Salarius Pharmaceuticals Inc
For the period ended Dec 31, 2023. Filed Mar 22, 2024.
View on SEC.govAbout this filing
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.
FY2023 · Filed Mar 22, 2024
DCOY$1.11+0.9%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 15. Exhibits, Financial Statement Schedules
(a)(1) Financial Statements.
The financial statements filed as part of this report are listed on the Index to Consolidated Financial Statements on page 57.
(a)(2) Financial Statement Schedules.
We have omitted these schedules because they are not required, or are not applicable, or the required information is shown in the consolidated financial statements or notes thereto.
(a)(3) Exhibits.
| Form | File No. | Date Filed | |||
| 3.1 | Amended and Restated Certificate of Incorporation of the Registrant | 8-K | 001-36812 Exhibit 3.1 | 02/09/2015 | |
| 3.2 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation of the Registration filed with the Secretary of State | 8-K | 001-36812 Exhibit 3.1 | 07/22/2019 | |
| 3.3 | Certificate of Amendment of Certificate of Incorporation of the Registrant filed with the Secretary of State of Delaware on October 14, 2022 | 8-K | 001-36812 Exhibit 3.1 | 10/14/2022 | |
| 3.4 | Amended and Restated Bylaws of the Registrant, effective July 19, 2019 | 8-K | 001-36812 Exhibit 3.2 | 07/22/2019 | |
| 3.5 | Amendment to Amended and Restated Bylaws of the Registrant, effective April 1, 2022 | 8-K | 001-36813 Exhibit 3.1 | 04/01/2022 | |
| 4.1 | Form of Common Stock Certificate of Registrant | S-1 | 333-201276 Exhibit 4.1 | 12/29/2014 | |
| 4.2 | Form of Common Stock Purchase Warrant | S-1/A | 333-235879 Exhibit 4.8 | 02/06/2020 | |
| 4.3 | Common Stock Purchase Warrant dated February 11, 2020 | 8-K | 001-36812 Exhibit 4.1 | 02/12/2020 | |
| 4.4 | Form of Inducement Warrant dated December 11, 2020 | 8-K/A | 001-36812 Exhibit 4.1 | 12/11/2020 | |
| 4.5 | Form of 2021 Flex Warrants | 8-K | 001-36812 Exhibit 4.1 | 07/01/2021 | |
| 4.6 | Form of Common Stock Purchase Warrant | 8-K | 001-36812 Exhibit 4.1 | 05/16/2023 | |
| 4.7 | Form of Pre-Funded Warrants | 8-K | 001-36812 Exhibit 4.2 | 05/16/2023 | |
| 4.8 | Form of Placement Agent Warrants | 8-K | 001-36812 Exhibit 4.3 | 05/16/2023 | |
| 4.9 | Form of Common Stock Purchase Warrant dated April 26, 2022 | 8-K | 001-36812 Exhibit 4.1 | 04/22/2022 | |
| 4.10 | Description of Registrant's Securities | 10-K | 001-36812 Exhibit 4.11 | 03/18/2021 |
| 10.1+ | Form of Indemnification Agreement between the Registrant and its directors and officers | 8-K | 001-36812 Exhibit 10.1 | 07/22/2019 |
| 10.2+ | Indemnification Agreement, dated February 20, 2024, by and between Salarius Pharmaceuticals, Inc. and David J. Arthur | 8-K | 001-36812 Exhibit 10.4 | 02/23/2024 |
| 10.3* | Exclusive License Agreement, dated August 3, 2011, between the University of Utah Research Foundation and Salarius Pharmaceuticals, LLC | S-4 | 333-229666 Exhibit 10.1 | 02/14/2019 |
| 10.4* | Cancer Research Grant Contract, dated June 1, 2016, between the Cancer Prevention and Research Institute of Texas and Salarius Pharmaceuticals, LLC | S-4 | 333-229666 Exhibit 10.3 | 02/14/2019 |
| 10.5+ | Amended and Restated Executive Employment Agreement, dated February 5, 2019, between David J. Arthur and Salarius Pharmaceuticals, LLC | S-4 | 333-229666 Exhibit 10.5 | 02/14/2019 |
