Arteris Inc
For the period ended Dec 31, 2023. Filed Feb 20, 2024.
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FY2023 · Filed Feb 20, 2024
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Item 15. Exhibits, Financial Statement Schedules
The following documents are filed as part of this Annual Report on Form 10-K:
(a) Consolidated Financial Statements
The consolidated financial statements are filed as part of this Annual Report on Form 10-K under “Item 8. Financial Statements and Supplementary Data.”
(b) Financial Statement Schedules
The financial statement schedules are omitted because they are either not applicable or the information required is presented in the financial statements and notes thereto under “Item 8. Financial Statements and Supplementary Data.”
(c) Exhibits
The following documents are filed, furnished, or incorporated by reference as part of this Annual Report on Form 10-K.
| EXHIBIT NO. · DESCRIPTION OF EXHIBIT · Form · Exhibit · Filing Date · FILEDHEREWITH | ||||
|---|---|---|---|---|
| 3.1 | Amended and Restated Certificate of Incorporation of Arteris, Inc. | 8-K | 3.1 | 10-29-2021 |
| 3.2 | Amended and Restated Bylaws of Arteris, Inc. | 8-K | 3.2 | 10-29-2021 |
| 4.1 | Specimen Stock Certificate evidencing the shares of common stock. | S-1/A | 4.1 | 10-18-2021 |
| 10.1 | Investors’ Rights Agreement, dated February 5, 2016, by and among Arteris, Inc. and the investors listed therein. | S-1 | 10.1 | 10-01-2021 |
| 10.2 | Amended and Restated Business Financing Agreement, by and between Arteris, Inc. and Western Alliance Bank dated as of December 16, 2020. | S-1 | 10.2 | 10-01-2021 |
| 10.3† | License Agreement, dated as of October 11, 2013, by and between Arteris, Inc. and Qualcomm Technologies, Inc. | S-1 | 10.3 | 10-01-2021 |
| 10.4† | Asset Purchase Agreement, dated as of October 9, 2013, by and among Qualcomm Technologies, Inc., Qualcomm France SARL, Arteris Holdings, Inc., Arteris, Inc. and Arteris, SAS | S-1 | 10.4 | 10-01-2021 |
| 10.5# | Employment Agreement, by and between Arteris, Inc. and K. Charles Janac. | S-1 | 10.6 | 10-01-2021 |
| 10.6# | Employment Agreement, by and between Arteris IP SAS and Isabelle Geday. | S-1 | 10.1 | 10-01-2021 |
| 10.7# | Arteris, Inc. 2016 Equity Incentive Plan and related form agreements, as amended. | S-8 | 99.1(a) | 11-01-2021 |
| 10.8# | Arteris, Inc. 2016 Equity Incentive Plan for the Grant of Restricted Stock Unit Awards to Employees in France. | S-1 | 10.12 | 10-01-2021 |
| 10.9# | 2021 Incentive Award Plan. | S-8 | 99.2(a) | 11-01-2021 |
| 10.10# | Form of Stock Option Award Agreement under Arteris, Inc. 2021 Incentive Award Plan. | S-1/A | 10.14 | 10-18-2021 |
| 10.11# | Form of Restricted Stock Unit Award Agreement under Arteris, Inc. 2021 Incentive Award Plan | S-1/A | 10.15 | 10-18-2021 |
| 10.12# | 2021 Employee Stock Purchase Plan | S-8 | 99.3 | 11-01-2021 |
| 10.13# | Form of Executive Change in Control Severance Agreement | S-1/A | 10.17 | 10-18-2021 |
| 10.14# | Arteris, Inc. Non-Employee Director Compensation Policy. | S-1/A | 10.18 | 10-18-2021 |
| 10.15# | Form of Indemnification Agreement between Arteris, Inc. and its directors and officers. | S-1/A | 10.19 | 10-18-2021 |
| 10.16# | Amended and Restated Project Assignment 1 to Independent Contractor Services Agreement | 8-K | 10.1 | 12-10-2021 |
| EXHIBIT NO. | DESCRIPTION OF EXHIBIT | Form | Exhibit | Filing Date | FILEDHEREWITH |
|---|---|---|---|---|---|
| 10.17# | Contractor’s Assignment of Independent Contractor Services Agreement as Amended, from Isabelle Geday to Magillem Design Services S.A., effective as of January 10, 2022 | 10-K | 10.21 | 03-07-2022 | |
| 10.18 | Transchip Share Purchase and Shareholders Agreement, dated February 21, 2022 | 10-Q | 10.1 | 05-10-2022 | |
| 10.19 | Transchip Share Purchase and Shareholders Agreement, dated September 15, 2022 | 10-Q | 10.1 | 11-08-2022 | |
| 10.20# | 2022 Employment Inducement Award Plan | 10-Q | 10.2 | 11-08-2022 | |
| 10.21# | Form of Stock Option Grant Notice and Stock Option Agreement under the 2022 Employment Inducement Award Plan | 10-Q | 10.3 | 11-08-2022 | |
| 10.22# | Form of Restricted Stock Unit Award Grant Notice and Restricted Stock Unit Award Agreement under the 2022 Employment Inducement Award Plan | 10-Q | 10.4 | 11-08-2022 | |
| 21.1 | Subsidiaries of Arteris, Inc. | X | |||
| 23.1 | Consent of Deloitte & Touche LLP | X | |||
| 23.2 | Consent of Moss Adams LLP. | X | |||
| 24.1 | Power of Attorney (included on signature page). | X | |||
| 31.1 | Certification of Principal Executive Officer pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | |||
| 31.2 | Certification of Principal Financial Officer pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, 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 | |||
| 97.1 | Policy Relating to Recovery of Erroneously Awarded Compensation | X | |||
| 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. | X | |||
| 101.SCH | XBRL Taxonomy Extension Schema Document. | X | |||
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document. | X | |||
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document. | X | |||
| 101.LAB | XBRL Taxonomy Extension Label Linkbase Document. | X | |||
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document. | X | |||
| 104 | Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibits 101). | X | |||
*The certifications attached as Exhibits 32.1 and 32.2 that accompany this Annual Report on Form 10-K, are deemed furnished and not filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of Arteris, Inc. under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Annual Report on Form 10-K, irrespective of any general incorporation language contained in such filing.
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