Altimmune Inc
For the period ended Dec 31, 2023. Filed Mar 27, 2024.
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FY2023 · Filed Mar 27, 2024
ALT$1.94-8.5%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 15. Exhibits and Financial Statement Schedules
Financial Statements
Reference is made to the Index to the Consolidated Financial Statements included in Item 8 of this report.
Financial Statement Schedules
Required information is included in the notes to the consolidated financial statements.
Exhibit Index
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| ExhibitNo. | Description | |
| 2.1 | | Agreement and Plan of Merger and Reorganization, dated July 8, 2019, by and among Altimmune, Inc., Springfield Merger Sub, Inc., Springfield Merger Sub, LLC, Spitfire Pharma, Inc. and David Collier, as the Stockholder Representative (incorporated by reference to Exhibit 2.1 to Registrant’s Form 8-K filed on July 9, 2019) |
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| 3.1 | | Amended and Restated Certificate of Incorporation, dated October 17, 2017 (incorporated by reference to Exhibit 3.1 to the Registrant’s Form 8-K filed on October 18, 2017) |
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| 3.2 | | Certificate of Amendment to Amended and Restated Certificate of Incorporation regarding a reverse stock split (incorporated by reference to Exhibit 3.1 to the Registrant’s Form 8-K filed on September 13, 2018) |
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| 3.3 | | Certificate of Amendment to Amended and Restated Certificate of Incorporation regarding an increase in authorized shares (incorporated by reference to Exhibit 3.2 to the Registrant’s Form 8-K filed on September 13, 2018) |
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| 3.4 | | Amended and Restated Bylaws of Altimmune, Inc. (incorporated by reference to Exhibit 3.2 to the Registrant’s Form 8-K filed on October 18, 2017) |
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| 3.5 | | Certificate of Designations of the Series B Convertible Preferred Stock, dated August 21, 2017 (incorporated by reference to Exhibit 3.1 to the Registrant’s Form 8-K filed on August 21, 2017) |
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| 4.1 | | Form of Warrant (incorporated by reference to Exhibit 4.2 to the Registrant’s Form 8-K filed on March 11, 2019) |
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| 4.2* | | Description of Registrant’s Securities |
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| 10.1† | | Altimmune, Inc. 2017 Omnibus Incentive Plan (incorporated by reference to Exhibit 10.1 to the Registrant’s Form 8-K filed on May 8, 2017) |
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| 10.2† | | Amendment No. 1 to the Altimmune, Inc. 2017 Omnibus Incentive Plan (incorporated by reference to Appendix A to the Registrant’s definitive proxy statement on Schedule 14A filed on July 26, 2018) |
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| 10.3† | | Altimmune, Inc. 2001 Employee Stock Option Plan (incorporated by reference to Exhibit 99.1 to the Registrant’s Form S-8 filed on May 10, 2017) |
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| 10.4† | | Altimmune, Inc. 2001 Non-Employee Stock Option Plan (incorporated by reference to Exhibit 99.2 to the Registrant’s Form S-8 filed on May 10, 2017) |
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| 10.5† | | Altimmune, Inc. 2018 Inducement Grant Plan (incorporated by reference to Exhibit 10.3 to the Registrant’s Form 8-K filed on December 3, 2018) |
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| 10.6† | | Altimmune, Inc. 2019 Employee Stock Purchase Plan (incorporated herein by reference to Appendix A to the Registrant’s Definitive Proxy Statement, filed on August 22, 2019) |
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| ExhibitNo. | Description | |
| 10.7† | | Altimmune, Inc. Non-Employee Director Compensation Policy (incorporated by reference to Exhibit 10.7 to the Registrant’s Form 10-K filed on February 28, 2023) |
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| 10.8§ | | Amended and Restated License Agreement, dated July 12, 2019, by and between Mederis Diabetes, LLC and Spitfire Pharma, Inc. (incorporated by reference to Exhibit 10.2 to the Registrant’s Form 10-Q filed on November 13, 2019) |
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| 10.9 | | Form of Director and Officer Indemnification Agreement (incorporated by reference to Exhibit 10.12 to the Registrant’s Form 10-Q filed on August 14, 2017) |
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| 10.10† | | Employment Agreement, dated November 16, 2018 between Dr. Vipin K. Garg and Altimmune, Inc. (incorporated by reference to Exhibit 10.1 to the Registrant’s Form 8-K filed on November 27, 2018) |
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| 10.11† | | Employment Agreement, dated September 9, 2019, by and between Altimmune, Inc. and M. Scott Harris (incorporated by reference to Exhibit 10.4 to the Registrant’s Form 10-Q filed on November 13, 2019) |
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| 10.12† | | Employment Agreement, dated January 1, 2023, by and between Altimmune, Inc. and Raymond M. Jordt (incorporated by reference to Exhibit 10.30 to the Registrant’s Form 10-K filed on February 28, 2023) |
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| 10.13 | | Equity Distribution Agreement, dated February 25, 2021, by and among Altimmune, Inc. and Piper Sandler & Co., Evercore Group L.L.C. and B. Riley Securities, Inc. (incorporated by reference to Exhibit 1.1 to the Registrant’s Form 8-K filed on February 25, 2021) |
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| 10.14 | | Equity Distribution Agreement, dated February 28, 2023 among the Registrant and Evercore Group L.L.C., JMP Securities LLC and B. Riley Securities, Inc. (incorporated by reference to Exhibit 1.2 to the Registrant’s Form S-3ASR filed on February 28, 2023) |
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| 21* | | Subsidiaries |
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| 23.1* | | Consent of Ernst & Young LLP, Independent Registered Public Accounting Firm |
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| 24* | | Power of Attorney |
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| 31.1* | | Certification of Principal Executive Officer Pursuant to SEC Rule 13a-14(a) |
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| 31.2* | | Certification of Principal Financial Officer Pursuant to SEC Rule 13a-14(a) |
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| 32.1* | | Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350 |
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| 32.2* | | Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350 |
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| 97* | | Policy Relating to Recovery of Erroneously Awarded Compensation |
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| 101.INS | | Inline 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) |
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| 101.SCH | | Inline XBRL Taxonomy Extension Schema Document |
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| 101.CAL | | Inline XBRL Taxonomy Extension Calculation Linkbase Document |
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| 101.DEF | | Inline XBRL Taxonomy Extension Definition Linkbase Document |
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| 101.LAB | | Inline XBRL Taxonomy Extension Label Linkbase Document |
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| 101.PRE | | Inline XBRL Taxonomy Extension Presentation Linkbase Document |
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| 104 | | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) |
| * | Filed herewith. |
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| † | Management contract or compensatory plan or arrangement. |
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| § | Certain portions of this exhibit have been omitted pursuant to a request for confidential treatment. |
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Financial Statements and Schedules of Subsidiaries and Affiliates
None.
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