ARDELYX INC
For the period ended Dec 31, 2023. Filed Feb 22, 2024.
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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.
FY2023 · Filed Feb 22, 2024
ARDX$2.88-3.7%Stored close · as of Nov 6, 2026
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Item 16. Form 10-K Summary
None.
Exhibit Index [IN PROCESS]
| ExhibitNumber · Incorporated by Reference · FiledHerewith | ||||
|---|---|---|---|---|
| Exhibit Description · Form · Date · Number | ||||
| 3.1 | Amended and Restated Certificate of Incorporation | 8-K | 6/24/2014 | 3.1 |
| 3.2 | Certificate of Amendment to Amended and Restated Certificate of Incorporation | 8-K | 6/20/2023 | 3.1 |
| 3.3 | Amended and Restated Bylaws | 8-K | 6/24/2014 | 3.2 |
| 4.1 | Reference is made to Exhibits 3.1 and 3.2 | |||
| 4.2 | Form of Common Stock Certificate | S-1/A | 6/18/2014 | 4.2 |
| 4.3 | Description of the Registrant’s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 | 10-K | 3/8/2021 | 10.31 |
| 10.1(a) | Termination Agreement, dated June 2, 2015, by and between AstraZeneca AB and Ardelyx, Inc. | 10-Q | 8/12/2015 | 10.1 |
| 10.1(b) | Amendment No. 1 to Termination Agreement and to Manufacturing and Supply Agreement, dated November 2, 2015 by and between AstraZeneca AB and Ardelyx, Inc. | 10-K | 3/4/2016 | 10.1(d) |
| 10.2(a) | Lease, dated August 8, 2008, by and between 34175 Ardenwood Venture, LLC and Ardelyx, Inc. | S-1 | 5/19/2014 | 10.4(a) |
| 10.2(b) | First Amendment to Lease, dated December 20, 2012, by and between 34175 Ardenwood Venture, LLC and Ardelyx, Inc. | S-1 | 5/19/2014 | 10.4(b) |
| 10.2(c) | Second Amendment to Lease, dated September 5, 2014, by and between Ardelyx, Inc. and 34175 Ardenwood Venture, LLC | 8-K | 9/9/2014 | 10.1 |
| 10.2(d) | Third Amendment to Lease, dated April 28, 2016, by and between Ardelyx, Inc. and 34175 Ardenwood Venture, LLC | 10-Q | 8/8/2016 | 10.3 |
| 10.2(e) | Fourth Amendment to Lease, dated May 25, 2021, by and between Ardelyx, Inc. and 34175 Ardenwood Venture, LLC | 10-K | 3/2/2023 | 10.2(e) |
| 10.2(f) | Fifth Amendment to Lease, dated May 25, 2021, by and between Ardelyx, Inc. and 34175 Ardenwood Venture, LLC | 8-K | 6/1/2021 | 10.1 |
| ExhibitNumber · Incorporated by Reference · FiledHerewith | |||||
|---|---|---|---|---|---|
| Exhibit Description · Form · Date · Number | |||||
| 10.3 | Lease Agreement, dated December 30, 2020, by and between Ardelyx, Inc. and Prospect Fifth Ave, LLC. | 10-K | 3/8/2021 | 10.31 | |
| 10.4(a)# | Ardelyx, Inc. 2008 Stock Incentive Plan, as amended | S-1 | 5/19/2014 | 10.5(a) | |
| 10.4(b)# | Form of Stock Option Grant Notice and Stock Option Agreement under the 2008 Stock Incentive Plan, as amended | S-1 | 5/19/2014 | 10.5(b) | |
| 10.4(c)# | Form of Restricted Stock Purchase Grant Notice and Restricted Stock Purchase Agreement under the 2008 Stock Incentive Plan, as amended | S-1 | 5/19/2014 | 10.5(c) | |
| 10.5(a)# | Ardelyx, Inc. 2014 Equity Incentive Award Plan | S-8 | 7/14/2014 | 99.3 | |
| 10.5(b)# | Form of Stock Option Grant Notice and Stock Option Agreement under the 2014 Equity Incentive Award Plan | S-1/A | 6/9/2014 | 10.6(b) | |
| 10.5(c)# | Form of Restricted Stock Award Agreement and Restricted Stock Unit Award Grant Notice under the 2014 Equity Incentive Award Plan | S-1/A | 6/9/2014 | 10.6(c) | |
