Autolus Therapeutics plc
For the period ended Dec 31, 2023. Filed Mar 21, 2024.
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FY2023 · Filed Mar 21, 2024
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See the whole filing, with its images and exhibitsContents
Item 15. Exhibits, Financial Statement Schedules
Item 15. Exhibit and Financial Statement Schedule
(a) 1. Financial Statements
See the financial statements beginning on page F-1 of this Annual Report.
- Financial Statement Schedules
All schedules have been omitted because they are not required, not applicable, not present in amounts sufficient to require submission of the schedule, or the required information is otherwise included.
- Exhibit Index
| EXHIBITNUMBER · DESCRIPTION OF EXHIBIT · INCORPORATED BY REFERENCE | |||||
|---|---|---|---|---|---|
| SCHEDULE/FORM · FILE NUMBER · EXHIBIT · FILEDATE | |||||
| 3.1 | Articles of Association of Autolus Therapeutics plc. | Form F-1/A | 333-224720 | 3.1 | 6/19/18 |
| 4.1 | Deposit Agreement by and among the registrant, Citibank, N.A., as the Depositary bank and the holders and beneficial owners of ADSs issued thereunder. | Form F-1/A | 333-224720 | 4.1 | 6/19/18 |
| 4.2 | Form of American Depositary Receipt (included in exhibit 4.1). | Form F-1/A | 333-224720 | 4.2 | 6/19/18 |
| 4.3 | Description of Securities | Form 20-F | 001-38547 | 2.4 | 3/3/20 |
| 4.4 | Warrant issued to BXLS V – Autobahn L.P. dated November 6, 2021. | Form 6-K | 001-38547 | 99.3 | 11/8/21 |
| 10.1†# | Supply Agreement, dated as of March 23, 2018, by and between the registrant and Miltenyi Biotec GmbH. | Form F-1/A | 333-224720 | 10.2 | 6/8/18 |
| 10.2†# | Autolus Therapeutics plc 2018 Equity Incentive Plan. | Form F-1/A | 333-224720 | 10.3 | 6/19/18 |
| 10.3+ | Non-employee Sub Plan to the Autolus Therapeutics plc 2018 Equity Incentive Plan. | Form F-1/A | 333-224720 | 10.4 | 6/19/18 |
| 10.4+ | Management Incentive Compensation Plan. | Form F-1/A | 333-224720 | 10.5 | 6/8/18 |
| 10.5+ | Form of Deed of Indemnity between the registrant and each of its members of senior management and directors. | Form F-1/A | 333-224720 | 10.6 | 6/8/18 |
| 10.6†#* | License Agreement, dated as of September 25, 2014 by and between the registrant and UCL Business Ltd., as amended on March 2, 2016, March 28, 2018. | Form F-1/A | 333-224720 | 10.1 | 6/8/18 |
| 10.7†#* | Amendment to License Agreement, dated as of September 25, 2014 by and between the registrant and UCL Business Ltd., dated as of October 15, 2020. | Form F-1/A | 001-38547 | 4.7 | 3/4/21 |
| 10.8 | Autolus Therapeutics plc, Registration Rights Agreement, dated as June 26, 2018 | Form 20-F | 001-38547 | 2.3 | 11/23/18 |
| 10.9 | Collaboration and Financing Agreement, dated as of November 6, 2021, between Autolus Limited and BXLS V — Autobahn L.P. | Form 20-F | 001-38547 | 4.7 | 3/10/22 |
| 10.10 | Securities Purchase Agreement by and between the Registrant and BXLS V – Autobahn L.P. dated November 6, 2021. | Form 6-K | 001-38547 | 99.1 | 11/8/21 |
| 10.11 | Registration Rights Agreement by and between the Registrant and BXLS V – Autobahn L.P. dated November 6, 2021. | Form 6-K | 001-38547 | 99.2 | 11/8/21 |
| 10.12*†# | License and Option Agreement between the registrant and BioNTech SE, dated February 6, 2024. | ||||
| 10.13 | Securities Purchase Agreement between the registrant and BioNTech SE, dated February 6, 2024. | Form 8-K | 001-38547 | 10.1 | 2/8/24 |
| 10.14 | Registration Rights Agreement between the registrant and BioNTech SE, dated February 6, 2024. | Form 8-K | 001-38547 | 10.2 | 2/8/24 |
| 10.15 | Letter Agreement between the registrant and BioNTech SE, dated February 6, 2024. | Form 8-K | 001-38547 | 10.3 | 2/8/24 |
| 10.16† | Lease Agreement, dated September 19, 2023, between Forge Life Sciences Nominee I Limited and Forge Life Sciences Nominee 2 Limited, Autolus Limited and Autolus Therapeutics plc relating to The Nucleus Marshgate, Stevenage. | Form 10-Q | 001-38547 | 10.1 | 11/9/23 |
| 10.17† | Amendment 2 to Supply Agreement, dated as of September 27, 2023, by and between Autolus Limited and Miltenyi Biotec B.V. & Co. KG. | Form 10-Q | 001-38547 | 10.2 | 11/9/23 |
| 21.1* | Subsidiaries of the registrant. | ||||
| 23.1* | Consent of Ernst & Young LLP, independent registered public accounting firm | ||||
| 24.1* | Power of Attorney (included on signature page) |
| 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. |
| 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. |
| 32.1** | Certification of Principal Executive Officer and Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| 97.1* | Policy relating to recovery of erroneously awarded compensation, as required by applicable listing standards adopted pursuant to 17 CFR 240.10D-1 |
| 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 |
| 101.SCH* | XBRL Taxonomy Extension Schema Document |
| 101.CAL* | XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF* | XBRL Taxonomy Extension Definition Linkbase Document |
| 101.LAB* | XBRL Taxonomy Extension Label Linkbase Document |
| 101.PRE* | XBRL Taxonomy Extension Presentation Linkbase Document |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) |
- Indicates management contract or compensatory plan.
† Certain portions of the exhibit (indicated by asterisks) have been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K. The registrant hereby undertakes to furnish supplementally a copy of any omitted exhibit or schedule upon request by the SEC.
Certain exhibits and schedules have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The registrant hereby undertakes to furnish supplementally a copy of any omitted exhibit or schedule upon request by the SEC.
- Filed herewith.
** Furnished herewith.
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