Beta Bionics, Inc.
For the period ended Dec 31, 2024. Filed Mar 25, 2025.
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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.
FY2024 · Filed Mar 25, 2025
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Item 15. Exhibits, Financial Statement Schedules
(a)
The following documents are filed as part of this Annual Report:
1.1.
Financial Statements
See Index to Financial Statements under Part II, Item 8 of this Annual Report.
1.2.
Financial Statement Schedules
Schedules not listed above have been omitted because they are not required, not applicable, or the required information is otherwise included.
1.3.
Exhibits
| ExhibitNumber | Description of Exhibit | Form | File No. | Exhibit | Filing Date | Filed Herewith |
|---|---|---|---|---|---|---|
| 3.1 | Amended and Restated Certificate of Incorporation of the Registrant. | 8-K | 001-42491 | 3.1 | 01/31/25 | |
| 3.2 | Amended and Restated Bylaws of the Registrant. | S-1 | 333-284147 | 3.4 | 01/06/25 | |
| 4.1 | Form of Common Stock Certificate. | S-1/A | 333-284147 | 4.1 | 01/22/25 | |
| 4.2 | Amended and Restated Investor Rights Agreement, dated November 8, 2024, by and among the Registrant and certain of its stockholders. | S-1 | 333-284147 | 4.2 | 01/06/25 | |
| 4.3 | Description of Capital Stock | X | ||||
| 10.1 | Form of Indemnification Agreement, by and between the Registrant and each of its directors and executive officers. | S-1 | 333-284147 | 10.1 | 01/06/25 | |
| 10.2* | Beta Bionics, Inc. Amended and Restated 2016 Stock Incentive Plan. | S-1 | 333-284147 | 10.2 | 01/06/25 | |
| 10.3* | Forms of Option Agreement, Notice of Stock Option Grant and Exercise Notice under the Beta Bionics, Inc. Amended and Restated 2016 Stock Incentive Plan | S-1 | 333-284147 | 10.3 | 01/06/25 | |
| 10.4* | Beta Bionics, Inc. 2025 Equity Incentive Plan. | S-1/A | 333-284147 | 10.4 | 01/22/25 | |
| 10.5* | Forms of Stock Option Grant Notice, Option Agreement and Notice of Exercise under the Beta Bionics, Inc. 2025 Equity Incentive Plan. | S-1 | 333-284147 | 10.5 | 01/06/25 | |
| 10.6* | Forms of Restricted Stock Unit Grant Notice and Award Agreement under the Beta Bionics, Inc. 2025 Equity Incentive Plan. | S-1 | 333-284147 | 10.6 | 01/06/25 | |
| 10.7* | Forms of Stock Option Grant Double Trigger Grant Notice and Award Agreement under the Beta Bionics, Inc. 2025 Equity Incentive Plan | S-1/A | 333-284147 | 10.7 | 01/22/25 | |
| 10.8* | Forms of Restricted Stock Unit Double Trigger Grant Notice and Award Agreement under the Beta Bionics, Inc. 2025 Equity Incentive Plan. | S-1/A | 333-284147 | 10.8 | 01/22/25 | |
| 10.9* | Beta Bionics, Inc. 2025 Employee Stock Purchase Plan. | S-1/A | 333-284147 | 10.9 | 01/22/25 | |
| 10.10* | Non-Employee Director Compensation Policy. | S-1/A | 333-284147 | 10.10 | 01/22/25 | |
| 10.11* | Employment Agreement, dated August 1, 2022, between the Registrant and Sean Saint. | S-1 | 333-284147 | 10.9 | 01/06/25 | |
| 10.12* | Employment Agreement, dated August 1, 2022, between the Registrant and Stephen Feider. | S-1 | 333-284147 | 10.10 | 01/06/25 | |
| 10.13* | Employment Agreement, dated November 14, 2022, between the Registrant and Steven Russell. | S-1 | 333-284147 | 10.11 | 01/06/25 | |
| 10.14* | Employment Agreement, dated August 1, 2023, between the Registrant and Mike Mensinger. | S-1 | 333-284147 | 10.12 | 01/06/25 | |
| 10.15* | Employment Agreement, dated September 10, 2024, between the Registrant and Mark Hopman. | S-1 | 333-284147 | 10.13 | 01/06/25 | |
| 10.16# | Lease Agreement, dated February 3, 2020, by and between Pacific Industrial Partners, LLC and the | S-1 | 333-284147 | 10.14 | 01/06/25 | |
| Registrant, as amended by Amendment No. 1 dated May 19, 2020, Amendment No. 2 dated March 12, 2024 and Amendment No. 3 dated September 13, 2024. | ||||||
|---|---|---|---|---|---|---|
| 10.17# | Device License Agreement, dated December 16, 2015, by and between Trustees of Boston University and the Registrant, as amended by the First Amendment dated December 11, 2017, the Second Amendment dated September 21, 2020, the Third Amendment dated February 14, 2022 and the Fourth Amendment dated November 8, 2024. | S-1 | 333-284147 | 10.15 | 01/06/25 | |
| 10.18# | Control Algorithm License Agreement, dated December 23, 2015, by and between Trustees of Boston University and the Registrant, as amended by the First Amendment dated December 11, 2017, the Second Amendment dated September 21, 2020, and the Third Amendment dated February 14, 2022. | S-1 | 333-284147 | 10.16 | 01/06/25 | |
| 10.19# | Collaboration and License Agreement, dated May 2, 2024, by and between Xeris Pharmaceuticals, Inc. and the Registrant. | S-1 | 333-284147 | 10.17 | 01/06/25 | |
| 10.20# | Commercialization Agreement, dated July 25, 2023, by and between DexCom, Inc. and the Registrant. | S-1 | 333-284147 | 10.18 | 01/06/25 | |
| 10.21# | Development and Commercialization Agreement, dated April 2, 2024, by and between Abbott Diabetes Care Inc. and the Registrant. | S-1 | 333-284147 | 10.19 | 01/06/25 | |
| 10.22 | Common Stock Purchase Agreement, dated as of January 21, 2025, by and between Wellington Hadley Harbor Aggregator IV, L.P. and the Registrant. | S-1/A | 333-284147 | 10.23 | 01/22/25 | |
| 19 | Beta Bionics, Inc. Insider Trader Policy. | X | ||||
| 23.1 | Consent of Ernst & Young LLP, independent registered public accounting firm. | 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, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 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. | X | ||||
| 97* | Beta Bionics, Inc. Incentive Compensation Recoupment Policy | X | ||||
Pursuant to Item 601(b)(10)(iv) of Regulation S-K promulgated by the SEC, portions of this exhibit (indicated by [***]) have been omitted because the Registrant has determined that the information is both not material and is the type that the Registrant treats as private or confidential. The Registrant hereby agrees to furnish supplementally to the SEC, upon its request, an unredacted copy of this exhibit.
† Certain schedules and exhibits to this exhibit have been omitted pursuant to Item 601(a)(5) of Regulation S-K. A copy of any omitted schedule and/or exhibit will be furnished to the SEC upon request.
- Indicates a management contract or any compensatory plan, contract or arrangement.
- The certification furnished in Exhibit 32.1 hereto is deemed to accompany this Annual Report on Form 10-K and will not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended. Such certification will not be deemed to be incorporated by reference into any filings under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, except to the extent that the Registrant specifically incorporates it by reference.
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