Immunocore Holdings plc
For the period ended Dec 31, 2023. Filed Feb 28, 2024.
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FY2023 · Filed Feb 28, 2024
IMCR$32.38+2.0%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES
| Item 15. | Exhibits and Financial Statement Schedules |
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| Incorporation by Reference | |||||
|---|---|---|---|---|---|
| Exhibit Number | Description | Schedule/ Form | File Number | Exhibit | Filing Date |
| 3.1 | Articles of Association of Immunocore Holdings plc | 20-F | 001-39992 | 1.1 | March 25, 2021 |
| 4.1 | Deposit Agreement | 20-F | 001-39992 | 2.2 | March 25, 2021 |
| 4.2 | Form of American Depositary Receipt (included in Exhibit 2.2) | 20-F | 001-39992 | 2.3 | March 25, 2021 |
| 4.3 | Description of Registered Securities | 20-F | 001-39992 | 2.4 | March 25, 2021 |
| 10.1 | Subscription Agreement between the Registrant and the Bill & Melinda Gates Foundation, dated February 3, 2021 | F-1/A | 333-252166 | 4.3 | February 3, 2021 |
| 10.2† | Research Collaboration and License Agreement, dated as of June 14, 2013, by and among the Registrant, Genentech, Inc. and F. Hoffman-La Roche Ltd, as amended on September 27, 2016 | F-1 | 333-252166 | 10.5 | January 15, 2021 |
| 10.3† | License Agreement, dated as of September 27, 2016, between the Registrant and Genentech, Inc. | F-1 | 333-252166 | 10.8 | January 15, 2021 |
| 10.4† | License and Collaboration Agreement, dated as of November 15, 2018, by and among the Registrant, Genentech, Inc. and F. Hoffman-La Roche Ltd. | F-1 | 333-252166 | 10.9 | January 15, 2021 |
| 10.5 | Amended and Restated Global Access Commitments Agreement, dated as of March 2, 2020, between the Registrant and the Bill & Melinda Gates Foundation | F-1 | 333-252166 | 10.11 | January 15, 2021 |
| 10.6† | First Amendment to the Amended and Restated Global Access Commitments Agreement, dated as of February 3, 2021, between the Registrant and the Bill & Melinda Gates Foundation | F-1/A | 333-252166 | 10.12 | February 3, 2021 |
| 10.7 | Lease, dated as of March 28, 2017, between the Registrant and MEPC MILTON PARK NO. 1 LIMITED and MEPC MILTON PARK NO. 2 LIMITED, on behalf of MEPC Milton LP | F-1 | 333-252166 | 10.13 | January 15, 2021 |
| 10.8 | Lease, dated as of December 28, 2017, between the Registrant and MEPC MILTON PARK NO. 1 LIMITED and MEPC MILTON PARK NO. 2 LIMITED, on behalf of MEPC Milton LP | F-1 | 333-252166 | 10.14 | January 15, 2021 |
| 10.9 | Lease, dated as of March 28, 2017, between the Registrant and MEPC MILTON PARK NO. 1 LIMITED and MEPC MILTON PARK NO. 2 LIMITED, on behalf of MEPC Milton LP | F-1 | 333-252166 | 10.15 | January 15, 2021 |
| 10.10† | Assignment and Exclusive License, dated as of January 28, 2015, between the Registrant and Adaptimmune Limited | F-1 | 333-252166 | 10.16 | January 15, 2021 |
| 10.11# | Employment Agreement between the Registrant and Bahija Jallal, Ph.D., dated January 29, 2021 | F-1 | 333-252166 | 10.18 | January 15, 2021 |
| 10.12#* | Employment Agreement between the Registrant and Brian Di Donato, dated January 29, 2021 | ||||
| 10.13#* | Employment Agreement between the Registrant and David Berman, MD., Ph.D., dated January 29, 2021 | ||||
| 10.14#* | Employment Agreement between the Registrant and Tina St Leger, dated August 2, 2021 | ||||
| 10.15 | Form of Deed of Indemnity between the Registrant and each of its directors | F-1 | 333-252166 | 10.1 | January 15, 2021 |
| 10.16 | Form of Deed of Indemnity between the Registrant and each of its executive officers | F-1 | 333-252166 | 10.2 | January 15, 2021 |
| 10.17 | Immunocore Holdings plc 2021 Equity Incentive Plan. and Non-Employee Sub Plan to the Immunocore Holdings plc 2021 Equity Incentive Plan | 20-F | 001-39992 | 4.20 | March 25, 2021 |
| 10.18 | Registration Rights Agreement, dated July 15, 2022, by and among Immunocore Holdings plc and the investors party thereto | 6-K | 001-39992 | 99.2 | July 20, 2022 |
| 10.19 | Sales Agreement, dated as of September 9, 2022, by and between the Company and Jefferies LLC | 6-K | 001-39992 | 1.1 | September 9, 2022 |
| 10.20 | Loan Agreement, dated as of November 8, 2022, among Immunocore Limited, as Borrower, the Registrant, certain additional Credit Parties and Guarantors party thereto, BioPharma Credit PLC, as Collateral Agent, and BPCR Limited Partnership and BioPharma Credit Investments V (Master) LP as Lenders | 6-K | 001-39992 | 99.4 | November 9, 2022 |
| 16.1 | Letter from KPMG LLP, dated March 1, 2023 | 20-F | 001-39992 | 16.1 | March 1, 2023 |
| 21.1* | Subsidiaries of the Registrant | ||||
| 23.1* | Consent of Deloitte LLP | ||||
| 23.2* | Consent of KPMG LLP | ||||
| 24.1* | Power of Attorney (incorporated by reference to the signature pages of this Annual Report on Form 10-K). | ||||
| 31.1* | Certification by the Principal Executive Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| 31.2* | Certification by the Principal Financial Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| 32.1** | Certification by the Principal Executive Officer and the Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | ||||
| 97.1* | Immunocore Holdings plc Incentive Compensation Recoupment Policy | ||||
| 101.INS | Inline 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) |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document |
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document |
| 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. |
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| ** | This certification is deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended. |
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| † | Certain portions of this exhibit (indicated by asterisks) have been redacted in accordance with Regulation S-K, Item 601(b)(10). |
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| # | Indicates a management contract or any compensatory plan, contract or arrangement. |
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