Eliem Therapeutics Inc
For the period ended Dec 31, 2023. Filed Mar 28, 2024.
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FY2023 · Filed Mar 28, 2024
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Item 15. Exhibits, Financial Statement Schedules
(a) Documents filed as part of this report
(1) Financial Statements. The following consolidated financial statements of Eliem Therapeutics, Inc., together with the report of PricewaterhouseCoopers LLP, an independent registered public accounting firm, required to be filed pursuant to Part II, Item 8 of this Annual Report on Form 10-K are included on the following pages:
| Page | |
|---|---|
| Report of Independent Registered Public Accounting Firm (PCAOB ID 238) | 75 |
| Consolidated Balance Sheets | 76 |
| Consolidated Statements of Operations and Comprehensive Loss | 77 |
| Consolidated Statements of Stockholders’ Equity | 78 |
| Consolidated Statements of Cash Flows | 79 |
| Notes to Consolidated Financial Statements | 80 |
(2) Financial Statement Schedules. None.
(3) List of exhibits required by Item 601 of Regulation S-K. See part (b) below.
(b) Exhibits.
Exhibit Index
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| Exhibit Number | Description of Exhibit | Form | File No. | Exhibit | Filing Date |
| 3.1 | Amended and Restated Certificate of Incorporation of the Registrant. | 8-K | 001-40708 | 3.1 | August 12, 2021 |
| 3.2 | Amended and Restated Bylaws of the Registrant. | S-1 | 333-257980 | 3.4 | August 2, 2021 |
| 4.1 | Form of common stock certificate of the Registrant. | S-1 | 333-257980 | 4.1 | August 2, 2021 |
| 4.3 | Description of Securities | 10-K | 001-40708 | 4.3 | March 7, 2022 |
| 10.1 | Amended and Restated Investor Rights Agreement, dated May 21, 2021, by and among the Registrant and the investors listed on Schedule A thereto. | S-1 | 333-257980 | 10.1 | July 16, 2021 |
| 10.2+ | 2021 Equity Incentive Plan. | S-1 | 333-257980 | 10.4 | August 2, 2021 |
| 10.3+ | Forms of Option Agreement, Stock Option Grant Notice and Notice of Exercise under the 2021 Equity Incentive Plan. | S-1 | 333-257980 | 10.5 | August 2, 2021 |
| 10.4+ | Forms of Restricted Stock Unit Grant Notice and Restricted Stock Unit Award Agreement under the 2021 Equity Incentive Plan. | S-1 | 333-257980 | 10.6 | August 2, 2021 |
| 10.5+ | 2021 Employee Stock Purchase Plan. | S-1 | 333-257980 | 10.7 | August 2, 2021 |
| 10.6+ | Form of Indemnification Agreement, by and between the Registrant and each of its directors and executive officers. | S-1 | 333-257980 | 10.8 | August 2, 2021 |
| 10.7+ | Executive Employment Agreement by and between the Registrant and Robert Azelby, effective October 1, 2020, as amended. | S-1 | 333-257980 | 10.9 | August 2, 2021 |
| 10.8+ | Executive Employment Agreement by and between the Registrant and Erin M. Lavelle, effective October 1, 2020, as amended. | S-1 | 333-257980 | 10.10 | August 2, 2021 |
| 10.9+ | Executive Employment Agreement by and between Eliem Therapeutics (UK) Ltd. and Valerie Morisset, Ph.D., effective January 1, 2021. | S-1 | 333-257980 | 10.11 | July 16, 2021 |
| 10.10+ | Separation and Consulting Agreement, dated February 13, 2023, by and between Eliem Therapeutics, Inc. and Robert Azelby. | 8-K | 001-40708 | 10.1 | February 13, 2023 |
| 10.11+ | Separation and Consulting Agreement, dated February 13, 2023, by and between Eliem Therapeutics, Inc. and Erin Lavelle. | 8-K | 001-40708 | 10.2 | February 13, 2023 |
| 10.12+ | Retention Agreement, dated February 14, 2023, by and between Eliem Therapeutics, Inc. and Valerie Morisset. | 10-K | 001-40708 | 10.12 | March 6, 2023 |
| 21.1 | List of subsidiaries. | S-1 | 333-257980 | 21.1 | August 2, 2021 |
| 10.13+* | Executive Employment Agreement by and between the Eliem Therapeutics, Inc. and James B. Bucher, effective October 1, 2020. |
|---|---|
| 10.14+* | Separation and Consulting Agreement, dated February 13, 2023, by and between Eliem Therapeutics, Inc. and James B. Bucher. |
| 23.1* | Consent of Independent Registered Public Accounting Firm. |
| 31.1* | Certification of Principal Executive Officer and 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 and 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* | Eliem Therapeutics, Inc. Clawback Policy. |
| 101.INS* | Inline XBRL Instance Document |
| 101.SCH* | Inline XBRL Taxonomy Extension Schema Document |
| 101.CAL* | Inline XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF* | Inline XBRL Extension Definition Linkbase Document |
| 101.LAB* | Inline XBRL Taxonomy Label Linkbase Document |
| 101.PRE* | Inline XBRL Taxonomy Extension Presentation Linkbase Document |
| 104* | Cover Page Interactive Data File (embedded within inline XBRL document) |
- Filed herewith.
- Indicates management contract or compensatory Plan.
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