Inc. | 10-K | 001-39787 | 10.28 | 02-28-2022 | |
| 10.24+ | Form of Non-Employee Director Stock Option Agreement | X | ||||
| 10.25+ | Form of Employee Stock Option Agreement | X | ||||
| 10.26+ | Amended and Restated BioAtla Director Compensation Policy | 10-K | 001-39787 | 10.31 | 03-23-2023 | |
| 10.27+ | BioAtla, Inc. Management Change of Control Severance Plan | 8-K | 001-39787 | 10.1 | 09-21-2022 | |
| 10.28 | Open Market Sale AgreementSM dated as of January 6, 2023, between BioAtla, Inc. and Jefferies LLC | 8-K | 001-39787 | 1.1 | 01-06-2023 | |
| 23.1 | Consent of Independent Registered Public Accounting Firm | X | ||||
| 24.1 | Power of Attorney (included on signature page) | X | ||||
| 31.1 | Certification of Chief Executive Officer pursuant to Rule 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 31.2 | Certification of Chief Financial Officer pursuant to Rule 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 32.1† | Certification of Chief Executive Officer and Chief Financial Officer pursuant to 18.U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes Oxley Act of 2002. | X | ||||
| 97.1 | Compensation Recovery Policy of BioAtla, Inc. | X | ||||
| 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. | X | ||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents | X | ||||
| 104 | Cover Page Interactive Data File (formatted in iXBRL and contained in Exhibit 101) | X | ||||
| † | Furnished and not filed. |
|---|---|
| + | Indicates management contract or compensatory plan. |
| * | Portions of this exhibit have been redacted in accordance with Item 601(b)(10)(iv) of Regulation S-K. |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.