EXAGEN INC
For the period ended Dec 31, 2023. Filed Mar 18, 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 18, 2024
XGN$5.26-25.9%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 16. Form 10-K Summary
None.
Index to Exhibits
| Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|
| Exhibit Number | Exhibit Description | Form | File No. | Exhibit | Exhibit Filing Date | Filed/Furnished Herewith |
| 3.1 | Amended and Restated Certificate of Incorporation. | 8-K | 001-39049 | 3.1 | 9/23/2019 | |
| 3.2 | Amended and Restated Bylaws. | 8-K | 001-39049 | 3.1 | 3/22/2021 | |
| 3.3 | Amendment to Amended and Restated Bylaws, dated January 19, 2023. | 8-K | 001-39049 | 3.1 | 1/23/2023 | |
| 4.1 | Specimen stock certificate evidencing the shares of common stock. | S-1/A | 333-233446 | 4.1 | 9/9/2019 | |
| 4.2 | Amended and Restated Investors’ Rights Agreement, dated July 12, 2019, by and among the Company and certain of its stockholders. | S-1/A | 333-233446 | 4.2 | 9/9/2019 | |
| 4.3 | Amended and Restated Stockholders' Agreement, dated July 12, 2019, by and among the Company and certain of its stockholders. | S-1/A | 333-233446 | 4.3 | 9/9/2019 | |
| 4.4 | Form of Common Stock Purchase Warrant issued to investors by the Company in connection with private placement financings. | S-1/A | 333-233446 | 4.4 | 9/9/2019 | |
| 4.5 | Form of Common Stock Purchase Warrant to purchase common stock issued to investors by the Company in 2016. | S-1/A | 333-233446 | 4.8 | 9/9/2019 | |
| 4.6 | Form of Warrant to Purchase Stock issued to Innovatus Life Sciences Lending Fund I, LP in connection with the Company's 2018 loan agreement. | S-1/A | 333-233446 | 4.9 | 9/9/2019 | |
| 4.7 | Form of Exchange Warrant. | 10-Q | 001-39049 | 4.5 | 8/9/2021 | |
| 4.8 | Description of Securities. | X | ||||
| 10.1# | Exagen Corporation 2002 Stock Option Plan, as amended, and form of option agreement thereunder. | S-1/A | 333-233446 | 10.1 | 9/9/2019 | |
| 10.2# | Exagen Diagnostics, Inc. 2013 Stock Option Plan, as amended, and form of option agreement thereunder. | S-1/A | 333-233446 | 10.2 | 9/9/2019 | |
| 10.3# | Exagen Inc. 2019 Incentive Award Plan. | S-1/A | 333-233446 | 10.3 | 9/9/2019 | |
| 10.4# | Form of Option Agreement under Exagen Inc. 2019 Incentive Award Plan. | S-1/A | 333-233446 | 10.4 | 9/9/2019 | |
| 10.5# | Form of Restricted Stock Unit Agreement under Exagen Inc. 2019 Incentive Award Plan. | 10-K | 001-39049 | 10.5 | 3/16/2021 | |
| 10.6# | Exagen Inc. 2019 Employee Stock Purchase Plan. | S-1/A | 333-233446 | 10.5 | 9/9/2019 | |
| 10.7 † | Asset Purchase Agreement, dated October 8, 2010, by and between Cypress Bioscience, Inc., Proprius, Inc. and the Company. | S-1/A | 333-233446 | 10.11 | 9/9/2019 | |
| 10.8† | Amendment No. One to Asset Purchase Agreement, dated March 10, 2011, by and between Cypress Bioscience, Inc., Proprius, Inc. and the Company. | S-1/A | 333-233446 | 10.12 | 9/9/2019 | |
| 10.9 | Amendment No. Two to Asset Purchase Agreement, dated August 21, 2012, by and between Royalty Pharma Collection Trust, Proprius, Inc. and the Company. | S-1/A | 333-233446 | 10.13 | 9/9/2019 | |
| 10.10† | Amendment No. Three to Asset Purchase Agreement, dated February 6, 2013, by and between Royalty Pharma Collection Trust, Proprius, Inc. and the Company. | S-1/A | 333-233446 | 10.14 | 9/9/2019 | |
| 10.11 | Amendment No. Four to Asset Purchase Agreement, dated October 8, 2013, by and between Royalty Pharma Collection Trust, Proprius, Inc. and the Company. | S-1/A | 333-233446 | 10.15 | 9/9/2019 |
| 10.12 | Amendment No. Five to Asset Purchase Agreement, dated January 26, 2016, by and between Royalty Pharma Collection Trust, Proprius, Inc. and the Company. | S-1/A | 333-233446 | 10.16 | 9/9/2019 |
| 10.13† | Amendment No. Six to Asset Purchase Agreement, dated February 16, 2017, by and between Royalty Pharma Collection Trust, Proprius, Inc. and the Company. | S-1/A | 333-233446 | 10.17 | 9/9/2019 |
| 10.14† | Amended and Restated Exclusive License Agreement, dated August 2, 2011, by and between the University of Pittsburgh-Of the Commonwealth System of Higher Education and the Company. | S-1/A | 333-233446 | 10.18 | 9/9/2019 |
