Arcadia Biosciences Inc
For the period ended Dec 31, 2023. Filed Mar 28, 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 28, 2024
RKDA$0.17+3.0%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 16. Form 10-K Summary
Exhibit Index
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| ExhibitNumber · Exhibit Description · Form · File No. · Exhibit · FilingDate · FiledHerewith | |||||
| 3.1 | Amended and Restated Certificate of Incorporation of Registrant. | 8-K | 001-37383 | 3.1 | 5/26/2015 |
| 3.2 | Amendment to the Amended and Restated Certificate of Incorporation of Registrant. | 8-K | 001-37383 | 3.1 | 2/28/2023 |
| 3.3 | Certificate of Designation of Series A Preferred Stock. | 8-K | 001-37383 | 3.1 | 12/8/2022 |
| 3.4 | Amended and Restated Bylaws of Registrant. | 8-K | 001-37383 | 3.2 | 5/26/2015 |
| 3.5 | Amendment to the Amended and Restated Bylaws of Registrant. | 8-K | 001-37383 | 3.2 | 12/8/2022 |
| 4.1 | Form of Registrant’s common stock certificate. | S-3 | 333-224061 | 4.1 | 3/30/2018 |
| 4.2 | Form of Common Stock Purchase Warrant. | 8-K | 001-37383 | 4.1 | 3/23/2018 |
| 4.3 | Form of Common Stock Purchase Warrant. | 8-K | 001-37383 | 4.1 | 6/14/2019 |
| 4.4 | Form of Placement Agent Warrant. | 8-K | 001-37383 | 4.2 | 6/14/2019 |
| 4.5 | Form of Common Stock Purchase Warrant. | 8-K | 001-37383 | 4.1 | 9/9/2019 |
| 4.6 | Form of Placement Agent Warrant. | 8-K | 001-37383 | 4.2 | 9/9/2019 |
| 4.7 · Description of Registrant’s Securities Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended. · X | |||||
|---|---|---|---|---|---|
| 4.8 | Form of Common Stock Purchase Warrant. | 8-K | 001-37383 | 4.1 | 5/18/2020 |
| 4.9 | Form of Placement Agent Warrant. | 8-K | 001-37383 | 4.2 | 5/18/2020 |
| 4.10 | Form of Common Stock Purchase Warrant. | 8-K | 001-37383 | 4.1 | 7/8/2020 |
| 4.11 | Form of Placement Agent Warrant. | 8-K | 001-37383 | 4.2 | 7/8/2020 |
| 4.12 | Form of Investor Warrant. | 8-K | 001-37383 | 4.1 | 12/22/2020 |
| 4.13 | Form of Placement Agent Warrant. | 8-K | 001-37383 | 4.2 | 12/22/2020 |
| 4.14 | Form of Investor Warrant. | 8-K | 001-37383 | 4.1 | 1/29/2021 |
| 4.15 | Form of Placement Agent Warrant. | 8-K | 001-37383 | 4.2 | 1/29/2021 |
| 4.16 | Form of Investor Pre-Funded Warrant. | 8-K | 001-37383 | 4.1 | 8/16/2022 |
| 4.17 | Form of Investor Preferred Investment Option. | 8-K | 001-37383 | 4.2 | 8/16/2022 |
| 4.18 | Form of Placement Agent Preferred Investment Option. | 8-K | 001-37383 | 4.3 | 8/16/2022 |
| 4.19 | Form of Pre-Funded Warrant. | 8-K | 001-37383 | 4.1 | 3/3/2023 |
| 4.20 | Form of Series A Preferred Investment Option. | 8-K | 001-37383 | 4.2 | 3/3/2023 |
| 4.21 | Form of Series B Preferred Investment Option. | 8-K | 001-37383 | 4.3 | 3/3/2023 |
| 4.22 | Form of Placement Agent Preferred Investment Option. | 8-K | 001-37383 | 4.4 | 3/3/2023 |
| 10.1* | Form of Indemnification Agreement between the Registrant and each of its Officers and Directors. | S-1 | 333-202124 | 10.7 | 2/17/2015 |
| 10.2* | 2006 Stock Plan, as amended and restated, and form of agreement thereunder. | S-1 | 333-202124 | 10.8 | 2/17/2015 |
| 10.3* | 2015 Omnibus Equity Incentive Plan and forms of agreement thereunder. | S-1 | 333-232858 | 10.9 | 7/26/2019 |
| 10.4* | 2015 Employee Stock Purchase Plan and form of agreement thereunder. | S-1/A | 333-202124 | 10.10 | 5/11/2015 |
| 10.5* | Executive Incentive Bonus Plan. | S-1/A | 333-202124 | 10.15 | 5/11/2015 |
| 10.6* | Amended and Restated Director Compensation Policy. | 10-Q | 001-37383 | 10.14 | 5/10/2016 |
| 10.7* | Form of Severance and Change in Control Agreement. | S-1/A | 333-202124 | 10.18 | 4/6/2015 |
| 10.8 | Base Office Lease dated March 17, 2003 between the Registrant and Pac West Office Equities, LP, including Amendments 1-7. | S-1 | 333-229047 | 10.16 | 12/27/2018 |
| 10.9 | Amendment No. 8 to the Office Lease dated March 17, 2003 between the Registrant and Pac West Office Equities, LP. | 10-Q | 001-37383 | 10.8 | 5/13/2020 |
| 10.10 | Amendment No. 9 to the Office Lease dated March 17, 2003 between the Registrant and Pac West Office Equities, LP. | 10-Q | 001-37383 | 10.2 | 8/13/2020 |
| 10.11* | Employment Letter for Stanley E. Jacot Jr., Chief Executive Officer. | 10-Q | 001-37383 | 10.1 | 5/12/2022 |
