Inhibikase Therapeutics Inc
For the period ended Dec 31, 2023. Filed Mar 27, 2024.
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FY2023 · Filed Mar 27, 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.
(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) The information required by this Item is set forth on the exhibit index of this Annual Report on Form 10-K.
EXHIBIT INDEX
| Where Located | |||||
|---|---|---|---|---|---|
| Exhibit Number · Description* · Form · File Number · Exhibit Number · Filing Date · Filed Herewith | |||||
| 3.1 | Amended and Restated Certificate of Incorporation of Inhibikase Therapeutics, Inc. | 8-K | 001-39676 | 3.1 | 12/29/2020 |
| 3.2 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Inhibikase Therapeutics, Inc. | 8-K | 001-39676 | 3.1 | 6/29/2023 |
| 3.3 | Amended and Restated Bylaws of Inhibikase Therapeutics, Inc. | 8-K | 001-39676 | 3.2 | 12/29/2020 |
| 4.1 | Specimen common stock Certificate of the Registrant | S-1 | 333-240036 | 4.1 | 07/23/2020 |
| 4.2 | Form of Warrant to purchase common stock of the Registrant, issued to each of the members of the Scientific Advisory Board and the investor named in Schedule A thereto | S-1 | 333-240036 | 4.2 | 07/23/2020 |
| 4.3 | Warrant, issued by Inhibikase Therapeutics, Inc. to Kubera North America, Inc., dated October 5, 2018 | S-1 | 333-240036 | 4.3 | 07/23/2020 |
| 4.4 | Warrant, issued by Inhibikase Therapeutics, Inc. to Francis E. McDaniel, dated January 1, 2019 | S-1A | 333-240036 | 4.4 | 09/15/2020 |
| 4.5 | Warrant, issued by Inhibikase Therapeutics, Inc. to Francis E. McDaniel, dated March 31, 2020 | S-1 | 333-240036 | 4.5 | 07/23/2020 |
| 4.6 | Form of Representative’s Warrant | S-1 | 333-240036 | 4.6 | 07/23/2020 |
| 4.7 | Form of Late IPO Warrant | S-1 | 333-240036 | 4.7 | 07/23/2020 |
| 4.8 | Form of Pre-Funded Warrant | 8-K | 001-39676 | 4.1 | 01/26/2023 |
| 4.9 | Form of Private Common Warrant | 8-K | 001-39676 | 4.2 | 01/26/2023 |
| 4.10 | Form of PIPE Pre-Funded Warrant | 8-K | 001-39676 | 4.3 | 01/26/2023 |
| 4.11 | Form of PIPE Common Warrant | 8-K | 001-39676 | 4.4 | 01/26/2023 |
| 4.12 | Form of Placement Agent Warrant | 8-K | 001-39676 | 4.5 | 01/26/2023 |
| 10.1 | License Agreement, by and between Inhibikase Therapeutics, Inc. and Emory University, dated June 8, 2010 | S-1 | 333-240036 | 10.1 | 07/23/2020 |
| 10.2 | Collaborative Research and Development Agreement, by and between Inhibikase Therapeutics, Inc. and Sphaera Pharma Pte. Ltd., dated February 29, 2012 | S-1 | 333-240036 | 10.2 | 07/23/2020 |
| 10.3 | First Amendment to Collaborative Research and Development Agreement, by and between Inhibikase Therapeutics Inc. and Sphaera Pharma Pte. Ltd., dated October 5, 2012 | S-1 | 333-240036 | 10.3 | 07/23/2020 |
| 10.4# | 2011 Equity Incentive Plan and forms of agreements thereunder | S-1 | 333-240036 | 10.4 | 07/23/2020 |
| 10.5# | 2020 Equity Incentive Plan and forms of agreements thereunder | S-1/A | 333-240036 | 10.5 | 12/04/2020 |
| 10.6# | Employment Agreement, by and between Inhibikase Therapeutics, Inc. and Milton H. Werner, Ph.D., dated April 1, 2014 | S-1 | 333-240036 | 10.6 | 07/23/2020 | |
| 10.7# | Employment Agreement, by and between Inhibikase Therapeutics, Inc. and Milton H. Werner Ph.D., effective upon the completion of the Company’s Initial Public Offering | S-1 | 333-240036 | 10.7 | 07/23/2020 | |
| 10.8# | Employment Agreement, by and between Inhibikase Therapeutics, Inc. and Joseph Frattaroli, dated October 24, 2018 | S-1 | 333-240036 | 10.8 | 07/23/2020 | |