| 10.15† | First Amendment to Amended and Restated Exclusive License Agreement, dated May 17, 2012, by and between the University of Pittsburgh-Of the Commonwealth System of Higher Education and the Company. | S-1/A | 333-233446 | 10.19 | 9/9/2019 |
| 10.16† | Second Amendment to Amended and Restated Exclusive License Agreement, dated September 30, 2013, by and between the University of Pittsburgh-Of the Commonwealth System of Higher Education and the Company. | S-1/A | 333-233446 | 10.20 | 9/9/2019 |
| 10.17 | Third Amendment to Amended and Restated Exclusive License Agreement, dated June 24, 2016, by and between the University of Pittsburgh-Of the Commonwealth System of Higher Education and the Company. | S-1/A | 333-233446 | 10.21 | 9/9/2019 |
| 10.18† | Exclusive License Agreement, dated September 30, 2013, by and between the University of Pittsburgh-Of the Commonwealth System of Higher Education and the Company. | S-1/A | 333-233446 | 10.22 | 9/9/2019 |
| 10.19† | Exclusive License Agreement, dated September 5, 2011, by and between Thierry Dervieux, Ph.D. and the Company. | S-1/A | 333-233446 | 10.23 | 9/9/2019 |
| 10.20 | Standard Industrial/Commercial Multi-Tenant Lease, dated January 13, 2012, by and between RGS Properties and the Company. | 10-Q | 001-39049 | 10.1 | 7/28/2020 |
| 10.21 | First Amendment to Standard Industrial/Commercial Multi-Tenant Lease, dated December 1, 2013, by and between RGS Properties and the Company. | 10-Q | 001-39049 | 10.2 | 7/28/2020 |
| 10.22 | Second Amendment to Standard Industrial/Commercial Multi-Tenant Lease, dated April 29, 2016, by and between RGS Properties and the Company. | 10-K | 001-39049 | 10.27 | 3/25/2020 |
| 10.23 | Third Amendment to Standard Industrial/Commercial Multi-Tenant Lease, dated June 16, 2017, by and between RGS Properties and the Company. | 10-K | 001-39049 | 10.28 | 3/25/2020 |
| 10.24 | Fourth Amendment to Standard Industrial/Commercial Multi-Tenant Lease, dated March 16, 2020, by and between RGS Properties and the Company. | 10-K | 001-39049 | 10.29 | 3/25/2020 |
| 10.25 | Fifth Amendment to Standard Industrial/Commercial Multi-Tenant Lease, dated October 19, 2021, by and between RGS Properties and the Company. | 10-Q | 001-39049 | 10.3 | 11/10/2021 |
| 10.26 | Standard Industrial/Commercial Single-Tenant Lease, dated September 4, 2014, by and between Geiger Court, LLC and the Company. | S-1/A | 333-233446 | 10.31 | 9/9/2019 |
| 10.27 | First Amendment to Standard Industrial/Commercial Single-Tenant Lease, dated August 2, 2017, by and between Geiger Court, LLC and the Company. | 10-K | 001-39049 | 10.31 | 3/25/2020 |
| 10.28 | Extension of Lease to Standard Industrial/Commercial Single-Tenant Lease, dated March 12, 2020, by and between Liberty Vista and the Company. | 10-K | 001-39049 | 10.32 | 3/25/2020 |
| 10.29 | First Amendment to Standard Industrial/Commercial Single-Tenant Lease, dated January 6, 2021, by and between Liberty Vista and the Company. | 10-K | 001-39049 | 10.34 | 3/16/2021 |
| 10.30 | Second Amendment to Standard Industrial/Commercial Single-Tenant Lease, dated October 11, 2021, by and between Liberty Vista and the Company. | 10-Q | 001-39049 | 10.2 | 11/10/2021 |
| 10.31 | Standard Industrial/Commercial Multi-Tenant Lease, dated March 17, 2020 by and between RGS Properties and the Company. | 10-K | 001-39049 | 10.33 | 3/25/2020 |
| 10.32 | First Amendment to Standard Industrial/Commercial Multi-Tenant Lease, dated October 19, 2021, by and between RGS Properties and the Company. | 10-Q | 001-39049 | 10.4 | 11/10/2021 |
| 10.33† | Sublease Agreement, dated August 19, 2021, by and between Plum Healthcare Group, LLC and the Company. | 10-Q | 001-39049 | 10.1 | 11/10/2021 |
| 10.34 | Master Lease Agreement, dated February 1, 2018, by and between Celtic Commercial Finance, a division of MB Equipment Finance, LLC and the Company. | S-1/A | 333-233446 | 10.32 | 9/9/2019 |
| 10.35 | Loan and Security Agreement, dated September 7, 2017, by and between Innovatus Life Sciences Lending Fund I, LP and the Company. | S-1/A | 333-233446 | 10.33 | 9/9/2019 |
