Cue Biopharma Inc
For the period ended Dec 31, 2023. Filed Mar 28, 2024.
View on SEC.govAbout this filing
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 28, 2024
CUE$18.76-6.9%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 15. Exhibits and Financial Statement Schedules
(a)
List of documents filed as part of this report:
Financial Statements (see “Financial Statements and Supplementary Data” at Item 8 and incorporated herein by reference).
Financial Statement Schedules (Schedules to the Financial Statements have been omitted because the information required to be set forth therein is not applicable or is shown in the accompanying Financial Statements or notes thereto)
Exhibits
The following is a list of exhibits filed as part of this Annual Report on Form 10-K:
| Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|
| ExhibitNumber | Exhibit Description | FiledHerewith | Form | Exhibit | FilingDate | Registration/File No. |
| 3.1 | Amended and Restated Certificate of Incorporation of the Registrant, as amended | 10-Q | 3.1 | 11/09/2020 | 001-38327 | |
| 3.2 | Amended and Restated Bylaws of the Registrant | S-1 | 3.5 | 12/05/2017 | 333-220550 | |
| 4.1 | Specimen Certificate representing shares of common stock of the Registrant | S-1 | 4.1 | 12/05/2017 | 333-220550 | |
| 4.2 | Description of Common Stock of the Registrant Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 | X | ||||
| 4.3 | Form of Pre-Funded Warrant to Purchase Common Stock | 8-K | 4.1 | 11/15/2022 | 001-38327 | |
| 4.4 | Form of Warrant to Purchase Common Stock or Pre-Funded Warrant | 8-K | 4.2 | 11/15/2022 | 001-38327 | |
| 10.1 | Form of Registration Rights Agreement between the Registrant and investors for an offering completed on June 15, 2015 | S-1 | 10.4 | 09/21/2017 | 333-220550 | |
| 10.2 | Form of Joinder and Amendment to Registration Rights Agreement between the Registrant and investors for an offering completed on December 22, 2016 | S-1 | 10.6 | 09/21/2017 | 333-220550 | |
| 10.3# | First Amendment to Collaboration, License and Option Agreement, dated March 15, 2019, between the Registrant and LG CHEM LTD. | 10-K | 10.3 | 03/09/2021 | 001-38327 | |
| 10.4# | Second Amendment to Collaboration, License and Option Agreement, dated August 5, 2019, between the Registrant and LG CHEM LTD. | 10-K | 10.4 | 03/09/2021 | 001-38327 | |
| 10.5# | Third Amendment to Collaboration, License and Option Agreement, dated October 29, 2019, between the Registrant and LG CHEM LTD. | 10-K | 10.5 | 03/09/2021 | 001-38327 | |
| 10.6# | Fourth Amendment to Collaboration, License and Option Agreement, dated December 18, 2019, between the Registrant and LG CHEM LTD. | 10-K | 10.6 | 03/09/2021 | 001-38327 | |
| 10.7# | Fifth Amendment to Collaboration, License and Option Agreement, dated January 10, 2020, between the Registrant and LG CHEM LTD. | 10-K | 10.7 | 03/09/2021 | 001-38327 | |
| 10.8# | Sixth Amendment to Collaboration, License and Option Agreement, dated February 14, 2020, between the Registrant and LG CHEM LTD. | 10-K | 10.8 | 03/09/2021 | 001-38327 | |
| 10.9# | Seventh Amendment to Collaboration, License and Option Agreement, dated May 14, 2020, between the Registrant and LG CHEM LTD. | 10-K | 10.9 | 03/09/2021 | 001-38327 | |
| 10.10# | Eighth Amendment to Collaboration, License and Option Agreement, dated December 7, 2020, between the Registrant and LG CHEM LTD. | 10-K | 10.10 | 03/09/2021 | 001-38327 | |
| 10.11 | Form of Indemnification Agreement between the Registrant and its directors and officers | 10-K | 10.11 | 03/21/2023 | 001-38327 | |
| 10.12† | Amended and Restated License Agreement by and between the Registrant and Albert Einstein College of Medicine dated July 31, 2017 | S-1 | 10.11 | 12/13/2017 | 333-220550 | |
| 10.13* | Cue Biopharma, Inc. 2016 Omnibus Incentive Plan, as amended and restated | S-1 | 10.13 | 09/21/2017 | 333-220550 | |
| 10.14* | Form of stock option award under 2016 Omnibus Incentive Plan | S-1 | 10.14 | 09/21/2017 | 333-220550 | |
| 10.15* | Cue Biopharma, Inc. 2016 Non-Employee Equity Incentive Plan | S-1 | 10.15 | 09/21/2017 | 333-220550 | |
| 10.16* | Form of stock option award under 2016 Non-Employee Equity Incentive Plan | S-1 | 10.16 | 09/21/2017 | 333-220550 | |
| 10.17* | Director Compensation Policy effective December 7, 2023 | X | ||||
