FENNEC PHARMACEUTICALS INC
For the period ended Dec 31, 2023. Filed Mar 29, 2024.
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FY2023 · Filed Mar 29, 2024
FENC$10.58-2.3%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
| 1. | Financial Statements – See Index to Financial Statements on page F-1. |
| 2. | All schedules are omitted as the information required is inapplicable or the information is presented in the financial statements. |
| 3. | Exhibits: |
| ExhibitNo. | Description | Location | ||
| 3.1 | Notice of Articles dated August 25, 2011 | Exhibit 3.2I to the Form 8-K of the Company filed August 26, 2011 | ||
| 3.2 | Articles dated August 25, 2011 | Exhibit 3.2II to the Form 8-K of the Company filed August 26, 2011 | ||
| 3.3 | Notice of Alteration Dated September 3, 2014 | Exhibit 3.1 to the Form 8-K of the Company filed September 9, 2014 | ||
| 4.1 | | Fennec Pharmaceuticlas, Inc. Description of the Registrant’s Securities | | Filed herewith |
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| 10.1 | Fennec Amended and Restated Stock Option Plan* | Exhibit 10.1 to the Form 8-K of the Company filed September 29, 2017 | ||
| 10.2 | Executive Employment Agreement dated May 3, 2010 by and between Fennec and Rostislav Raykov* | Exhibit 10.28 to the Form 10-Q of the Company filed May 14, 2010 | ||
| 10.3 | Form of Independent Director Agreement, dated May 3, 2010 | Exhibit 10.31 to the Form 10-Q of the Company filed May 14, 2010 | ||
| 10.4 | Executive Employment Agreement dated November 12, 2015 by and between Fennec and Robert Andrade* | Exhibit 10.40 to the Form 10-Q of the Company filed November 12, 2015 | ||
| 10.5 | Purchase Agreement, dated May 9, 2016, between Fennec Pharmaceuticals Inc. and Elion Oncology, LLC. | Exhibit 10.42 to the Form 10-Q of the Company filed May 12, 2016 | ||
| 10.6 | Loan and Security Agreement dated as of February 1, 2019 by and between Fennec Pharmaceuticals, Inc. and Western Alliance Bank | Exhibit 10.1 to the Form 8-K of the Company filed February 4, 2019 | ||
| 10.7 | First Amendment to Loan and Security Agreement dated as of June 25, 2020 by and between Fennec Pharmaceuticals, Inc. and Western Alliance Bank | Exhibit 10.1 to the Form 8-K of the Company filed June 26, 2020 | ||
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| 10.8 | | Second Amendment to Loan and Security Agreement dated as of June 24, 2021 by and between Fennec Pharmaceuticals, Inc and Western Alliance Bank | | Exhibit 10.1 to the form 8-K of the Company filed June 24, 2021 |
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| 10.9 | | Third Amendment to Loan and Security Agreement dated as of January 27, 2022 by and between Fennec Pharmaceuticals, Inc and Western Alliance Bank | | Exhibit 10.1 to the form 8-K of the Company filed January 31, ` |
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| ExhibitNo. | Description | Location | ||
| 10.10 | At The Market Offering Agreement, dated October 30, 2020, between Fennec Pharmaceuticals Inc. and H.C. Wainwright & Co., LLC | Exhibit 1.1 to the Form 8-K of the Company filed October 30, 2020 | ||
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| 10.11 | | Executive Employment Agreement of Shubh Goel | | Exhibit 10.1 to the form 8-K of the Company filed September 9, 2019 |
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| 10.12 | | First Closing of Financing Transaction, dated August 22, 2022, by and between Fennec Pharmaceuticals Inc. and Petrichor Opportunities Fund I LP | | Exhibit 4.1 to the form 8-K of the Company filed August 22, 2022 |
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| 10.13 | | Second Closing of Financing Transaction, dated September 23, 2022, by and between Fennec Pharmaceuticals Inc. and Petrichor Opportunities Fund I LP | | Exhibit 4.1 to the form 8-K of the Company filed September 26, 2022 |
| 10.14 | | Share Registration Agreement, dated as of December 1, 2022, between Fennec Pharmaceuticals, Inc. and Petrichor Opportunities Fund I LP | | Exhibit 4.5 to the Form S-3 of the Company filed December 1, 2022 |
| 10.15 | | First Amendment to Securities Purchase Agreement and Third Closing of Financing Transaction, dated as of December 4, 2023, between Fennec Pharmaceuticals, Inc. and Petrichor Opportunities Fund I LP | | Exhibit 4.6 to the form 8-K of the Company filed December 6, 2023. |
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| 10.16 | | Fennec Pharmaceuticals, Inc. Insider Trading Policy, dated July 11, 2009. | | Filed herewith |
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| 16.1 | Letter Regarding Change in Certifying Accountant | Exhibit 16.1 to the Form 8-K of the Company filed May 17, 2017 | ||
| 21 | Subsidiaries | Exhibit 21 to the 10-K of the Company filed February 14, 2020 | ||
| 23.1 | Consent of Haskell & White LLP, Independent Registered Public Accounting Firm | Filed herewith | ||
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| 31.1 | | Certification of Chief Executive Officer of the Company in accordance with Section 302 of the Sarbanes-Oxley Act of 2002 | | Filed herewith |
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| 31.2 | | Certification of Chief Financial Officer of the Company in accordance with Section 302 of the Sarbanes-Oxley Act of 2002 | | Filed herewith |
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| 32.1 | | Certification of Chief Executive Officer and Chief Financial Officer of the Company in accordance with Section 906 of the Sarbanes-Oxley Act of 2002 | | Filed herewith |
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| 97 | | Fennec Pharmaceuticals, Inc. Incentive Compensation Recovery Policy | | Filed herewith |
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| 99.1 | | Press Release for Fiscal Year Ended December 31, 2022 | | Filed herewith |
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| 101.1 | | Interactive Data File | | Filed herewith |
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| ExhibitNo. | Description | Location | ||
| 104 | | Cover Page Interactive Data File – The cover page interactive data file does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document | | Filed herewith |
| * | Indicates a management contract or compensatory plan. |
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