SI-BONE Inc
For the period ended Dec 31, 2023. Filed Feb 27, 2024.
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FY2023 · Filed Feb 27, 2024
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Item 15. Exhibits and Financial Statement Schedules
(a) The following documents are filed as part of this report:
- Financial Statements
Information in response to this Item is included in Part II, Item 8 of this Annual Report on Form 10‑K.
- Financial Statement Schedules
All schedules are omitted because they are not applicable or the required information is shown in the financial statements or notes thereto.
- Exhibits
The following exhibits, as required by Item 601 of Regulation S-K are attached or incorporated by reference as stated below.
EXHIBIT INDEX
| Incorporation By Reference | |||||
|---|---|---|---|---|---|
| Exhibit Number | Description | Form | SEC File No. | Exhibit | Filing Date |
| 3.1 | Amended and Restated Certificate of Incorporation. | 8-K | 001-38701 | 3.1 | 10/19/2018 |
| 3.2 | Second Amended and Restated Bylaws | 8-K | 001-38701 | 3.1 | 9/20/2023 |
| 4.1 | Form of Common Stock Certificate of the Company. | S-1/A | 333-227445 | 4.1 | 10/5/2018 |
| 4.2 | Reference is made to Exhibits 3.1 and 3.2. | ||||
| 4.3 | Description of SI-BONE, Inc. Common Stock | 10-Q | 001-38701 | 4.3 | 5/5/2020 |
| 10.1+ | Form of Indemnity Agreement between the Registrant and each of its directors and executive officers. | S-1 | 333-227445 | 10.1 | 9/20/2018 |
| 10.2+ | 2008 Stock Plan and forms of agreements thereunder. | S-1/A | 333-227445 | 10.2 | 10/5/2018 |
| 10.3+ | 2018 Equity Incentive Plan. | S-1/A | 333-227445 | 10.3 | 10/5/2018 |
| 10.4+ | Forms of Stock Option Grant Notice, Option Agreement and Notice of Exercise under the 2018 Equity Incentive Plan. | S-1/A | 333-227445 | 10.4 | 10/5/2018 |
| 10.5+ | Forms of Restricted Stock Unit Grant Notice and Restricted Stock Unit Award Agreement under the 2018 Equity Incentive Plan. | 10-Q | 001-38701 | 10.1 | 11/8/2022 |
| 10.6+ | 2018 Employee Stock Purchase Plan. | S-1/A | 333-227445 | 10.6 | 10/5/2018 |
| 10.7+ | Offer Letter Agreement, dated December 15, 2009, between the Registrant and Jeffrey W. Dunn. | S-1 | 333-227445 | 10.7 | 9/20/2018 |
| 10.8+ | Offer Letter Agreement, dated June 19, 2016, between the Registrant and Anthony J. Recupero. | S-1 | 333-227445 | 10.18 | 9/20/2018 |
| 10.9 | Amended and Restated Investors’ Rights Agreement, dated June 2, 2016, by and among the Registrant and the parties thereto, as amended on October 4, 2018. | S-1/A | 333-227445 | 10.21 | 10/5/2018 |
| 10.10+ | Amendment to Restricted Stock Units of Laura Francis | 10-Q | 001-38701 | 10.2 | 11/12/2019 |
| 10.11+ | Amendment to Offer Letter with Jeffrey Dunn | 8-K | 001-38701 | 10.1 | 1/7/2021 |
| 10.12+ | 2023 Non-Employee Directors' Compensation Policy | 10-Q | 001-38701 | 10.1 | 8/08/2023 |
| 10.13+ | SI-BONE, Inc. Severance Benefit Plan and Form of Participation Agreement | 10-K | 001-38701 | 10.24 | 3/10/2021 |
| 10.14+ | Offer Letter Agreement, dated April 19, 2021, between the Registrant and Helen Loh | 10-Q | 001-38701 | 10.2 | 5/4/2021 |
| 10.15+ | Offer Letter Agreement, dated March 4, 2021, between the Registrant and Mika Nishimura | 10-Q | 001-38701 | 10.3 | 5/4/2021 |
| 10.16 | Office Lease Agreement, dated February 2, 2018, between the Registrant and Bixby SPE Finance 11, LLC, as amended on April 16, 2018. | S-1 | 333-227445 | 10.21 | 9/20/2018 |