| 10.36 | First Amendment to Loan and Security Agreement, dated November 19, 2019, by and between Innovatus Life Sciences Lending I, LP and the Company. | 10-K | 001-39049 | 10.36 | 3/25/2020 |
| 10.37 | Acknowledgement Letter to Loan and Security Agreement, dated October 7, 2020, by and between Innovatus Life Sciences Lending Fund I, LP and the Company. | 10-Q | 001-39049 | 10.1 | 11/10/2020 |
| 10.38 | Second Amendment to Loan and Security Agreement, dated November 1, 2021, by and among Innovatus Life Sciences Lending Fund I, LP, other lenders and the Company. | 10-Q | 001-39049 | 10.5 | 11/10/2021 |
| 10.39# | Offer Letter, dated October 12, 2010, by and between Thierry Dervieux, Ph.D. and the Company, as amended on September 9, 2011 and September 6, 2019. | S-1/A | 333-233446 | 10.34 | 9/9/2019 |
| 10.40 | Form of Indemnification Agreement for Directors and Officers. | S-1/A | 333-233446 | 10.35 | 9/9/2019 |
| 10.41# | Offer Letter, dated October 7, 2011, by and between Fortunato Ron Rocca and the Company, as amended on September 4, 2019. | S-1/A | 333-233446 | 10.36 | 9/9/2019 |
| 10.42# | Offer Letter, dated May 16, 2017, by and between Kamal Adawi and the Company, as amended on September 4, 2019. | S-1/A | 333-233446 | 10.37 | 9/9/2019 |
| 10.43# | Offer Letter dated February 21, 2020, by and between Debra Zack, MD Ph.D. and the Company. | 10-K | 001-39049 | 10.41 | 3/25/2020 |
| 10.44# | Non-Employee Director Compensation Program. | S-1/A | 333-233446 | 10.38 | 9/9/2019 |
| 10.45# | Executive Change in Control Severance Plan. | 10-K | 001-39049 | 10.46 | 3/16/2021 |
| 10.46# | Employment Agreement, dated as of October 16, 2022, by and between the Company and John Aballi | 8-K | 001-39049 | 10.1 | 10/16/2022 |
| 10.47# | Severance Agreement, dated as of October 14, 2022, by and between the Company and Ron Rocca | 8-K | 001-39049 | 10.2 | 10/16/2022 | |
| 10.48 | Sales Agreement, dated as of September 15, 2022, by and between the Company and Cowen and Company, LLC | 8-K | 001-39049 | 1.1 | 9/15/2022 | |
| 10.49 | Consulting Agreement, dated as of December 5, 2022, by and between the Company and Debra Zack, M.D., Ph.D. | 8-K | 001-39049 | 10.1 | 12/5/2022 | |
| 10.50^ | Third Amendment to Loan and Security Agreement dated April 28, 2023, by and among Innovatus Life Sciences Lending I, LP, other lenders and the Company. | 8-K | 001-39049 | 10.1 | 5/4/2023 | |
| 10.51 | Assignment and Assumption Agreement, by and among Liberty Vista, L.P., Mindera Corporation and the Company. | 10-Q | 001-39049 | 10.1 | 11/13/2023 | |
| 10.52 | Consulting Agreement, dated as of December 6, 2023, by and between the Company and Mark Hazeltine. | 8-K | 001-39049 | 10.1 | 12/11/2023 | |
| 23.1 | Consent of Independent Registered Public Accounting Firm. | X | ||||
| 24.1 | Power of Attorney (included on signature page). | X | ||||
| 31.1 | Certificate of Principal Executive Officer, pursuant to Rule 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 31.2 | Certificate of Principal Financial Officer, pursuant to Rule 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 32.1* | Certifications Pursuant to U.S.C. Section 1350, As Adopted Pursuant to Section 906 of the Public Company Accounting Reform and Investor Protection Act of 2002. | X | ||||
| 97.1# | Exagen Inc. Clawback Policy. | 10-Q | 001-39049 | 10.2 | 11/13/2023 | |
| 101.SCH | XBRL Taxonomy Extension Schema Document. | X | ||||
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document. | X | ||||
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document. | X | ||||
| 101.LAB | XBRL Taxonomy Extension Labels Linkbase Document. | X | ||||
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document. | X | ||||
| 104 | The cover page from the Company's Annual Report on Form 10-K for the year ended December 31, 2021, has been formatted in Inline XBRL. | X | ||||
*This certification is deemed not filed for purpose of section 18 of the Exchange Act or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.