Cocrystal Pharma, Inc.
For the period ended Dec 31, 2024. Filed Mar 31, 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 31, 2025
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
| (1) | Financial Statements: See Part II, Item 8 of this report. |
| (2) | Exhibits: See Index to Exhibits below. |
EXHIBIT INDEX
| Incorporated by Reference · Filed or Furnished | ||||
|---|---|---|---|---|
| Exhibit No. · Exhibit Description · Form · Date · Number · Herewith | ||||
| 3.1 | Certificate of Incorporation, as amended | 10-Q | 11/13/24 | 3.1 |
| 3.2 | Amended and Restated Bylaws | 8-K | 2/19/21 | 3.1 |
| 4.1 | Description of Capital Stock | 10-K | 3/27/20 | 4.1 |
| 10.1 | 2015 Equity Incentive Plan* | DEF 14A | 6/1/15 | Annex A |
| 10.1(a) | Amendment to 2015 Equity Incentive Plan* | DEF 14A | 4/30/19 | Annex A |
| 10.1(b) | Amendment to 2015 Equity Incentive Plan* | DEF14A | 4/26/2021 | Annex B |
| 10.2 | Sam Lee Employment Agreement* | 8-K | 1/8/14 | 10.2 |
| 10.2(a) | Amendment to Sam Lee Employment Agreement* | 10-K | 3/31/15 | 10.6 |
| 10.3 | James Martin Consulting Agreement* | 8-K | 2/24/17 | 10.1 |
| 10.4 | Chief Financial Officer Offer Letter dated May 26, 2017 - James Martin* | 8-K | 6/1/17 | 10.1 |
| 10.5 | Form of Underwriter’s Warrant | 8-K | 5/2/18 | 4.1 |
| 10.14 | At-The-Market Offering Agreement, dated July 1, 2020, by and between the Company and H.C. Wainwright & Co., LLC | 8-K | 7/2/20 | 1.1 |
| 10.15 | Underwriting Agreement, dated as of May 4, 2021 by and between Cocrystal Pharma, Inc. and H.C. Wainwright & Co., LLC** | 8-K | 5/5/21 | 1.1 |
| 10.16 | Consulting and Scientific Advisory Board Agreement, dated April 13, 2021 with Roger Kornberg | 10-Q | 8/16/21 | 10.1 |
| 10.17 | Securities Purchase Agreement dated April 1, 2023 | 8-K | 4/10/23 | 10.1 |
| 14.1 | Code of Ethics | 10-K | 3/28/24 | 14.1 |
| 19.1 | Insider Trading Policy | 10-K | 3/28/24 | 19.1 |
| Incorporated by Reference · Filed or Furnished | |||||
|---|---|---|---|---|---|
| Exhibit No. | Exhibit Description | Form | Date | Number | Herewith |
| 21.1 | Subsidiaries | 10-K | 3/27/20 | 21.1 | |
| 23.1 | Consent of Weinberg & Company | Filed | |||
| 31.1 | Certification of Principal Executive Officer (302) | Filed | |||
| 31.2 | Certification of Principal Executive Officer (302) | Filed | |||
| 31.3 | Certification of Principal Financial Officer (302) | Filed | |||
| 32.1 | (906)+ | Furnished | |||
| 97 | Clawback policy | 10-K | 3/28/24 | 97 | |
| 101.INS | Inline XBRL Instance Document | Filed | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | Filed | |||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | Filed | |||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | Filed | |||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | Filed | |||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | Filed | |||
- Represents management contracts or compensatory plan or arrangement.
** Exhibits have been omitted. The Company undertakes to furnish the omitted exhibits to the Commission upon request.
- This exhibit is being furnished rather than filed and shall not be deemed incorporated by reference into any filing, in accordance with Item 601 of Regulation S-K.
Copies of this report (including the financial statements) and any of the exhibits referred to above will be furnished at no cost to our stockholders who make a written request to our Corporate Secretary at Cocrystal Pharma, Inc., 19805 N. Creek Parkway Bothell, WA 98011.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.