Peraso Inc
For the period ended Dec 31, 2023. Filed Mar 29, 2024.
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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.
FY2023 · Filed Mar 29, 2024
PRSO$0.36+2.0%Stored close · as of Nov 9, 2026
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Item 15. Exhibits
(a)(1)Consolidated Financial Statements:
The following documents are filed as part of this Report:
Consolidated Financial Statements and Report of Independent Registered Public Accounting Firm, all of which are set forth on pages F-1 through F-32 of this Report.
(2) Financial Statement Schedules:
Financial statement schedules are omitted because they are not required, not applicable or because the required information is shown in the consolidated financial statements or notes thereto.
(3) Exhibits:
Required exhibits are incorporated by reference or are filed with this Report.
| Reference | |||||
|---|---|---|---|---|---|
| Exhibit No. · Exhibit Description · Form · File No. · Form Exhibit · Filing Date · Filed or Furnished Herewith | |||||
| 2.1** | Arrangement Agreement with Peraso Technologies Inc. | 8-K | 000-32929 | 2.1 | September 15, 2021 |
| 2.2 | First Amending Agreement dated October 21, 2021 | 8-K | 000-32929 | 2.1 | October 22, 2021 |
| 3.1 | Restated Certificate of Incorporation of the Company | 8-K | 000-32929 | 3.6 | November 12, 2010 |
| 3.1.1 | Certificate of Amendment to Restated Certificate of Incorporation of the Company | 8-K | 000-32929 | 3.1 | February 14, 2017 |
| 3.1.2 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation of the Company, filed with the Secretary of State of the State of Delaware on August 27, 2019 | 8-K | 000-32929 | 3.1 | August 27, 2019 |
| 3.1.3 | Certificate of Amendment to Articles of Incorporation (Name Change) | 8-K | 000-32929 | 3.1 | December 20, 2021 |
| 3.1.4 | Certificate of Designation of Series A Special Voting Preferred Stock | 8-K | 000-32929 | 3.2 | December 20, 2021 |
| 3.1.5 | Certificate of Amendment to Amended and Restated Certificate of Incorporation of the Company, filed with the Secretary of State of the State of Delaware on December 15, 2023 | 8-K | 000-32929 | 3.1 | December 19, 2023 |
| 3.2 | Amended and Restated Bylaws of the Company | 8-K | 000-32929 | 3.1 | November 23, 2021 |
| 4.1 | Specimen Common Stock Certificate | S-1/A | 333-43122 | 4.1 | September 14, 2000 |
| 4.2 | Form of Common Stock Purchase Warrant | 8-K | 000-32929 | 4.1 | June 30, 2017 |
| 4.3 | Form of Securities Purchase Agreement | 8-K | 000-32929 | 10.1 | June 30, 2017 |
| 4.4 | Form of Common Stock Purchase Warrant | 8-K | 000-32929 | 4.6 | October 3, 2018 |
| 4.5 | Description of the Registrant's Securities | 10-K | 000-32929 | 4.6 | March 29, 2023 |
| 4.6.1* | Amended and Restated Peraso Inc. 2010 Equity Incentive Plan | S-8 | 333-229728 | 4.8 | February 15, 2019 |
| 4.6.2* | Amended and Restated Peraso Inc. 2019 Stock Incentive Plan | S-8 | 333-262062 | 4.2 | January 7, 2022 |
| 4.7.1* | Form of Agreement for Stock Option Grant pursuant to the Peraso Inc. Amended and Restated 2010 Equity Incentive Plan | S-8 | 333-168358 | 4.10 | July 28, 2010 |
| 4.7.2* | Form of Notice of Grant of Stock Option Award and Agreement pursuant to the Peraso Inc. 2019 Stock Incentive Plan | S-8 | 333-234675 | 4.10 | November 13, 2019 |
| 4.8.1* | Form of Notice of Grant of Restricted Stock Unit Award and Agreement under the Peraso Inc. Amended and Restated 2010 Equity Incentive Plan | 10-Q | 000-32929 | 10.23 | August 8, 2013 |
| 4.8.2* | Form of Notice of Grant of Restricted Stock Unit Award and Agreement under the Peraso Inc. 2019 Stock Incentive Plan | S-8 | 333-234675 | 4.13 | November 13, 2019 |
| 4.9* | Amended Peraso Technologies Inc. 2009 Share Option Plan | S-8 | 333-262062 | 4.5 | January 7, 2022 |
| 4.10 | Form of Pre-Funded Common Stock Purchase Warrant | 8-K | 000-32929 | 4.1 | November 30, 2022 |
| 4.11 | Form of Common Stock Purchase Warrant | 8-K | 000-32929 | 4.2 | November 30, 2022 |
| 4.12 | Form of Pre-Funded Warrant | 8-K | 000-32929 | 4.1 | June 2, 2023 |
| 4.13 | Form of Purchase Warrant | 8-K | 000-32929 | 4.2 | June 2, 2023 |
| 4.14 | Form of Placement Agent Warrant | 8-K | 000-32929 | 4.3 | June 2, 2023 |
| 4.15 | Form of Series A Warrant | S-1/A | 333-276247 | 4.15 | February 5, 2024 |
| 4.16 | Form of Series B Warrant | S-1/A | 333-276247 | 4.16 | February 5, 2024 |
| 4.17 | Form of Pre-Funded Warrant | S-1/A | 333-276247 | 4.16 | January 23, 2024 |
| 4.18 | Form of Representative Warrant | S-1/A | 333-276247 | 4.17 | January 23, 2024 |
| 10.1* | Employment Offer Letter Agreement between the Company and James Sullivan dated December 21, 2007 | 10-K | 000-32929 | 10.26 | March 17, 2008 |