| 10.12* | Severance and Change in Control Agreement for Stanley E. Jacot, Jr. | 10-Q | 001-37383 | 10.1 | 5/12/2022 |
| 10.13* | Inducement Option Grant for Stanley E. Jacot, Jr. | 10-Q | 001-37383 | 10.2 | 5/12/2022 |
| 10.14* | Employment Letter and Severance and Change in Control Agreement for Thomas J. Schaefer. | 8-K/A | 001-37383 | 10.1 | 1/5/2023 |
| 10.15+ | Limited Liability Company Operating Agreement for Archipelago Ventures Hawaii, LLC, dated as of August 9, 2019. | 8-K | 001-37383 | 10.1 | 8/9/2019 |
| 10.16 | Securities Purchase Agreement dated as of March 19, 2018, between Arcadia Biosciences, Inc. and each purchaser named in the signature pages thereto. | 8-K | 001-37383 | 10.1 | 3/23/2018 |
| 10.17 | Form of Registration Rights Agreement. | 8-K | 001-37383 | 10.2 | 3/23/2018 |
| 10.18 | Form of Securities Purchase Agreement dated as of June 11, 2018, between Arcadia Biosciences, Inc. and each purchaser named in the signature pages thereto. | 8-K | 001-37383 | 10.1 | 6/14/2018 |
| 10.19 | Form of Securities Purchase Agreement dated as of June 12, 2019, between Arcadia Biosciences, Inc. and each purchaser named in the signature pages thereto. | 8-K | 001-37383 | 10.1 | 6/14/2019 |
| 10.20 | Form of Securities Purchase Agreement dated as of September 5, 2019, between Arcadia Biosciences, Inc. and each purchaser named in the signature pages thereto. | 8-K | 001-37383 | 10.1 | 9/9/2019 |
| 10.21 | Form of Letter Agreement, dated as of May 14, 2020. | 8-K | 001-37383 | 10.1 | 5/18/2020 |
| 10.22 | Form of Letter Agreement, dated as of July 6, 2020. | 8-K | 001-37383 | 10.1 | 7/8/2020 |
| 10.23 | Form of Securities Purchase Agreement dated as of December 18, 2020, between Arcadia Biosciences, Inc. and each purchaser named on the signature pages thereto. | 8-K | 001-37383 | 10.1 | 12/22/2020 | |
| 10.24 | Form of Securities Purchase Agreement dated as of January 25, 2021, between Arcadia Biosciences, Inc. and each purchaser named on the signature pages thereto. | 8-K | 001-37383 | 10.1 | 1/29/2021 | |
| 10.25 | Form of Registration Rights Agreement dated as of January 25, 2021, between Arcadia Biosciences, Inc. and each purchaser named on the signature pages thereto. | 8-K | 001-37383 | 10.2 | 1/29/2021 | |
| 10.26 | Form of Securities Purchase Agreement, dated as of August 12, 2022, between Arcadia Biosciences, Inc. and each purchaser named on the signature pages thereto. | 8-K | 001-37383 | 10.1 | 8/16/2022 | |
| 10.27 | Form of Securities Purchase Agreement dated as of March 2, 2023, between Arcadia Biosciences, Inc. and each purchaser named on the signature pages thereto. | 8-K | 001-37383 | 10.1 | 3/3/2023 | |
| 10.28 | Form of Registration Rights Agreement dated as of March 2, 2023, between Arcadia Biosciences, Inc. and each purchaser named on the signature pages thereto. | 8-K | 001-37383 | 10.2 | 3/3/2023 | |
| 10.29 | Form of Investment Option Amendment, dated as of March 2, 2023. | 8-K | 001-37383 | 10.3 | 3/3/2023 | |
| 10.30+ | Master Transaction Agreement. | 8-K | 001-37383 | 10.2 | 12/22/2020 | |
| 10.31+ | Asset Purchase Agreement dated May 17, 2021, by and among Arcadia, Buyer, Seller, Eko, Lief, Zola and Parent. | 8-K | 001-37383 | 10.1 | 5/21/2021 | |
| 21.1 | List of subsidiaries of the Registrant. | S-1 | 333-262407 | 21.1 | 1/28/2022 | |
| 23.1 | Consent of Deloitte & Touche LLP, independent registered public accounting firm. | X | ||||
| 24.1 | Power of attorney (included in the signature page to this filing). | 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, | X | ||||
| as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | ||
| 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. | 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 |
| 97.1 | Dodd-Frank Clawback Policy. | X |
| 101.INS | Inline XBRL Instance 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 |
- Indicates a management contract or compensatory plan or arrangement.
- Certain information has been excluded from this exhibit because it is not material and would likely cause competitive harm to the registrant if publicly disclosed.
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