| 10.6# | Ardelyx, Inc. 2014 Employee Stock Purchase Plan | S-8 | 7/14/2014 | 99.6 | |
| 10.7(a)# | Ardelyx, Inc. 2016 Employment Commencement Incentive Plan | X | |||
| 10.7(b)# | Form of Stock Option Grant Notice and Stock Option Agreement under the 2016 Employment Commencement Incentive Plan | S-8 | 11/10/2016 | 99.2 | |
| 10.7(c)# | Form of Restricted Stock Unit Award Grant Notice and Restricted Stock Unit Award Agreement under the 2016 Employment Commencement Incentive Plan | S-8 | 11/10/2016 | 99.3 | |
| 10.7(d)# | Form of Restricted Stock Award Grant Notice and Restricted Stock Award Agreement under the 2016 Employment Commencement Incentive Plan | S-8 | 11/10/2016 | 99.4 | |
| 10.8 | Registration Rights Agreement by and among Ardelyx, Inc. and the investors signatory thereto, dated June 2, 2015 | S-3 | 7/13/2015 | 99.1 | |
| 10.9 | Registration Rights Agreement by and among Ardelyx, Inc. and the investors signatory thereto, dated July 14, 2016 | 10-Q | 8/8/2016 | 10.2 | |
| 10.10# | Form of Indemnification Agreement for directors and officers | S-1/A | 6/9/2014 | 10.7 | |
| 10.11# | Amended and Restated Executive Employment Agreement, dated June 6, 2014, by and between Ardelyx, Inc. and Michael Raab | S-1/A | 6/9/2014 | 10.8 | |
| 10.12# | Offer Letter, dated December 28, 2009, by and between Ardelyx, Inc. and David Rosenbaum, Ph.D. | S-1/A | 6/9/2014 | 10.13 | |
| 10.13(a)# | Second Amended and Restated Change in Control and Severance Agreement by and between Ardelyx, Inc. and David P. Rosenbaum, Ph.D. | 10-Q | 5/8/2018 | 10.1 | |
| 10.13(b)# | Amendment Number One to Second Amended and Restated Change in Control Severance Agreement and Retention Agreement dated December 1, 2021 between Ardelyx, Inc. and David Rosenbaum | 10-K | 2/28/2022 | 10.20 | |
| 10.14# | Offer Letter, dated November 21, 2012, by and between Ardelyx, Inc. and Elizabeth Grammer, Esq. | S-1/A | 6/9/2014 | 10.14 | |
| 10.15# | Second Amended and Restated Change in Control and Severance Agreement by and between Ardelyx, Inc. and Elizabeth Grammer. | 10-Q | 5/8/2018 | 10.0 | |
| 10.16# | Offer Letter, dated April 27, 2020, by and between Ardelyx, Inc. and Susan Rodriguez | 10-Q | 8/6/2020 | 10.1 | |
| 10.17# | Change in Control Severance Agreement dated June 2, 2020, by and between Ardelyx, Inc. and Susan Rodriguez | 10-Q | 8/6/2020 | 10.2 | |
| 10.18# | Offer Letter, dated June 2, 2020, by and between Ardelyx, Inc. and Justin Renz | 10-Q | 8/6/2020 | 10.3 | |
| 10.19# | Change in Control Severance Agreement, dated June 8, 2020, by and between Ardelyx, Inc. and Justin Renz | 10-Q | 8/6/2020 | 10.4 | |
| 10.20(a)# | Second Amended and Restated Non-Employee Director Compensation Program | 10-Q | 8/4/2022 | 10.3 | |
| ExhibitNumber · Incorporated by Reference · FiledHerewith | |||||
|---|---|---|---|---|---|
| Exhibit Description · Form · Date · Number | |||||
| 10.20(b)# · Third Amended and Restated Non-Employee Director Compensation Program · X | |||||
| 10.21(a)†† | License Agreement, dated November 27, 2017, by and between Kyowa Hakko Kirin Co., Ltd. and Ardelyx, Inc. | 10-K | 3/14/2018 | 10.35 | |
| 10.21(b) | Amendment Number 1 to License Agreement, dated as of November 27, 2017, by and among Ardelyx, Inc., and Kyowa Kirin Co., Ltd. | 10-K | 3/2/2023 | 10.21(c) | |
| 10.21(c)†† | Amendment Number 2 to License Agreement, dated as of April 11, 2022, by and among Ardelyx, Inc., and Kyowa Kirin Co., Ltd. | 8-K | 4/11/2022 | 10.1 | |
