Lipocine Inc
For the period ended Dec 31, 2024. Filed Mar 13, 2025.
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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.
FY2024 · Filed Mar 13, 2025
LPCN$1.59-7.6%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
| ITEM 15. | EXHIBITS AND FINANCIAL STATEMENT SCHEDULES |
(a) The following documents are filed as part of this Annual Report on Form 10-K.
1.Financial Statements. The financial statements listed on the accompanying Index to Consolidated Financial Statements are filed as part of this Annual Report.
2.Financial statement schedules. There are no financial statements schedules included because they are either not applicable or the required information is shown in the consolidated financial statements or the notes thereto.
3.Exhibits. The following exhibits are filed or incorporated by reference as part of this Annual Report.
INDEX TO EXHIBITS
| Exhibit · Incorporation By Reference | |||||
|---|---|---|---|---|---|
| Number | Exhibit Description | Form | SEC File No. | Exhibit | Filing Date |
| 2.1 | Agreement and Plan of Merger and Reorganization, dated July 24, 2013, by and among Marathon Bar Corp., Lipocine Operating Inc., and MBAR Acquisition Corp. | 8-K | 333-178230 | 2.1 | 7/25/2013 |
| 3.1 | Amended and Restated Certificate of Incorporation | 8-K | 333-178230 | 3.2 | 7/25/2013 |
| 3.2 | Amended and Restated Bylaws | 8-K | 333-178230 | 3.3 | 7/25/2013 |
| 3.3 | Certificate of Designation of Series A Junior Participating Preferred Stock. | 8-K | 001-36357 | 3.1 | 12/1/2015 |
| 3.4 | Certificate of Increase of Series A Junior Participating Preferred Stock | 8-K | 001-36357 | 3.1 | 11/1/2021 |
| 3.5 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Lipocine Inc. | 8-K | 001-36357 | 3.4 | 6/28/2022 |
| 3.6 | Certificate of Designation of Series B Preferred Stock | 8-K | 001-36357 | 3.2 | 3/10/2023 |
| 3.7 | Amendment to the Amended and Restated Bylaws of Lipocine Inc. | 8-K | 001-36357 | 3.1 | 3/10/2023 |
| 3.8 | Certificate of Amendment to the Amended and Restated Certificated of Incorporation of Lipocine Inc. | 8-K | 001-36357 | 3.2 | 5/11/2023 |
| 3.9 | Certificate of Amendment to Certificate of Designation of Series A Junior Participating Preferred Stock. | 8-K | 001-36357 | 3.1 | 10/22/2024 |
| 4.1 | Form of Common Stock certificate | 8-K | 333-178230 | 4.1 | 7/25/2013 |
| 4.2 | Second Amended and Restated Stockholder Rights Agreement dated as of November 1, 2021 by and between the Company and American Stock Transfer & Trust Company, LLC | 8-K | 001-36357 | 4.1 | 11/1/2021 |
| 4.3 | Form of Pre-Funded Warrant | 8-K | 001-36357 | 4.1 | 11/14/2019 |
| Exhibit · Incorporation By Reference | |||||
|---|---|---|---|---|---|
| Number | Exhibit Description | Form | SEC File No. | Exhibit | Filing Date |
| 4.4 | Form of Common Warrant | 8-K | 001-36357 | 4.2 | 11/14/2019 |
| 4.5 | Form of Common Warrant | 8-K | 001-36357 | 4.1 | 2/26/2020 |
| 4.6 | Description of Registered Securities | 10-K | 001-36357 | 4.6 | 3/9/2022 |
| 4.7 | Third Amended & Restated Rights Agreement, dated October 22, 2024. | 8-K | 001-36357 | 4.1 | 10/22/2024 |
| 10.1** | Lipocine Inc. Amended and Restated 2011 Equity Incentive Plan | 8-K | 333-178230 | 10.1 | 7/25/2013 |
| 10.2** | Form of Stock Option Agreement and Option Grant Notice under the 2011 Equity Incentive Plan | 8-K | 333-178230 | 10.2 | 7/25/2013 |
| 10.3** | Form of Restricted Stock Award Agreement and Notice under the 2011 Equity Incentive Plan | 8-K | 333-178230 | 10.3 | 7/25/2013 |
| 10.4** | Form of Restricted Stock Unit Agreement and Notice under the 2011 Equity Incentive Plan | 10-K | 001-36357 | 10.4 | 3/31/2014 |
| 10.6 | Second Lease Extension and Modification Agreement, dated June 21, 2011, by and between Lipocine Inc. and Paradigm Resources, L.C. | 8-K | 333-178230 | 10.5 | 7/25/2013 |
| 10.7** | Form of Indemnification Agreement by and between Lipocine Inc. and each of its directors and officers | 8-K | 333-178230 | 10.6 | 7/25/2013 |
| 10.8 | Registration Rights Agreement, dated May 25, 2004, by and between Lipocine Operating Inc. and Schwarz Pharma Limited (now UCB Manufacturing Ireland Ltd.) | 8-K | 333-178230 | 10.8 | 7/25/2013 |
| 10.9 | Registration Rights Agreement, dated April 20, 2001, by and among Lipocine Operating Inc., Elan International Services, Ltd., and Elan Pharma International Limited | 8-K | 333-178230 | 10.9 | 7/25/2013 |