| 10.6+ | Amendment to Amended and Restated Executive Employment Agreement dated September 10, 2019, among David J. Arthur, the Registrant and Salarius Pharmaceuticals, LLC | 8-K | 001-36812 Exhibit 10.5 | 09/16/2019 |
| 10.7+ | Employment Agreement between Mark J. Rosenblum and Salarius Pharmaceutical, Inc., dated April 24, 2020 | 8-K | 001-36812 Exhibit 10.1 | 4/29/2020 |
| 10.8+ | Amendment to Executive Employment Agreement, dated February 20, 2024, by and between Salarius Pharmaceuticals, Inc. and Mark J. Rosenblum | 8-K | 001-36812 Exhibit 10.5 | 02/23/2024 |
| 10.9+ | Separation and Release Agreement, dated February 20, 2024, by and between Salarius Pharmaceuticals, Inc. and David J. Arthur | 8-K | 001-36812 Exhibit 10.1 | 02/23/2024 |
| 10.10+ | Consulting Agreement, dated February 20, 2024, by and between Salarius Pharmaceuticals, Inc. and David J. Arthur | 8-K | 001-36812 Exhibit 10.2 | 02/23/2024 |
| 10.11+ | Forms of Stock Option Agreement, Notice of Exercise and Stock Option Grant Notice under the Flex Pharma, Inc. 2015 Equity Plan | 10-K | 001-36812 Exhibit 10.4 | 03/24/2015 |
| 10.12+ | Notice of Stock Option Amendment, dated February 20, 2024, by and between Salarius Pharmaceuticals, Inc. and David J. Arthur. | 8-K | 001-36812 Exhibit 10.3 | 02/23/2024 |
| 10.13+ | Amended and Restated Salarius Pharmaceuticals, Inc. 2015 Employee Stock Purchase Plan | 8-K | 001-36812 Exhibit 10.1 | 06/15/2023 |
| 10.14 | At the Market Offering Agreement, dated February 5, 2021, between Salarius Pharmaceuticals, Inc. and Ladenburg Thalmann & Co. Inc. | 8-K | 001-36812 Exhibit 1.1 | 02/05/2021 |
| 10.15 | Securities Purchase Agreement, dated April 22, 2022 | 8-K | 001-36812 Exhibit 10.1 | 04/22/2022 |
| 10.16 | Form of Securities Purchase Agreement | 8-K | 001-36812 Exhibit 10.1 | 05/16/2023 |
| 10.17 | Form of Registration Rights Agreement | 8-K | 001-36812 Exhibit 10.2 | 05/16/2023 |
| 21.1 | Subsidiaries of the Registrant | S-1 | 333-235879 Exhibit 21 | 01/10/2020 | |
| 23.1 | Consent of Ernst & Young LLP | X | |||
| 24.1 | Power of attorney (included on Signature Page) | X | |||
| 31.1 | Certification of Principal Executive Officer Pursuant to Securities Exchange Act Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2022 | X | |||
| 31.2 | Certification of Principal Financial and Accounting Officer Pursuant to Securities Exchange Act Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||
| 32.1 | Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | X | |||
| 32.2 | Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | X | |||
| 97 | Salarius Pharmaceuticals, Inc., Clawback Policy | X | |||
| 101.INS | XBRL Instance Document | X | |||
| 101.SCH | XBRL Schema Document | X | |||
| 101.CAL | XBRL Calculation Linkbase Document | X | |||
| 101.DEF | XBRL Definition Linkbase Document | X | |||
| 101.LAB | XBRL Label Linkbase Document | X | |||
| 101.PRE | XBRL Presentation Linkbase Document | X | |||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) | ||||
| * | Portions of this exhibit have been omitted and provided separately to the SEC pursuant to a request for confidential treatment. | ||||
| + | Management contract or compensatory plans or arrangements. | ||||
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.