(a) The following documents are filed as part of this Annual Report on Form 10-K:
(1) Financial Statements:
| Report of Ernst & Young LLP, Independent Registered Public Accounting Firm | 75 |
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| Balance Sheets | 77 |
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| Statements of Operations and Comprehensive Loss | 78 |
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| Statements of Stockholders’ Equity | 79 |
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| Statements of Cash Flows | 80 |
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| Notes to Financial Statements | 81 |
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(2) Financial Statement Schedules:
All financial statement schedules have been omitted because they are not applicable, not required or the information required is shown in the financial statements or the notes thereto.
(3) Exhibits
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| ExhibitNumber | | Description of Document |
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| 3.1(1) | | Amended and Restated Certificate of Incorporation. |
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| 3.2(2) | | Amended and Restated Bylaws. |
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| 4.1(3) | | Specimen stock certificate evidencing shares of Common Stock. |
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| 4.2(4) | | Description of Certain of Registrant’s Securities. |
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| 10.1+(5) | | GlycoMimetics, Inc. Amended and Restated 2013 Equity Incentive Plan. |
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| 10.2+(6) | | Form of Stock Option Grant Notice and Stock Option Agreement under 2013 Equity Incentive Plan. |
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| 10.3+(7) | | Form of Restricted Stock Unit Grant Notice and Restricted Stock Unit Award Agreement under 2013 Equity Incentive Plan. |
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| 10.4+(8) | | 2013 Employee Stock Purchase Plan. |
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| 10.5+(9) | | GlycoMimetics, Inc. Amended and Restated Inducement Plan. |
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| 10.6+(10) | | Form of Stock Option Grant Notice and Stock Option Agreement under the GlycoMimetics, Inc. Inducement Plan. |
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| 10.7+(11) | | Form of Indemnification Agreement. |
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| 10.8+(12) | | Executive Employment Agreement, dated as of August 3, 2021, by and between the Registrant and Harout Semerjian. |
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| 10.9+(13) | | Amended and Restated Executive Employment Agreement, dated as of July 30, 2019, by and between the Registrant and Brian Hahn. |
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| 10.10+(14) | | Executive Employment Agreement, dated as of February 16, 2022, by and between the Registrant and Bruce Johnson. |
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| 10.11+(15) | | Executive Employment Agreement, dated as of August 31, 2022, by and between the Registrant and Edwin Rock, M.D. |
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| 10.12+(16) | | Executive Employment Agreement, dated as of February 10, 2023, by and between the Registrant and Chinmaya Rath. |
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| 10.13+ | | Amended and Restated Non-Employee Director Compensation Policy, as currently in effect. |
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| ExhibitNumber | | Description of Document |
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| 10.14(17) | | Lease Agreement, dated July 23, 2014, by and between the Registrant and BMR-Medical Center Drive, LLC. |
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| 10.15(18) | | First Amendment to Lease, dated March 24, 2016, by and between the Registrant and BMR-Medical Center Drive LLC. |
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| 10.16 | | Second Amendment to Lease, dated April 20, 2018, by and between the Registrant and BMR-Medical Center Drive LLC. |
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| 10.17(19) | | Third Amendment to Lease, dated April 19, 2023, by and between the Registrant and ARE-Maryland No. 45, LLC. |
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| 10.18*(20) | | Collaboration and License Agreement, dated January 2, 2020, by and between the Registrant and Apollomics (Hong Kong) Limited. |
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| 10.19(21) | | Sales Agreement, dated April 28, 2022 by and between the Registrant and Cowen and Company, LLC. |
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| 10.20** | | Project Agreement dated January 2, 2024 with Patheon Manufacturing Services LLC, part of Thermo Fisher Scientific. |
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| 23.1 | | Consent of Ernst & Young LLP, independent registered public accounting firm. |
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| 24.1 | | Power of Attorney (contained on signature page hereto). |
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| 31.1 | | Certification of Principal Executive Officer pursuant to Rules 13a-14(a) and 15d-14(a) promulgated under the Securities Exchange Act of 1934, as adopted pursuant to section 302 of the Sarbanes-Oxley Act of 2002. |
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| 31.2 | | Certification of Principal Financial Officer pursuant to Rules 13a-14(a) and 15d-14(a) promulgated under the Securities Exchange Act of 1934, as adopted pursuant to section 302 of the Sarbanes-Oxley Act of 2002. |
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| 32.1ᶺ | | Certification of Principal Executive Officer and Principal Financial Officer pursuant to Rules 13a-14(b) and 15d-14(b) promulgated under the Securities Exchange Act of 1934 and 18 U.S.C. Section 1350, as adopted pursuant to section 906 of The Sarbanes-Oxley Act of 2002. |