| 10.22†† | License Agreement, dated December 11, 2017, by and between Shanghai Fosun Pharmaceutical Industrial Development Co. Ltd. and Ardelyx, Inc. | 10-K | 3/14/2018 | 10.36 | |
| 10.23†† | Royalty and Sales Milestone Interest Acquisition Agreement dated June 29, 2022, by and between Ardelyx, Inc. and Healthcare Royalty Partners IV, L.P. | 10-Q | 8/4/2022 | 10.1 | |
| 10.24(a) | Loan and Security Agreement dated February 23, 2022, by and between Ardelyx, Inc. and SLR Investment Corp. | 10-Q | 5/5/2022 | 10.1 | |
| 10.24(b) | First Amendment to the Loan and Security Agreement dated August 1, 2022, by and between Ardelyx, Inc. and SLR Investment Corp. | 10-Q | 8/4/2022 | 10.2 | |
| 10.24(c) | Second Amendment to the Loan and Security Agreement dated February 9, 2023, by and between Ardelyx, Inc. and SLR Investment Corp. | 10-K | 3/2/2023 | 10.24(c) | |
| 10.24(d) | Third Amendment to the Loan and Security Agreement dated October 17, 2023, by and between Ardelyx, Inc. and SLR Investment Corp. | 8-K | 10/18/2023 | 10.1 | |
| 10.25 | Exit Fee Agreement dated February 23, 2022, by and between Ardelyx, Inc. and SLR Investment Corp. | 10-Q | 5/5/2022 | 10.2 | |
| 10.26 | Exit Fee Agreement, dated May 16, 2018, by and between the Company and Solar Capital Ltd. and Western Alliance Bank. | 10-Q | 8/7/2018 | 10.2 | |
| 10.27(a)†† | Manufacturing Services Agreement, dated May 18, 2020, between Ardelyx, Inc. and Patheon Pharmaceuticals Inc. | 10-Q | 8/6/2020 | 10.5 | |
| 10.27(b)†† | First Amendment to the Manufacturing Services Agreement dated February 27, 2023, between Ardelyx, Inc. and Patheon Pharmaceuticals Inc. | 10-K | 3/2/2023 | 10.3 | |
| 10.28 | Open Market Sales Agreement, dated August 31, 2021 between Ardelyx, Inc. and Jefferies LLC. | 8-K | 8/13/2021 | 10.1 | |
| 10.29 | Open Market Sales Agreement, dated January 18, 2023 between Ardelyx, Inc. and Jefferies LLC. | S-3 | 1/19/2023 | 1.2 | |
| 23.1 | Consent of Independent Registered Public Accounting Firm | — | X | ||
| 31.1 | Certification of Principal Executive Officer Required Under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended | — | X | ||
| 31.2 | Certification of Principal Financial Officer Required Under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended | — | X | ||
| 32.1 | Certification of Principal Executive Officer and Principal Financial Officer Required Under Rule 13a‑14(b) of the Securities Exchange Act of 1934, as amended, and 18 U.S.C §1350 | — | X | ||
| 97.1 | Policy for Recovery of Erroneously Awarded Compensation | X | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | — | X | ||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | — | X | ||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | — | X | ||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | — | X | ||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | — | X | ||
† Confidential treatment granted as to portions of this Exhibit. The confidential portions of this Exhibit have been omitted and are marked by asterisks.
†† Certain portions of this exhibit have been redacted pursuant to Item 601(b)(10) of Regulation S-K. A copy of the omitted portions will be furnished supplementally to the Securities and Exchange Commission upon request.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.