CASSAVA SCIENCES INC
For the period ended Dec 31, 2023. Filed Feb 28, 2024.
View on SEC.govAbout this filing
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 Feb 28, 2024
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 15. *Exhibits and Financial Statement Schedules *
(a) The following documents are filed as part of this Form 10-K:
| (1) | Consolidated Financial Statements (included in Part II of this report): |
Report of Independent Registered Public Accounting Firm
Consolidated Balance Sheets
Consolidated Statements of Operations
Consolidated Statements of Stockholders' Equity
Consolidated Statements of Cash Flows
Notes to Consolidated Financial Statements
| (2) | Consolidated Financial Statement Schedules: |
All consolidated financial statement schedules are omitted because the information is inapplicable or presented in the notes to the consolidated financial statements.
| (3) | Management Contracts, Compensatory Plans and Arrangements. |
Management contracts, compensatory plans and arrangements are indicated by the symbol “*” in the applicable exhibits listed in Item 15(b), below.
(b)Exhibits
The exhibits listed below are filed as part of this Form 10-K other than Exhibit 32.1, which shall be deemed furnished.
| Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|
| Exhibit No. · Description · Form · Filing Date · Exhibit No. · Filed Herewith | ||||||
| 3.1 | Amended and Restated Certificate of Incorporation. | 10-Q | 7/29/2005 | 3.1 | ||
| 3.2 | Certificate of Amendment of Restated Certificate of Incorporation. | 8-K | 5/8/2017 | 3.1 | ||
| 3.3 | Certificate of Amendment of Restated Certificate of Incorporation. | 10-K | 3/29/2019 | 3.3 | ||
| 3.4 | Amended and Restated Bylaws of Cassava Sciences, Inc. | 8-K | 9/13/23 | 3.4 | ||
| 4.1 | Specimen Common Stock Certificate. | 10-Q | 8/12/2019 | 4.1 | ||
| 4.2 | Description of Registrant’s Securities. | X | ||||
| 4.3 | Warrant Agreement (including Form of Warrant), dated January 3, 2024, between the Company, Computershare Inc., a Delaware corporation, and Computershare Trust Company, N.A., as Warrant Agent. | 8-K | 1/3/24 | 4.1 | ||
| 10.1 | Form of Indemnification Agreement between Registrant and each of its directors and officers. | 10-K | 3/1/2022 | 10.1 | ||
| 10.5* | * | Employment Agreement, dated July 1, 1998 and amended December 17, 2008, between Registrant and Remi Barbier. | 10-K | 2/13/2009 | 10.12 | |
| 10.6 | * | 2000 Employee Stock Purchase Plan, as amended and restated. | 10-Q | 7/29/2010 | 10.1 | |
| 10.7 | * | 2008 Equity Incentive Plan. | 8-K | 5/29/2008 | 10.1 | |
| 10.8 | * | Amendment Number 1 to the 2008 Equity Incentive Plan. | 10-Q | 8/1/2013 | 10.1 | |
| 10.9 | * | Amendment No. 2 to Employment Agreement between Registrant and Remi Barbier. | 10-Q | 8/1/2013 | 10.2 | |
| 10.10 | * | 2018 Omnibus Incentive Plan. | 8-K | 5/11/2018 | 10.1 | |
| 10.11 | Capital On DemandTM Sales Agreement, dated as of May 1, 2023, between Cassava Sciences, Inc. and JonesTrading Institutional Services LLC | 8-K | 5/1/2023 | 1.1 | ||
| 10.12 | * | Cassava Sciences, Inc. 2020 Cash Incentive Bonus Plan (As Amended March 16, 2023). | 10-Q | 8/3/2023 | 10.2 | |
| 10.13 | * | Employment Agreement, executed on October 9, 2018, by and between Registrant and Eric Schoen. | 8-K | 10/11/2018 | 10.1 | |
| 10.14 | * | Employment Agreement, executed on January 1, 2021, by and between Registrant and Dr. James Kupiec. | 8-K | 1/6/2021 | 10.1 | |
| 10.15+ | Master Services Agreement between Cassava Sciences, Inc. and Evonik Corporation, dated February 22, 2021. | 8-K | 3/11/2021 | 10.1 | ||
| 10.16+ | Master Services Agreement between Cassava Sciences, Inc. and Premier Research International LLC, dated June 11, 2021 | 10-Q | 8/4/2021 | 10.3 | ||
| 10.17+ | Agreement of Sale and Purchase Between DWF IV Lakewood, LP and Cassava Sciences, Inc. dated July 2, 2021 | 10-Q | 11/15/2021 | 10.4 | |
| 10.18* | Amendment 1 to 2018 Omnibus Incentive Plan | 10-Q | 8/4/2022 | 10.1 | |
| 10.19* | Employment Agreement, executed on October 13, 2022, by and between Registrant and R. Christopher Cook | 8-K | 10/27/2022 | 10.1 | |
| 10.19* | Cassava Sciences Non-Employee Director Compensation Plan | 10-Q | 8/3/2023 | 10.3 | |
| 21.1 | Subsidiaries of the Registrant. | X | |||
| 23.1 | Consent of Independent Registered Public Accounting Firm. | X | |||
| 31.1 | Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | |||
| 31.2 | Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | |||
| 32.1 | Certifications of the Chief Executive Officer and the Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | |||
| 97 | Policy Regarding Recovery of Erroneously Awarded Compensation | 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 | The cover page from the Company’s Annual Report on Form 10-K for the fiscal year ended December 31, 2023, formatted in Inline XBRL (included in Exhibit 101). | X | |||
- Management contract, compensatory plan or arrangement.
- Confidential portions of this document have been redacted as permitted by applicable regulations.
(c)* Consolidated Financial Statement Schedules*
All consolidated financial statement schedules are omitted because the information is inapplicable or presented in the notes to the consolidated financial statements.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.