| 10.2* | Change-in-control Agreement between the Company and James Sullivan dated January 18, 2008 | 10-K | 000-32929 | 10.27 | March 17, 2008 |
| 10.3* | Form of Option Agreement for Stock Option Grant pursuant to Amended and Restated 2010 Equity Incentive Plan | S-8 | 333-168358 | 4.10 | July 28, 2010 |
| 10.4* | Form of Notice of Restricted Stock Unit Award and Agreement under the Amended and Restated Peraso Inc. 2010 Equity Incentive Plan | S-8 | 333-159753 | 4.8 | June 5, 2009 |
| 10.5* | Form of New Employee Inducement Grant Stock Option Agreement (revised February 2012) | 10-K | 000-32929 | 10.19 | March 15, 2012 |
| 10.6 | Form of Indemnification Agreement used from June 2012 to present | 10-Q | 000-32929 | 10.22 | August 9, 2012 |
| 10.7* | Executive Change-in-Control and Severance Policy | SC TO-I | 005-78033 | 99.(D)(7) | July 26, 2016 |
| 10.8* | Employment offer letter agreement between the Company and Daniel Lewis dated August 8, 2018 | S-1/A | 333-225193 | 10.28 | September 17, 2018 |
| 10.9 | Securities Purchase Agreement | 8-K | 000-32929 | 10.26 | October 3, 2018 |
| 10.10 | Securities Purchase Agreement | 8-K | 000-32929 | 10.1 | April 17, 2020 |
| 10.11 | Form of Lock-Up Agreement | 8-K | 000-32929 | 10.1 | December 20, 2021 |
| 10.12 | Intercompany Services Agreement | 8-K | 000-32929 | 10.2 | December 20, 2021 |
| 10.13* | Employment Agreement (Ronald Glibbery) | 8-K | 000-32929 | 10.3 | December 20, 2021 |
| 10.14* | Employment offer letter agreement between the Company and Mark Lunsford dated October 4, 2022 | 10-K | 000-32929 | 10.17 | March 29, 2023 |
| 10.15* | Employment Agreement (Brad Lynch) | 10-K | 000-32929 | 10.18 | March 29, 2023 |
| 10.16* | Employment Agreement (Alexander Tomkins) | 10-K | 000-32929 | 10.19 | March 29, 2023 |
| 10.17* | Amendment to offer of employment between the Company and Daniel Lewis dated April 15, 2022 | 10-Q | 000-32929 | 10.1 | August 15, 2022 |
| 10.18* | Amendment to offer of employment between the Company and James Sullivan dated April 15, 2022 | 10-Q | 000-32929 | 10.2 | August 15, 2022 | |
| 10.19* | Amendment to employment agreement between Peraso Technologies Inc. and Brad Lynch dated April 15, 2022 | 10-Q | 000-32929 | 10.3 | August 15, 2022 | |
| 10.20* | Amendment to offer of employment between the Company and Alex Tomkins dated April 19, 2023 | S-1 | 333-272729 | 10.21 | June 16, 2023 | |
| 10.21* | Amendment to offer of employment between the Company and Ronald Glibbery dated April 19, 2023 | S-1 | 333-272729 | 10.22 | June 16, 2023 | |
| 10.22* | Second Amendment to offer of employment between the Company and Brad Lynch dated April 19, 2023 | S-1 | 333-272729 | 10.23 | June 16, 2023 | |
| 10.23** | Technology License and Patent Assignment Agreement By and Between Intel Corporation and the Company dated August 5, 2022 | 10-Q | 000-32929 | 10.1 | November 14, 2022 | |
| 10.24** | Form of Securities Purchase Agreement | 8-K | 000-32929 | 10.1 | November 30, 2022 | |
| 10.25 | Form of Registration Rights Agreement | 8-K | 000-32929 | 10.2 | November 30, 2022 | |
| 10.26** | Form of Securities Purchase Agreement | 8-K | 000-32929 | 10.1 | June 2, 2023 | |
| 10.27 | Form of Registration Rights Agreement | 8-K | 000-32929 | 10.2 | June 2, 2023 | |
| 10.28* | First Amendment to Executive Change-in-Control and Severance Policy | 10-Q | 000-32929 | 10.23 | May 13, 2021 | |
| 10.29 | Amendment No. 1 to Peraso Inc. Common Stock Purchase Warrant | 8-K | 000-32929 | 10.3 | June 2, 2023 | |
| 10.30 | Underwriting Agreement, dated February 6, 2024, by and between the Company and Ladenburg Thalmann & Co. Inc. | 8-K | 000-32929 | 1.1 | February 9, 2024 | |
| 10.31 | Form of Lock-Up Agreement | S-1/A | 333-276247 | 10.30 | January 23, 2024 | |
| 10.32 | Warrant Agency Agreement, dated February 8, 2024, by and between the Company and Equiniti Trust Company, LLC | 8-K | 000-32929 | 10.2 | February 9, 2024 | |
| 21.1 | List of Subsidiaries | 10-K | 000-32929 | 21.1 | March 29, 2023 | |
| 23.1 | Consent of Independent Registered Public Accounting Firm-Weinberg & Co., P.A. | X | ||||
| 24.1 | Power of Attorney (see signature page) | X | ||||
| 31.1 | Rule 13a-14 Certification | X | ||||
| 31.2 | Rule 13a-14 Certification | X | ||||
| 32 | Section 1350 Certification | X | ||||
| 97.1 | Company Clawback Policy | X | ||||
| 101.INS | Inline XBRL Instance 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 Labels 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 | ||||
| * | Management contract, compensatory plan or arrangement. |
|---|---|
| ** | Certain schedules, exhibits and similar attachments have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The Company hereby undertakes to furnish copies of such omitted materials supplementally upon request by the SEC. |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.