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| 97.1 | | Incentive Compensation Recoupment Policy, adopted on November 20, 2023. |
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| 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) |
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| 101.SCH | | Inline XBRL Taxonomy Extension Schema Document |
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| 101.CAL | | Inline XBRL Taxonomy Extension Calculation Linkbase Document |
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| 101.DEF | | Inline XBRL Taxonomy Extension Definition Linkbase Document |
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| 101.LAB | | Inline XBRL Taxonomy Extension Label Linkbase Document |
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| 101.PRE | | Inline XBRL Taxonomy Extension Presentation Linkbase Document |
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| 104 | | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) |
| ᶺ | These certifications are being furnished solely to accompany this Annual Report pursuant to 18 U.S.C. Section 1350, and are not being filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and are not to be incorporated by reference into any filing of the registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing. |
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| + | Indicates management contract or compensatory plan. |
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| * | Certain portions of this exhibit (indicated by asterisks) have been omitted because they are not material and would likely cause competitive harm to the registrant if publicly disclosed. |
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| ** | Certain portions of this exhibit (indicated by asterisks) have been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K because they are not material and are of the type that the registrant treats as private or confidential. |
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| (1) | Previously filed as Exhibit 3.1 to the Registrant’s Current Report on Form 8-K (File No. 001-36177), filed with the Commission on January 15, 2014, and incorporated by reference herein. |
| (2) | Previously filed as Exhibit 3.2 to the Registrant’s Current Report on Form 8-K (File No. 001-36177), filed with the Commission on January 15, 2014, and incorporated by reference herein. |
| (3) | Previously filed as Exhibit 4.2 to Amendment No. 2 to the Registrant’s Registration Statement on Form S-1 (File No. 333-191567), filed with the Commission on October 31, 2013, and incorporated by reference herein. |
| (4) | Previously filed as Exhibit 4.2 to the Registrant’s Annual Report on Form 10-K (File No. 001-36177), filed with the Commission on February 28, 2020, and incorporated by reference herein. |
| (5) | Previously filed as Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 001-36177), filed with the Commission on May 20, 2022, and incorporated by reference herein. |
| (6) | Previously filed as Exhibit 10.12 to Amendment No. 1 to the Registrant’s Registration Statement on Form S-1 (File No. 333-191567), filed with the Commission on October 28, 2013, and incorporated by reference herein. |
| (7) | Previously filed as Exhibit 10.13 to Amendment No. 1 to the Registrant’s Registration Statement on Form S-1 (File No. 333-191567), filed with the Commission on October 28, 2013, and incorporated by reference herein. |
| (8) | Previously filed as Exhibit 10.14 to Amendment No. 1 to the Registrant’s Registration Statement on Form S-1 (File No. 333-191567), filed with the Commission on October 28, 2013, and incorporated by reference herein. |
| (9) | Previously filed as Exhibit 10.19 to the Registrant’s Annual Report on Form 10-K (File No. 001-36177), filed with the Commission on March 3, 2022, and incorporated by reference herein. |
| (10) | Previously filed as Exhibit 10.22 to the Registrant’s Annual Report on Form 10-K (File No. 001-36177), filed with the Commission on February 28, 2020, and incorporated by reference herein. |
| (11) | Previously filed as Exhibit 10.15 to Amendment No. 1 to the Registrant’s Registration Statement on Form S-1 (File No. 333-191567), filed with the Commission on October 28, 2013, and incorporated by reference herein. |
| (12) | Previously filed as Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-36177), filed with the Commission on November 2, 2021, and incorporated by reference herein. |
| (13) | Previously filed as Exhibit 10.3 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-36177), filed with the Commission on August 1, 2019, and incorporated by reference herein. |
| (14) | Previously filed as Exhibit 10.4 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-36177), filed with the Commission on May 3, 2023, and incorporated by reference herein. |
| (15) | Previously filed as Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-36177), filed with the Commission on November 9, 2022, and incorporated by reference herein. |
| (16) | Previously filed as Exhibit 10.5 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-36177), filed with the Commission on May 3, 2023, and incorporated by reference herein. |
| (17) | Previously filed as Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 001-36177), filed with the Commission on July 28, 2014, and incorporated by reference herein. |
| (18) | Previously filed as Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 001-36177), filed with the Commission on March 29, 2016, and incorporated by reference herein. |
| (19) | Previously filed as Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 001-36177), filed with the commission on April 21, 2023, and incorporated by reference herein. |
| (20) | Previously filed as Exhibit 10.20 to the Registrant’s Current Report on Form 10-K (File No. 001-36177), filed with the Commission on February 28, 2020, and incorporated by reference herein. |
| (21) | Previously filed as Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-36177), filed with the Commission on April 28, 2022, and incorporated by reference herein. |
