Spero Therapeutics, Inc.
For the period ended Jun 30, 2026. Filed Aug 12, 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 12, 2026
SPRO$1.07+3.9%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| ExhibitNumber | Exhibit Description | Filed withthis Report | Incorporated byReference herein fromForm or Schedule | Filing Date | SEC File /RegistrationNumber |
|---|---|---|---|---|---|
| 3.1 | Amended and Restated Certificate of Incorporation of the Registrant | Form 8-K (Exhibit 3.1) | 11/6/2017 | 001-38266 | |
| 3.2 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation of the Registrant | Form 8-K (Exhibit 3.1) | 8/18/2021 | 001-38266 | |
| 3.3 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation of the Registrant | Form 8-K (Exhibit 3.1) | 6/25/2026 | 001-38266 | |
| 3.4 | Amended and Restated Bylaws of the Registrant | Form 10-Q(Exhibit 3.1) | 11/13/2023 | 001-38266 | |
| 10.1 | 2026 Stock Incentive Plan | Form S-8(Exhibit 99.1) | 6/23/2026 | 333-296972 | |
| 10.2 | Form of Stock Option Agreement under the 2026 Stock Incentive Plan | X | |||
| 10.3 | Form of Restricted Stock Unit Agreement under the 2026 Stock Incentive Plan | X | |||
| 10.4†† | Exclusive License Agreement, dated July 8, 2026, by and between the Registrant and Innovent Biologics (Suzhou) Co., Ltd. and Fortvita Biologics (USA), Inc. | X | |||
| 10.5†† | Note Purchase and Guaranty Agreement dated July 8, 2026, by and between the Spero Holdings SPV, LLC, Spero SPV, LLC and the purchasers party thereto and HCR Spero SPV, LLC, as the purchaser representative for such purchasers | X | |||
| 10.6†† | Royalty and Milestone Payment Interest Purchase and Sale Agreement dated July 8, 2026, by and between Spero SPV, LLC and the purchasers party thereto and HCR Spero SPV, LLC, as the purchaser representative for such purchasers | X | |||
| 10.7†† | Limited Recourse Guaranty dated July 8, 2026, by and between the Registrant and HCR Spero SPV, LLC | X | |||
| 10.8 | Employment Agreement, dated August 3, 2026 by and between the Registrant and Debra Zack, M.D., PhD | X | |||
| 10.9 | Termination Agreement, dated August 11, 2026, by and between Registrant and Everest Medicines II Limited | X | |||
| 31.1 | Certification of Principal Executive Officer and Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||
| 32.1* | Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, by Principal Executive Officer and Principal Financial Officer | X | |||
| 101.INS | 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 | X |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | X |
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | X |
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | X |
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | X |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | X |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) | X |
†† Certain confidential portions of this Exhibit were omitted by means of marking such portions with brackets (“[***]”) because the identified confidential portions (i) are not material and (ii) is the type that the Registrant treats as private or confidential.
- The certification attached as Exhibit 32.1 that accompanies this Quarterly Report on Form 10-Q is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of Spero Therapeutics, Inc. under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Form 10-Q, irrespective of any general incorporation language contained in such filing.
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