| 10.9 | Form of Inhibikase Therapeutics, Inc. Directors and Officers Indemnification Agreement | S-1 | 333-240036 | 10.9 | 07/23/2020 | |
| 10.10 | Form of Inhibikase Therapeutics, Inc. Subscription Agreement | S-1 | 333-240036 | 10.10 | 07/23/2020 | |
| 10.11 | Side Letter to Subscription Agreement of Joseph Ventures Allium, LLC, dated July 19, 2018 | S-1 | 333-240036 | 10.11 | 07/23/2020 | |
| 10.12 | Side Letter to Subscription Agreement of Joseph Ventures Allium, LLC, dated August 31, 2018 | S-1 | 333-240036 | 10.12 | 07/23/2020 | |
| 10.13 | Side Letter to Subscription Agreement of Joseph Ventures Allium, LLC, dated June 15, 2018 | S-1 | 333-240036 | 10.13 | 07/23/2020 | |
| 10.14 | Lease Agreement, dated June 5, 2020, by and between Inhibikase Therapeutics, Inc. and Regus Management Group, LLC | S-1 | 333-240036 | 10.14 | 07/23/2020 | |
| 10.15 | Form of Consulting Agreement | S-1 | 333-240036 | 10.15 | 07/23/2020 | |
| 10.16 | Form of Representative’s Warrant Agreement | 8-K | 001-39676 | 4.2 | 06/16/2021 | |
| 10.17# | Amendment dated March 3, 2022 to the Employment Agreement, by and between Inhibikase Therapeutics, Inc. and Milton H. Werner, Ph.D., dated December 28, 2020. | 8-K | 001-39676 | 10.1 | 03/08/2022 | |
| 10.18# | Amendment dated March 3, 2022 to the Employment Agreement, by and between Inhibikase Therapeutics, Inc. and Joseph Frattaroli, dated October 24, 2018. | 8-K | 001-39676 | 10.2 | 03/08/2022 | |
| 10.19 | Form of Stock Option Grant Notice and Award Agreement | 8-K | 001-39676 | 10.3 | 03/08/2022 | |
| 10.20# | Form of Director Offer Letter | 8-K | 001-39676 | 10.1 | 09/01/2022 | |
| 10.21 | Securities Purchase Agreement, dated as of January 25, 2023 (Registered Direct) | 8-K | 001-39676 | 10.1 | 01/26/2023 | |
| 10.22 | Securities Purchase Agreement, dated as of January 25, 2023 (PIPE) | 8-K | 001-39676 | 10.2 | 01/26/2023 | |
| 10.23 | Registration Rights Agreement, dated as of January 25, 2023 (PIPE) | 8-K | 001-39676 | 10.3 | 01/26/2023 | |
| 10.24 | At The Market Offering Agreement, dated February 1, 2024, by and between Inhibikase Therapeutics, Inc. and H.C. Wainwright & Co., LLC. | 8-K | 001-39676 | 10.1 | 02/01/2024 | |
| 14.1 | Code of Ethics | X | ||||
| 21.1 | Subsidiaries of the Registrant | 10-K | 001-39676 | 21.1 | 03/31/2023 | |
| 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 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 | X | ||||
| 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 | |||||
| 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 | |
| 97.1 | Compensation Clawback Policy | X |
| 101.INS | Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL 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 (embedded within the Inline XBRL document) | X |
(#) A contract, compensatory plan or arrangement to which a director or executive officer is a party or in which one or more directors or executive officers are eligible to participate.
(*) Certain of the agreements filed as exhibits contain representations and warranties made by the parties thereto. The assertions embodied in such representations and warranties are not necessarily assertions of fact, but a mechanism for the parties to allocate risk. Accordingly, investors should not rely on the representations and warranties as characterizations of the actual state of facts or for any other purpose at the time they were made or otherwise.
(**) Furnished herewith.
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