Nuvation Bio Inc
For the period ended Jun 30, 2024. Filed Aug 5, 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.
Jun 30, 2024 · Filed Aug 5, 2024
NUVB$4.35+4.6%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 6. Exhibits
The following exhibits are filed as part of this report:
| ExhibitNumber | Description |
| 2.1 | Agreement and Plan of Merger and Reorganization, dated March 24, 2024, by and among Nuvation Bio Inc., AnHeart Therapeutics Ltd., Artemis Merger Sub I, Ltd. and Artemis Merger Sub II, Ltd. (incorporated by reference to Exhibit 2.1 to the Company's Current Report on Form 8-K (File No. 001-39351) filed on March 25, 2024) |
| 3.1 | Amended and Restated Certificate of Incorporation previously filed with the SEC on February 12, 2021 as Exhibit 3.1 to the Company’s Current Report on Form 8-K (File No. 001-39351), which is incorporated herein by reference. |
| 3.2 | Amended and Restated Bylaws previously filed with the SEC on February 12, 2021 as Exhibit 3.2 to the Company’s Current Report on Form 8-K (File No. 001-39351), which is incorporated herein by reference. |
| 4.1 | Form of Certificate of Designation of Preferences, Rights and Limitations of Series A Non-Voting Convertible Preferred Stock previously filed with the SEC on March 25, 2024 as Exhibit 3.1 to the Company's Current Report on Form 8-K (File No. 001-39351), which is incorporated herein by reference. |
| 10.1# | Non-Employee Director Compensation Policy previously filed with the SEC on May 14, 2024 as Exhibit 10.1 to the Company's Quarterly Report on Form 10-Q (File No. 001-39351), which is incorporated herein by reference. |
| 10.2#† | Forms of Option Grant Notice and Option Agreement under the 2021 Equity Incentive Plan – Long-Term Incentive Program previously filed with the SEC on May 9, 2022 as Exhibit 10.2 to the Company's Quarterly Report on Form 10-Q (File No. 001-39351), which is incorporated herein by reference. |
| 10.3‡ | License Agreement between Daiichi Sankyo Company, Limited and AnHeart Therapeutics Inc., dated December 7, 2018 previously filed with the SEC on May 14, 2024 as Exhibit 10.3 to the Company's Quarterly Report on Form 10-Q (File No. 001-39351), which is incorporated herein by reference. |
| 10.4‡ | First Amendment to License Agreement between Daiichi Sankyo Company, Limited and AnHeart Therapeutics Inc., dated August 17, 2024 previously filed with the SEC on May 14, 2024 as Exhibit 10.4 to the Company's Quarterly Report on Form 10-Q (File No. 001-39351), which is incorporated herein by reference. |
| 10.5‡ | License Agreement between Daiichi Sankyo Company, Limited and AnHeart Therapeutics Inc., dated September 7, 2020 previously filed with the SEC on May 14, 2024 as Exhibit 10.5 to the Company's Quarterly Report on Form 10-Q (File No. 001-39351), which is incorporated herein by reference. |
| 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. |
| 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. |
| 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. |
| 101.INS | Inline XBRL Instance Document |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.