| 10.18* | Executive Employment Agreement between the Registrant and Colin G. Sandercock dated as of November 15, 2017 | S-1 | 10.22 | 12/04/2017 | 333-220550 | |
| 10.19† | Collaboration, License and Option Agreement between the Registrant and LG Chem, Ltd. dated November 6, 2018 | 8-K | 10.1 | 12/26/2018 | 001-38327 | |
| 10.20* | Amendment No. 1 to Cue Biopharma, Inc. 2016 Omnibus Incentive Plan | 10-K | 10.16 | 03/12/2020 | 001-38327 | |
| 10.21* | Amended and Restated Executive Employment Agreement between the Registrant and Anish Suri dated October 3, 2019 | 8-K | 10.1 | 10/07/2019 | 001-38327 | |
| 10.22 | Third Amended and Restated Executive Employment Agreement dated March 4, 2021 between the Company and Daniel Passeri | 10-K | 10.26 | 03/09/2021 | 001-38327 | |
| 10.23 | Executive Employment Agreement dated August 21, 2020 between Registrant and Kerri-Ann Millar | 8-K | 10.1 | 08/24/2020 | 001-38327 | |
| 10.24 | First Amendment to the Amended and Restated License Agreement with Albert Einstein College of Medicine dated October 30, 2018 | 10-K | 10.30 | 03/09/2021 | 001-38327 | |
| 10.25 | Open Market Sale AgreementSM, dated October 1, 2021, by and between Cue Biopharma, Inc. and Jefferies LLC | 10-Q | 10.1 | 11/09/2021 | 001-38327 | |
| 10.26# | Loan and Security Agreement, dated February 15, 2022, by and between Cue Biopharma, Inc. and Silicon Valley Bank | 10-K | 10.34 | 03/16/2022 | 001-38327 | |
| 10.27 | License Agreement, dated March 28, 2022, between Cue Biopharma, Inc. and MIL 40G, LLC | 8-K | 10.1 | 03/30/2022 | 001-38327 | |
| 10.28 | First Amendment to the License Agreement, dated May 3, 2022, between Cue Biopharma, Inc. and MIL 40G, LLC | 10-Q | 10.1 | 08/04/2022 | 001-38327 | |
| 10.29 | Rider to License Agreement, dated as of July 7, 2022, between Cue Biopharma, Inc. and MIL 40G, LLC | 10-Q | 10.2 | 08/04/2022 | 001-38327 | |
| 10.30 | Termination of License Agreement, dated September 9, 2022, between Cue Biopharma, Inc. and MIL 21E, LLC | 10-Q | 10.1 | 11/14/2022 | 001-38327 | |
| 10.31 | Form of Securities Purchase Agreement, dated November 14, 2022, by and among the Company and the other parties thereto | 8-K | 10.1 | 11/15/2022 | 001-38327 | |
| 10.32 | Registration Rights Agreement, dated November 14, 2022, by and among the Company and the other parties thereto | 8-K | 10.2 | 11/15/2022 | 001-38327 | |
| 10.33 | Waiver and First Amendment to Loan and Security Agreement, dated April 10, 2023, by and between Cue Biopharma, Inc. and Silicon Valley Bridge Bank, N.A., as successor in interest to Silicon Valley Bank | 10-Q | 10.2 | 05/09/2023 | 001-38327 | |
| 10.34* | Amendment No. 2 to Cue Biopharma, Inc. 2016 Omnibus Incentive Plan | 10-Q | 10.1 | 08/08/2023 | 001-38327 | |
| 10.35* | Amendment No. 1 to Cue Biopharma, Inc. 2016 Non-Employee Equity Incentive Plan | 10-Q | 10.2 | 08/08/2023 | 001-38327 | |
| 10.36* | Consulting Agreement effective June 7, 2023 entered into between Cue Biopharma, Inc. and Peter A Kiener, D.Phil | 10-Q | 10.3 | 08/08/2023 | 001-38327 | |
| 10.37* | Amendment No. 1 to Consulting Agreement between Cue Biopharma, Inc. and Peter A. Kiener, dated September 1, 2023 | 10-Q | 10.1 | 11/03/2023 | 001-38327 | |
| 10.38# | Second Amendment to the Amended and Restated License Agreement with Albert Einstein College of Medicine dated January 13, 2024 | X | ||||
| 21.1 | List of Subsidiaries | X | ||||
| 23.1 | Consent of RSM US LLP, Independent Registered Public Accounting Firm | X | ||||
| 24.1 | Power of Attorney (included on signature page) | X | ||||
| 31.1 | Certification Pursuant to Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934 | X | ||||
| 31.2 | Certification Pursuant to Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934 | X | ||||
| 32.1 | Certification 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 | X |
| 101.INS | Inline eXtensible Business Reporting Language (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 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 information contained in Exhibits 101) | X |
*Indicates management compensatory plan, contract or arrangement.
† Confidential treatment has been granted as to portions of this exhibit. Confidential materials omitted and filed separately with the Securities and Exchange Commission.
Portions of this exhibit have been omitted pursuant to 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.