FILANA THERAPEUTICS, INC.
For the period ended Dec 31, 2025. Filed Mar 12, 2026.
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FY2025 · Filed Mar 12, 2026
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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 | Certificate of Amendment of Restated Certificate of Incorporation | 8-K | 3/10/2026 | 3.3 | |
| 3.5 | Amended and Restated Bylaws of Filana Therapeutics, Inc. | 8-K | 3/10/2026 | 3.4 | |
| 4.1 | Specimen Common Stock Certificate. | 10-Q | 8/12/2019 | 4.1 | |
| 4.2 | Description of Registrant’s Securities. | X | |||
| 10.1* | Form of Indemnification Agreement between Registrant and each of its directors and officers. | 10-K | 3/1/2022 | 10.1 | |
| 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 | |
| 10.10* | 2018 Omnibus Incentive Plan. | 8-K | 5/11/2018 | 10.1 | |
| 10.11 | Controlled Equity OfferingSM Sales Agreement, dated as of November 12, 2025, between Registrant and Cantor Fitzgerald and Co. | X | |||
| 10.12* | Cassava Sciences, Inc. 2020 Cash Incentive Bonus Plan (As Amended March 16, 2023) | 10-Q | 8/3/2023 | 10.2 | |
| 10.13* | Amended and Restated Employment Agreement, dated April 18, 2025, by and between Registrant and Eric J. Schoen. | 8-K | 4/21/2025 | 10.3 | |
| 10.14* | Amended and Restated Employment Agreement, dated April 18, 2025, by and between Registrant and R. Christopher Cook | 8-K | 4/21/2025 | 10.2 | |
| 10.16* | Employment agreement, dated October 1, 2024, by and between Registrant and Richard J. Barry | 8-K | 10/1/2024 | 10.1 | |
| 10.18+ | Master Services Agreement between Registrant and Evonik Corporation, dated February 22, 2021. | 8-K | 3/11/2021 | 10.1 | |
| 10.20+ | Agreement of Sale and Purchase Between DWF IV Lakewood, LP and Registrant dated July 2, 2021 | 10-Q | 11/15/2021 | 10.4 | |
| 10.21* | Amendment 1 to 2018 Omnibus Incentive Plan | 10-Q | 8/4/2022 | 10.1 | |
| 10.23* | Cassava Sciences Non-Employee Director Compensation Plan | 10-Q | 8/3/2023 | 10.3 | |
| 10.25+ | License Agreement, dated February 26, 2025, by and between Registrant and Yale University | 8-K | 2/27/2025 | 10.1 | |
| 19.1 | Insider Trading Policy | X | |||
| 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, 2025, 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.
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