Cocrystal Pharma Inc
For the period ended Dec 31, 2023. Filed Mar 28, 2024.
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FY2023 · Filed Mar 28, 2024
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 15. Exhibits, Financial Statement Schedules
| (1) | Financial Statements: See Part II, Item 8 of this report. |
| (2) | Exhibits: See Index to Exhibits below. |
EXHIBIT INDEX
| Exhibit · Incorporated by Reference · Filed or Furnished | |||||
|---|---|---|---|---|---|
| No. | Exhibit Description | Form | Date | Number | Herewith |
| 3.1 | Certificate of Incorporation, as amended | 10-Q | 8/16/21 | 3.1 | |
| 3.1(a) | Certificate of Amendment to the Certificate of Incorporation | 8-K | 10/3/22 | 3.1 | |
| 3.2 | Amended and Restated Bylaws | 8-K | 2/19/21 | 3.1 | |
| 4.1 | Description of Capital Stock | 10-K | 3/27/20 | 4.1 | |
| 10.1 | 2015 Equity Incentive Plan* | DEF 14A | 6/1/15 | Annex A | |
| 10.1(a) | Amendment to 2015 Equity Incentive Plan* | DEF 14A | 4/30/19 | Annex A | |
| 10.1(b) | Amendment to 2015 Equity Incentive Plan* | DEF14A | 4/26/2021 | Annex B | |
| 10.2 | Sam Lee Employment Agreement* | 8-K | 1/8/14 | 10.2 | |
| 10.2(a) | Amendment to Sam Lee Employment Agreement* | 10-K | 3/31/15 | 10.6 | |
| 10.3 | James Martin Consulting Agreement* | 8-K | 2/24/17 | 10.1 | |
| 10.4 | Chief Financial Officer Offer Letter dated May 26, 2017 - James Martin* | 8-K | 6/1/17 | 10.1 | |
| 10.5 | Form of Underwriter’s Warrant | 8-K | 5/2/18 | 4.1 | |
| 10.6 | Exclusive License and Research Collaboration Agreement between the Company and Merck Sharp & Dohme Corp., dated January 2, 2019*** | 10-K | 4/1/19 | 10.12 | |
| 10.12 | License Agreement, dated February 18, 2020, between the Company and Kansas State University Research Foundation**** | 10-Q | 5/13/20 | 10.7 | |
| 10.13 | License Agreement, dated April 19, 2020, between the Company and Kansas State University Research Foundation**** | 10-Q | 8/6/20 | 10.1 | |
| 10.14 | At-The-Market Offering Agreement, dated July 1, 2020, by and between the Company and H.C. Wainwright & Co., LLC | 8-K | 7/2/20 | 1.1 | |
| 10.15 | Underwriting Agreement, dated as of May 4, 2021 by and between Cocrystal Pharma, Inc. and H.C. Wainwright & Co., LLC** | 8-K | 5/5/21 | 1.1 | |
| 10.16 | Consulting and Scientific Advisory Board Agreement, dated April 13, 2021 with Roger Kornberg | 10-Q | 8/16/21 | 10.1 | |
| 10.17 | Securities Purchase Agreement dated April 1, 2023 | 8-K | 4/10/23 | 10.1 | |
| 14.1 | Code of Ethics | Filed | |||
| 19.1 | Insider Trading Policy | Filed | |||
| 21.1 | Subsidiaries | 10-K | 3/27/20 | 21.1 | |
| 23.1 | Consent of Weinberg & Company | Filed | |||
| 31.1 | Certification of Principal Executive Officer (302) | Filed | |||
| 31.2 | Certification of Principal Executive Officer (302) | Filed | |||
| 31.3 | Certification of Principal Financial Officer (302) | Filed | |||
| 32.1 | (906)+ | Furnished | |||
| 97 | Clawback policy | Filed | |||
| 101.INS | Inline XBRL Instance Document | Filed | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | Filed | |||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | Filed | |||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | Filed | |||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | Filed | |||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | Filed | |||
- Represents management contracts or compensatory plan or arrangement.
** Exhibits have been omitted. The Company undertakes to furnish the omitted exhibits to the Commission upon request.
*** Confidential treatment has been granted with respect to certain portions of this exhibit. Omitted portions have been submitted separately to the SEC.
**** Portions of this exhibit have been omitted as permitted by the rules of the SEC. The information excluded is both (i) not material and (ii) would be competitively harmful if publicly disclosed. The Company undertakes to submit a marked copy of this exhibit for review by the SEC staff, to the extent it has not been previously provided, and provide supplemental materials to the SEC staff promptly upon request.
- This exhibit is being furnished rather than filed and shall not be deemed incorporated by reference into any filing, in accordance with Item 601 of Regulation S-K.
Copies of this report (including the financial statements) and any of the exhibits referred to above will be furnished at no cost to our stockholders who make a written request to our Corporate Secretary at Cocrystal Pharma, Inc., 19805 N. Creek Parkway Bothell, WA 98011.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.