Lexeo Therapeutics, Inc.
For the period ended Sep 30, 2025. Filed Nov 5, 2025.
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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.
Sep 30, 2025 · Filed Nov 5, 2025
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Item 6. Exhibits
The following exhibits are filed as part of this report:
| ExhibitNumber | Description | Form | File No. | Number | Filing Date |
|---|---|---|---|---|---|
| 3.1 | Amended and Restated Certificate of Incorporation of the Registrant (as amended and currently in effect) | 8-K | 001-41855 | 3.1 | November 7, 2023 |
| 3.2 | Amended and Restated Bylaws of the Registrant (as amended and currently in effect) | 8-K | 001-41855 | 3.2 | November 7, 2023 |
| 4.1 | Form of Pre-Funded Warrant | 8-K | 001-41855 | 4.1 | October 17, 2025 |
| 10.1 | Form of Securities Purchase Agreement dated, October 16, 2025, by and among the Company and the Purchaser | 8-K | 001-41855 | 10.1 | October 17, 2025 |
| 10.2 | Form of Registration Rights Agreement dated, October 16, 2025, by and among the Company and the Purchaser | 8-K | 001-41855 | 10.2 | October 17, 2025 |
| 10.3*+ | Employment Agreement, as amended on September 14, 2025, by and between the Company and R. Nolan Townsend | ||||
| 10.4*+ | Employment Agreement, as amended on September 14, 2025, by and between the Company and Jose Manuel Otero | ||||
| 10.5*+ | 2025 Inducement Equity Incentive Plan and related form agreements | ||||
| 10.6*+ | Employment Agreement, as amended on September 14, 2025, by and between the Company and Louis Tamayo | ||||
| 10.7*+ | Transition and Separation Agreement, by and between the Company and Kyle Rasbach, effective August 13, 2025 | ||||
| 10.8*† | Amendment No. 4, effective March 5, 2025, to the First License Agreement, dated May 28, 2020, by and between LEXEO Therapeutics, LLC and Cornell University | ||||
| 10.9*† | Amendment No. 3, effective April 1, 2024, to the Second License Agreement, dated May 28, 2020, by and between LEXEO Therapeutics, LLC and Cornell University | ||||
| 10.10*† | Amendment No. 1, effective August 8, 2024 to the License Agreement, dated October 4, 2021, by and between LEXEO Therapeutics, Inc. and the Regents of the University of California | ||||
| 10.11*† | Amendment No. 2, effective May 28, 2025 to the License Agreement, dated October 4, 2021, by and between LEXEO Therapeutics, Inc. and the Regents of the University of California | ||||
| 10.12*† | Amendment No. 1, effective June 4, 2025, to the License Agreement, dated August 6, 2020, by and between Stelios Therapeutics, Inc. and the Regents of the University of California | ||||
| 10.13*† | Amendment No. 1, effective May 30, 2025, to the License Agreement, dated April 23, 2020, by and between Stelios Therapeutics, Inc. (as successor-in-interest to ARVC Therapeutics, Inc.) and the Regents of the University of California | ||||
| 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 and Accounting 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 and 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 and Accounting 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-the Instance Document does not appear in the Interactive Data File because 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 with applicable taxonomy extension information contained in Exhibits 101) |
- Filed herewith.
- Indicates management contract or compensatory plan.
† 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 information in Exhibits 32.1 and 32.2 shall not be deemed “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act or the Exchange Act (including this Quarterly Report), unless the Registrant specifically incorporates the foregoing information into those documents by reference.
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