Renalytix plc
For the period ended Mar 31, 2024. Filed May 15, 2024.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2024 · Filed May 15, 2024
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 6. Exhibits
Item 6. Exhibits, Financial Statement Schedules.
| Incorporation by Reference | |||||
|---|---|---|---|---|---|
| Exhibit No. | Description | Schedule/Form | File Number | Exhibit | File Date |
| 3.1 | Articles of Association | 10-Q | 001-39387 | 3.1 | February 14, 2024 |
| 4.1 | Reference is made to Exhibit 3.1 | ||||
| 4.2 | Form of Deposit Agreement | F-1/A | 333-239414 | 4.1 | July 13, 2020 |
| 4.3 | Form of American Depositary Receipt (included in Exhibit 4.2) | F-1/A | 333-239414 | 4.1 | July 13, 2020 |
| 4.4 | Description of Securities | 20-F | 001-39387 | 4.3 | October 28, 2020 |
| 10.1 | Placing Agreement dated March 12, 2024, by and between Renalytix plc and Stifel Nicolaus Europe Limited | 8-K | 001-39387 | 10.1 | March 13, 2024 |
| 10.2 | Bond Amendment Agreement, dated March 28, 2024, by and between Renalytix plc and CVI Investments, Inc. | 8-K | 001-39387 | 10.1 | March 29, 2024 |
| 10.3 | Form of Securities Purchase Agreement, dated April 5, 2024 by and among Renalytix plc and each of the purchasers party thereto | 8-K | 001-39387 | 10.1 | April 9, 2024 |
| 10.4 | Separation Agreement, dated April 17, 2024, by and between the Company and Tom McLain | 8-K | 001-39387 | 10.2 | April 23, 2024 |
| 10.5 | Letter Agreement, dated April 19, 2024, by and between the Company and DB Capital Partners Healthcare, L.P. | 8-K | 001-39387 | 10.1 | April 23, 2024 |
| 31.1* | Certification of Chief Executive Officer pursuant to Securities Exchange Act of 1934 Rule 13a-14(a) or 15d-14a | ||||
| 31.2* | Certification of Chief Financial Officer pursuant to Securities Exchange Act of 1934 Rule 13a-14(a) or 15d-14a | ||||
| 32.1** | Certification by the 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 | ||||
| 101.INS* | Inline XBRL Instance Document | ||||
| 101.SCH* | Inline XBRL Taxonomy Extension Schema Document | ||||
| 101.CAL* | Inline XBRL Taxonomy Extension Calculation Linkbase | ||||
| 101.DEF* | Inline XBRL Taxonomy Extension Definition Linkbase Document | ||||
| 101.LAB* | Inline XBRL Taxonomy Extension Label Linkbase Document | ||||
| 101.PRE* | Inline XBRL Taxonomy Extension Presentation Linkbase Document | ||||
| 104* | Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) | ||||
- Filed herewith.
** Furnished herewith and not deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and shall not be deemed to be incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended.
- Indicates a management contract or any compensatory plan, contract or arrangement.
† Certain portions of this exhibit will be omitted because they are not material and would likely cause competitive harm to the registrant if disclosed.
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| RENALYTIX PLC | ||
| May 15, 2024 | By: | /s/ James McCullough |
|---|---|---|
| Name: | James McCullough | |
| Title: | Chief Executive Officer |
| May 15, 2024 | By: | /s/ O. James Sterling |
|---|---|---|
| Name: | O. James Sterling | |
| Title: | Chief Financial Officer (Principal Financial Officer) |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.