Coinbase Global Inc
For the period ended Dec 31, 2023. Filed Feb 15, 2024.
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FY2023 · Filed Feb 15, 2024
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Item 15. Exhibit and Financial Statement Schedules
Item 15. Exhibits and Financial Statement Schedules
- Financial Statements
The following financial statements are included in Part II, Item 8 of this Annual Report on Form 10-K:
Reports of Independent Registered Public Accounting Firm
Consolidated Balance Sheets
Consolidated Statements of Operations
Consolidated Statements of Comprehensive Income (Loss)
Consolidated Statements of Changes in Preferred Stock and Stockholders’ Equity
Consolidated Statements of Cash Flows
Notes to the Consolidated Financial Statements
- Financial Statement Schedules
All schedules have been omitted because the required information is included in the consolidated financial statements or the notes thereto, or because it is not required.
- Exhibits
The exhibits listed below are filed as part of this Annual Report on Form 10-K or are incorporated herein by reference, in each case as indicated below.
| Incorporated by Reference · Filed or Furnished Herewith | |||||
|---|---|---|---|---|---|
| Exhibit Number | Description | Form | File No. | Exhibit | Filing Date |
| 3.1 | Restated Certificate of Incorporation | S-8 | 333-254967 | 4.1 | 4/1/2021 |
| 3.2 | Amended and Restated Bylaws | 8-K | 001-40289 | 3.1 | 2/1/2023 |
| 4.1 | Form of the Registrant’s Class A common stock certificate | S-1 | 333-253482 | 4.1 | 2/25/2021 |
| 4.2 | Amended and Restated Investors’ Rights Agreement by and between the Registrant and certain securityholders dated March 15, 2021 | S-1 | 333-253482 | 4.2 | 3/17/2021 |
| 4.3 | Indenture, dated as of May 21, 2021, between Coinbase Global, Inc. and U.S. Bank National Association, as trustee | 8-K | 001-40289 | 4.1 | 5/21/2021 |
| 4.4 | Form of 0.50% Senior Notes due 2026 (included in Exhibit 4.3) | 8-K | 001-40289 | 4.2 | 5/21/2021 |
| 4.5 | Indenture, dated as of September 17, 2021, among Coinbase Global, Inc., Coinbase, Inc. and U.S. Bank National Association, as trustee | 8-K | 001-40289 | 4.1 | 9/17/2021 |
| 4.6 | Form of 3.375% Senior Notes due 2028 (included in Exhibit 4.5) | 8-K | 001-40289 | 4.2 | 9/17/2021 |
| 4.7 | Form of 3.625% Senior Notes due 2031 (included in Exhibit 4.5) | 8-K | 001-40289 | 4.3 | 9/17/2021 |
| 4.8 | Description of Class A common stock registered under Section 12 of the Securities Exchange Act of 1934, as amended | 10-K | 001-40289 | 4.8 | 2/21/2023 |
| 10.1 | Form of Indemnification Agreement by and between the Registrant and each of its directors and executive officers | S-1 | 333-253482 | 10.1 | 2/25/2021 |
| 10.2† | 2013 Amended and Restated Stock Plan and forms of award agreements thereunder | S-1 | 333-253482 | 10.2 | 2/25/2021 |
| 10.3† | 2019 Equity Incentive Plan, as amended, and forms of award agreements thereunder | S-1 | 333-253482 | 10.3 | 2/25/2021 |
| 10.4† | 2021 Equity Incentive Plan and forms of award agreements thereunder | S-1 | 333-253482 | 10.4 | 2/25/2021 |
| 10.5† | 2021 Employee Stock Purchase Plan and forms of enrollment agreements thereunder | S-1 | 333-253482 | 10.5 | 2/25/2021 |
| 10.6† | Form of Immediately Exercisable Stock Option Agreement under the 2021 Equity Incentive Plan | 10-K | 001-40289 | 10.6 | 2/25/2022 |
| Incorporated by Reference · Filed or Furnished Herewith | ||||||
|---|---|---|---|---|---|---|
| Exhibit Number · Description · Form · File No. · Exhibit · Filing Date | ||||||
| 10.7† | Employment Agreement by and between the Registrant and Brian Armstrong, dated February 18, 2021 | S-1 | 333-253482 | 10.6 | 2/25/2021 | |
| 10.8† | Employment Agreement by and between the Registrant and Paul Grewal, dated February 11, 2021 | S-1 | 333-253482 | 10.8 | 2/25/2021 | |
| 10.9† | Employment Agreement by and between the Registrant and Alesia J. Haas, dated March 29, 2021 | 10-K | 001-40289 | 10.10 | 2/25/2022 | |
| 10.10† | Employment Agreement by and between the Registrant and Emilie Choi, dated April 8, 2021 | 10-K | 001-40289 | 10.11 | 2/25/2022 | |
| 10.11† | Employment Agreement by and between the Registrant and Lawrence Brock, dated February 11, 2023 | X | ||||
| 10.12† | Change of Control and Severance Policy | S-1 | 333-253482 | 10.9 | 2/25/2021 | |
| 10.13 | Form of Capped Call Transaction Confirmation | 8-K | 001-40289 | 10.1 | 5/21/2021 | |
| 21.1 | List of Subsidiaries of the Registrant | X | ||||
| 23.1 | Consent of Deloitte & Touche LLP, independent registered public accounting firm | X | ||||
| 24.1 | Power of Attorney (included on the signature page) | X | ||||
| 31.1 | Certification of Principal Executive Officer pursuant to Rules 13a-14(a) and 15d-14(a) under the Exchange Act, 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 Exchange Act, 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 | Compensation Recovery Policy | X | ||||
| Incorporated by Reference | Filed or Furnished Herewith | |||||
| Exhibit Number | Description | Form | File No. | Exhibit | Filing Date | |
| 101.INS | Inline 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 | 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 | ||||
| 104 | Cover Page Interactive Data File - the cover page from the registrant’s Annual Report on Form 10-K for the year ended December 31, 2023 is formatted in Inline XBRL | X | ||||
† Indicates a management or compensatory plan or arrangement in which directors or executive officers are eligible to participate.
The certifications furnished in Exhibits 32.1 and 32.2 hereto are deemed to accompany this Annual Report on Form 10-K and are not deemed “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liability of that section, nor shall they be deemed incorporated by reference into any filing under the Securities Act of the Exchange Act.
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