| 10.17 | Loan and Security Agreement, dated August 12, 2021, between SI-BONE, Inc. and Silicon Valley Bank | 10-Q | 001-38701 | 10.1 | 11/9/2021 |
| 10.18+ | Second Amendment to the Offer Letter Agreement and Severance Plan Participation Agreement with Jeffery Dunn | 10-Q | 001-38701 | 10.2 | 11/9/2021 |
| 10.19+ | Offer Letter Agreement, dated April 20, 2021, between the Registrant and Anshul Maheshwari | 8-K | 001-38701 | 10.1 | 4/20/2021 |
| 10.20+ | Amended and Restated Participation Agreement dated April 20, 2021, between the Registrant and Laura Francis | 8-K | 001-38701 | 10.2 | 4/20/2021 |
| 10.21+ | Form of Performance-Based Restricted Stock Unit Agreement | 10-Q | 001-38701 | 10.2 | 11/8/2022 |
| 10.22# | First Amendment to Loan and Security Agreement, dated January 6, 2023 between SI-BONE, Inc. and Silicon Valley Bank | 10-K | 001-38701 | 10.29 | 3/2/2023 |
| 10.23 | Letter Agreement, dated March 24, 2023 between SI-BONE, Inc. and Silicon Valley Bridge Bank | 10-Q | 001-38701 | 10.20 | 5/2/2023 |
| 10.24 | Office Lease Agreement, dated February 2, 2018, between the Registrant and Bixby SPE Finance 11, LLC, as amended on April 16, 2018. | S-1 | 333-227445 | 10.21 | 9/20/2018 |
| 10.25+ | Performance Stock Unit Grants to Executive Officers or Key Executives | 8-K | 001-38701 | Item 5.02 | 1/10/2022 |
| 10.26*# | Second Amendment to Loan and Security Agreement, dated January 25, 2024 between SI-BONE, Inc. and Silicon Valley Bank | ||||
| 10.27*# | Manufacture and Supply Agreement, dated February 23, 2024, between SI-BONE, Inc. and RMS Company | ||||
| 97.1* | 2023 Recoupment (Clawback) Policy | ||||
| 21.1* | List of Subsidiaries of Registrant | ||||
| 23.1* | Consent of PricewaterhouseCoopers, Independent Registered Public Accounting Firm | ||||
| 24.1* | Power of Attorney (contained in the signature page of this report) | ||||
| 31.1* | Certification of Principal Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| 31.2* | Certification of Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| 32.1** | Certification of Principal Executive Officer and Principal Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | ||||
| 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 | ||||
| 101.SCH* | Inline XBRL Taxonomy Extension Schema Document | ||||
| 101.CAL* | Inline XBRL Taxonomy Extension Calculation Linkbase Document | ||||
| 101.DEF* | Inline XBRL Taxonomy Extension Definition Linkbase Document | ||||
| 101.LAB* | Inline XBRL Taxonomy Extension Label Linkbase Document | ||||
| 101.PRE* | Inline XBRL Taxonomy Extension Presentation Linkbase Document |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) |
- Filed herewith.
** Furnished herewith. Exhibit 32.1 is being furnished and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liability of that section, nor shall such exhibit be deemed to be incorporated by reference in any registration statement or other document filed under the Securities Act of 1933, as amended, or the Exchange Act, except as otherwise specifically stated in such filing.
- Indicates a management contract or compensatory plan.
Confidential treatment has been granted with respect to certain portions of this exhibit.
(b) We have filed, or incorporated into this Annual Report on Form 10‑K by reference, the exhibits listed on the Exhibit Index immediately above.
(c) See Item 15(a)2 above.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.