| 10.10 | Form of Securities Purchase Agreement, dated July 26, 2013 | 8-K | 333-178230 | 10.10 | 7/31/2013 |
| 10.11 | Form of Registration Rights Agreement, dated July 26, 2013 | 8-K | 333-178230 | 10.11 | 7/31/2013 |
| 10.12+ | Manufacturing Agreement, dated August 27, 2013, by and between Lipocine Inc. and Encap Drug Delivery. | 8-K | 333-178230 | 10.12 | 9/5/2013 |
| 10.13** | Executive Employment Agreement, dated January 7, 2014, by and between Lipocine Inc. and Dr. Mahesh V. Patel | 8-K | 000-55092 | 10.1 | 1/7/2014 |
| 10.15 | Commercial Manufacturing Services and Supply Agreement, dated March 3, 2016, by and between Lipocine Inc. and M.W. Encap Ltd. | 10-Q | 001-36357 | 10.1 | 5/9/2016 |
| 10.16 | Controlled Equity OfferingSM Sales Agreement, dated March 6, 2017, by and between Lipocine Inc. and Cantor Fitzgerald & Co. | 10-K | 001-36357 | 10.22 | 3/6/2017 |
| 10.17** | Vice President Employment Agreement, dated November 5, 2018, by and between Lipocine Inc. and Nachiappan Chidambaram. | 10-Q | 001-36357 | 10.1 | 11/7/18 |
| 10.18 | Loan and Security Agreement dated January 5, 2018 | 8-K | 001-36357 | 10.1 | 1/9/2018 |
| 10.20 | Securities Purchase Agreement, dated as of November 14, 2019, by and between Lipocine, Inc. and the purchasers identified on the signature pages thereto | 8-K | 001-36357 | 10.2 | 11/14/2019 |
| 10.21 | Securities Purchase Agreement, dated as of February 25, 2020, by and between Lipocine, Inc. and the purchasers identified on the signature pages thereto | 8-K | 001-36357 | 10.2 | 2/26/2020 |
| Exhibit · Incorporation By Reference | |||||
|---|---|---|---|---|---|
| Number | Exhibit Description | Form | SEC File No. | Exhibit | Filing Date |
| 10.22 | Fourth Amended and Restated Lipocine Inc. 2014 Stock and Incentive Plan | S-8 | 333-240197 | 99.1 | 07/30/2020 |
| 10.23 | First Amendment to Loan and Security Agreement, dated February 16, 2021, made by and among Lipocine Inc., Lipocine Operating Inc. and Silicon Valley Bank | 8-K | 001-36357 | 10.1 | 2/18/2021 |
| 10.24*** | License Agreement dated October 14, 2021, by and between Lipocine, Inc. and Antares Pharma, Inc. | 10-Q | 001-36357 | 10.1 | 11/10/2021 |
| 10.25*** | Amendment No. 1 to Commercial Manufacturing Services and Supply Agreement between Lipocine, Inc. and MW Encap Ltd. Dated October 13, 2021 | 10-Q | 001-36357 | 10.2 | 11/10/2021 |
| 10.26** | Principal Accounting Officer Employment Agreement, dated March 7, 2022, by and between Lipocine Inc. and Krista Fogarty. | 8-K/A | 001-36357 | 10.1 | 3/7/2022 |
| 10.27 | First Amendment to License Agreement, dated October 14, 2021, made by and among Lipocine Inc., and Antares Pharma, Inc. | 10-Q | 001-36357 | 10.1 | 5/9/2022 |
| 10.28*, *** | License Agreement dated January 12, 2024 by and among Lipocine, Inc., Gordon Silver Limited, and Verity Pharmaceuticals | 10-K | 001-36357 | 10.28 | 3/7/2024 |
| 10.29 | Lipocine Inc. Fifth Amended and Restated 2014 Stock and Incentive Plan | 8-K | 001-36357 | 10.1 | 6/3/2024 |
| 19* | Lipocine Inc. Insider Trading Policy | ||||
| 21.1* | Subsidiaries | ||||
| 23.1* | Consent of Tanner LLC | ||||
| 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 pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, 18 U.S.C. 1350. | ||||
| 32.2**** | Certification of Principal Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, 18 U.S.C. 1350. | ||||
| 97 | Lipocine Inc. Clawback Policy | 10-K | 001-36357 | 97 | 03/07/24 |
| Exhibit | Incorporation By Reference | ||||
|---|---|---|---|---|---|
| Number | Exhibit Description | Form | SEC File No. | Exhibit | Filing Date |
| 101.INS* | 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 Labels 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. |
| ** | Management contract or compensation plan or arrangement. |
- Confidential treatment has been granted with respect to certain portions of this exhibit. Omitted portions have been submitted separately with the Securities and Exchange Commission.
| *** | Certain portions of this exhibit have been omitted pursuant to Item 601(b)(10) of Regulation S-K. The Registrant hereby undertakes to furnish to the SEC, upon request, copies of any such instruments. |
|---|---|
| **** | Furnished herewith. |
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