Xenetic Biosciences Inc
For the period ended Dec 31, 2023. Filed Mar 21, 2024.
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FY2023 · Filed Mar 21, 2024
XBIO$1.80-3.9%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 16. Form 10-K Summary
EXHIBIT INDEX
| Exhibit No. | Exhibit Index | Form | Filing Date | Exhibit Number | Filed Herewith |
|---|---|---|---|---|---|
| 3.1 | Articles of Incorporation | S-1 | 11/21/2011 | 3.1 | |
| 3.2 | Certificate of Amendment to Articles of Incorporation | 8-K | 02/12/2013 | 3.1 | |
| 3.3 | Certificate of Amendment to Articles of Incorporation | 8-K | 02/27/2013 | 3.1 | |
| 3.4 | Certificate of Amendment to Articles of Incorporation | 10-Q | 01/10/2014 | 3.1 | |
| 3.5 | Certificate of Change Pursuant to NRS 78.209 | 10-Q | 01/10/2014 | 3.2 | |
| 3.6 | Certificate of Amendment to Articles of Incorporation | 8-K | 09/30/2015 | 3.1 | |
| 3.7 | Amended and Restated Bylaws | 8-K | 02/27/2017 | 3.1 | |
| 3.8 | Form of Amended and Restated Certificate of Designation of Preferences, Rights and Limitations of Series A Preferred Stock | S-1/A | 10/27/2016 | 3.8 | |
| 3.9 | Second Amended and Restated Certificate of Designation of Preferences, Rights and Limitations of Series B Preferred Stock | S-1/A | 10/31/2016 | 3.9 | |
| 3.10 | Certificate of Change Pursuant to NRS 78.209 | 8-K | 06/24/2019 | 3.1 | |
| 3.11 | Certificate of Amendment to Articles of Incorporation | 8-K | 06/24/2019 | 3.2 | |
| 3.12 | Certificate of Amendment to Articles of Incorporation | 10-K | 03/16/2021 | 3.12 | |
| 3.13 | Certificate of Amendment to Articles of Incorporation | 10-K | 03/16/2021 | 3.13 | |
| 3.14 | Certificate of Amendment to Articles of Incorporation | 10-K | 03/22/2023 | 3.14 | |
| 3.15 | Certificate of Change to Articles of Incorporation | 8-K | 05/12/2023 | 3.1 | |
| 4.1 | Description of Registrant’s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 | X | |||
| 4.2 | Form of Common Stock Certificate of the Registrant | S-1/A | 07/14/2016 | 4.1 | |
| 4.3 | Form of Common Stock Purchase Warrant | 8-K | 06/25/2019 | 4.1 | |
| 4.4 | Form of Common Stock Purchase Warrant | 8-K | 07/22/2019 | 4.2 | |
| 4.5 | Form of Series A Warrant | 8-K | 07/28/2021 | 4.1 | |
| Exhibit No. · Exhibit Index · Form · Filing Date · Exhibit Number · Filed Herewith | ||||
|---|---|---|---|---|
| 10.1† | Form of Amended and Restated Xenetic Biosciences, Inc. Equity Incentive Plan, as amended, effective as of December 7, 2021 | DEF14A | 10/15/2021 | Appendix A |
| 10.2# | Agreement on Co-Development and the Terms of Exclusive License dated August 4, 2011 between Lipoxen plc, Lipoxen Technologies LTD and SynBio LLC | 10-K/A | 02/18/2015 | 10.18 |
| 10.3 | Novation of Agreement on Co-Development and the Terms of Exclusive License, dated December 17, 2021, between Xenetic Biosciences (UK) Limited (formerly Lipoxen plc), Lipoxen Technologies Limited, SynBio LLC and Public Joint-Stock Company Pharmsynthez | 10-K | 03/22/2022 | 10.3 |
| 10.4## | Exclusive License Agreement, dated December 20, 2021, between Lipoxen Technologies Limited and Public Joint-Stock Company Pharmsynthez | 10-K | 03/22/2022 | 10.4 |
| 10.5# | Subscription Agreement in respect of ordinary shares in the capital of Lipoxen plc dated August 4, 2011 between SynBio LLC and Lipoxen plc | 10-K/A | 02/18/2015 | 10.19 |
| 10.6# | Collaboration, License and Development Agreement, dated November 11, 2009, between Pharmsynthez ZAO and Lipoxen Technologies Ltd. | 10-K/A | 02/18/2015 | 10.20 |
| 10.7# | Exclusive Patent and Know How License and Manufacturing Agreement, dated August 4, 2011, between Lipoxen plc, Lipoxen Technologies Ltd and Serum Institute of India Limited | 10-K/A | 02/18/2015 | 10.21 |
| 10.8 | Intellectual Property Assignment between Dmitry Genkin, FDS Pharma, Lipoxen Technologies Limited and Xenetic Biosciences Inc. | 10-K | 04/15/2015 | 10.1 |
| 10.9† | Employment Agreement, dated January 1, 2017 between Xenetic Biosciences, Inc. and Curtis Lockshin | 8-K | 01/04/2017 | 10.1 |
| 10.10† | Employment Agreement, dated March 23, 2017 between Xenetic Biosciences, Inc. and James F. Parslow | 8-K | 04/04/2017 | 10.1 |
| 10.11† | Form of Indemnity Agreement by and between Xenetic Biosciences, Inc. and each of its directors and executive officers | 10-Q | 08/14/2017 | 10.1 |
| 10.12† | Amended and Restated Employment Agreement, dated October 26, 2017, between Xenetic Biosciences, Inc. and Jeffrey Eisenberg | 10-K | 03/30/2018 | 10.45 |
| 10.13# | Right to Sublicense Agreement, dated October 27, 2017, by and among Xenetic Biosciences, Inc., Baxalta Incorporated, Baxalta US Inc., and Baxalta GmbH | 10-K | 03/30/2018 | 10.46 |
