Nuvation Bio Inc.
For the period ended Jun 30, 2026. Filed Aug 6, 2026.
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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.
Jun 30, 2026 · Filed Aug 6, 2026
NUVB$4.35+4.6%Stored close · as of Nov 9, 2026
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Item 6. Exhibits
The following exhibits are filed as part of this report:
| ExhibitNumber | Description |
| 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 | Base Indenture, dated June 30, 2026, by and between the Company and U.S. Bank Trust Company, National Association, as Trustee previously filed with the SEC on June 30, 2026 as Exhibit 4.1 to the Company’s Current Report on Form 8-K (File No. 001-39351), which is incorporated herein by reference. |
| 4.2 | First Supplemental Indenture, dated June 30, 2026, by and between the Company and U.S. Bank Trust Company, National Association, as Trustee (including the form of 0.75% Convertible Senior Note due 2032) previously filed with the SEC on June 30, 2026 as Exhibit 4.1 to the Company’s Current Report on Form 8-K (File No. 001-39351), which is incorporated herein by reference. |
| 10.1*+ | Amended and Restated License Agreement between the Company and Daiichi Sankyo Company, Limited, dated April 1, 2026. |
| 10.2 | First Amendment to Revenue Interest Financing Agreement, dated June 24, 2026, by and between the Company and Sagard Healthcare Partners Funding Borrower SPE 2, LP., previously filed with the SEC on June 30, 2026 as Exhibit 10.1 to the Company’s Current Report on Form 8-K (File No. 001-39351), which is incorporated herein by reference. |
| 10.3 | Form of Confirmation for Capped Call Transactions, previously filed with the SEC on June 30, 2026 as Exhibit 10.2 to the Company’s Current Report on Form 8-K (File No. 001-39351), which is incorporated herein by reference. |
| 10.4#* | Non-Employee Director Compensation Policy |
| 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 – the instance document does not appear in the Interactive Data File as its XBRL tags are embedded within the Inline XBRL document |
| 101.SCH | Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents |
| 104 | Cover page formatted as inline XBRL and contained in Exhibit 101 |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.