| 10.14 | Assignment Agreement between Xenetic Biosciences, Inc. and OPKO Pharmaceuticals, LLC, dated March 1, 2019 | 8-K/A | 05/20/2019 | 10.1 |
| 10.15 | First Amendment to Assignment Agreement dated June 7, 2019 | 8-K | 06/13/2019 | 10.1 |
| 10.16 | Second Amendment to Assignment Agreement dated June 24, 2019 | 8-K | 06/24/2019 | 10.1 |
| 10.17 | Third Amendment to Assignment Agreement dated July 15, 2019 | 8-K | 07/16/2019 | 10.1 |
| 10.18 | Form of Consent Agreement by and among Xenetic Biosciences, Inc. and certain purchasers dated June 24, 2019 | 8-K | 06/25/2019 | 10.1 |
| 10.19 | Warrant Agency Agreement, between Xenetic Biosciences, Inc. and Empire Stock Transfer, Inc. dated July 19, 2019 | 8-K | 07/22/2019 | 10.1 |
| 10.20 | Consent Agreement by and among Xenetic Biosciences, Inc. and certain purchasers dated July 16, 2019 | 8-K | 07/16/2019 | 10.1 |
| 10.21† | Form of Letter Agreement re. Appointment of Non – Employee, Independent Director of Xenetic Biosciences, Inc. | 10-K | 03/26/2020 | 10.51 |
| 10.22† | Form of Xenetic Biosciences, Inc. Stock Option Grant Notice | 10-K | 03/26/2020 | 10.52 |
| 10.23† | Xenetic Biosciences, Inc. Stock Option Grant Notice, dated December 4, 2019, between Jeffrey Eisenberg and Xenetic Biosciences, Inc. | 10-K | 03/26/2020 | 10.53 |
| Exhibit No. | Exhibit Index | Form | Filing Date | Exhibit Number | Filed Herewith |
|---|---|---|---|---|---|
| 10.24 | Form of Securities Purchase Agreement, dated July 26, 2021, by and among the Company and the other parties thereto | 8-K | 7/28/2021 | 10.1 | |
| 10.25 | At The Market Offering Agreement by and between Xenetic Biosciences, Inc. and H.C. Wainwright & Co., LLC, dated November 19, 2021 | 8-K | 11/19/2021 | 1.1 | |
| 10.26## | Exclusive Sublicense Agreement, dated April 26, 2022, between Xenetic Biosciences, Inc. and CLS Therapeutics LTD | 10-Q | 8/11/2022 | 10.1 | |
| 10.27## | Exclusive License Agreement, dated April 26, 2022, between Xenetic Biosciences, Inc. and CLS Therapeutics LTD | 10-Q | 8/11/2022 | 10.2 | |
| 10.28 | Form of Subscription Agreement, dated April 26, 2022, between Xenetic Biosciences, Inc. and CLS Therapeutics LTD | 10-Q | 8/11/2022 | 10.3 | |
| 10.29## | Statement of Work, dated June 30, 2022, between Xenetic Biosciences, Inc. and Catalent Pharma Solutions, LLC | 10-Q | 8/11/2022 | 10.4 | |
| 10.30## | Research Funding and Option Agreement, dated March 17, 2023, between the Company and the Scripps Research Institute | 10-Q | 5/11/2023 | 10.1 | |
| 21.1 | List of Subsidiaries | X | |||
| 23.1 | Consent of Marcum LLP | X | |||
| 24.1 | Power of Attorney (included on signature page) | X | |||
| 31.1 | Certification of Principal Executive Officer, as required by Rule 13a-14(a) or Rule 15d-14(a) | X | |||
| 31.2 | Certification of Principal Financial Officer, as required by Rule 13a-14(a) or Rule 15d-14(a) | X | |||
| 32.1* | Certification of Principal Executive Officer and Principal Financial Officer, as required by Rule 13a-14(b) or Rule 15d-14(b) and Section 1350 of Chapter 36 of Title 18 of the United States Code (18 U.S.C. §1350) | X | |||
| 97.1 | Policy Regarding the Mandatory Recovery of Compensation | X | |||
| 101.INS | Inline XBRL Instance 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 XRBL Taxonomy Extension Presentation Linkbase Document. | X | |||
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) | X | |||
| † # ## | Indicates a management contract or any compensatory plan, contract or arrangement. Application has been made with the Securities and Exchange Commission to seek confidential treatment of certain confidential material contained in this document. Omitted material for which confidential treatment has been requested has been filed separately with the Securities and Exchange Commission. Portions of this exhibit, marked by brackets and asterisks, have been omitted pursuant to Item 601(b)(10) of Regulation S-K under the Securities Act of 1933, as amended, because they are both (i) not material and (ii) would likely cause competitive harm to the registrant if publicly disclosed. The registrant undertakes to promptly provide an unredacted copy of the exhibit on a supplemental basis, if requested by the Commission or its staff. |
|---|---|
| * | This certification is deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended. |
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| XENETIC BIOSCIENCES, INC. | ||
| Date: March 21, 2024 | By: | /s/ JEFFREY F. EISENBERG |
|---|---|---|
| Jeffrey F. Eisenberg | ||
| Chief Executive Officer | ||
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.