ANAVEX LIFE SCIENCES CORP
For the period ended Sep 30, 2024. Filed Dec 23, 2024.
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FY2024 · Filed Dec 23, 2024
AVXL$1.13-7.4%Stored close · as of Nov 10, 2026
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ITEM 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES
| Exhibit Number | Description |
| (3) | Articles of Incorporation and Bylaws |
| 3.1 | Articles of Incorporation, as amended (incorporated by reference to our Annual Report on Form 10-K for the year ended September 30, 2021 filed on November 24, 2021) |
| 3.2 | Amended and Restated Bylaws (incorporated by reference to our Current Report on Form 8-K filed on April 14, 2023) |
| (4) | Instruments Defining the Rights of Security Holders |
| 4.1 | Description of Registrant’s Securities (incorporated by reference to our Annual Report on Form 10-K filed on November 28, 2022) |
| 4.2 | Registration Rights Agreement, dated February 3, 2023, by and between the Company and Lincoln Park Capital Fund, LLC (incorporated by reference to our Quarterly Report on Form 10-Q filed on February 7, 2023) |
| (10) | Material Contracts |
| 10.1^ | 2015 Omnibus Incentive Plan (incorporated by reference to our Annual Report on Form 10-K filed on December 29, 2015) |
| 10.2^ | 2019 Omnibus Incentive Plan (incorporated by reference to our Proxy Statement, Annex B, dated February 11, 2019, as filed on February 11, 2019) |
| 10.3^ | 2022 Omnibus Incentive Plan (incorporated by reference to our Proxy Statement, dated April 11, 2022, Annex A, filed on April 11, 2022) |
| 10.4^ | Employment Agreement, dated as of July 5, 2013, by and between the Company and Christopher Missling, PhD (incorporated by reference to our Quarterly Report on Form 10-Q filed on August 14, 2013) |
| 10.5^ | First Amendment to Employment Agreement, dated as of July 5, 2016, by and between the Company and Christopher Missling, PhD (incorporated by reference to our Current Report on Form 8-K filed on July 7, 2016) |
| 10.6^ | Amended and Restated First Amendment to Employment Agreement, dated as of July 18, 2016, by and between the Company and Christopher Missling, PhD (incorporated by reference to our Current Report on Form 8-K filed on July 22, 2016) |
| 10.7^ | Second Amendment to Employment Agreement, dated as of May 3, 2019 by and between the Company and Christopher Missling, PhD (incorporated by reference to our Quarterly Report on Form 10-Q filed on May 9, 2019) |
| 10.8^ | Third Amendment to Employment Agreement, dated April 7, 2022 by and between the Company and Christopher Missling, PhD (incorporated by reference to our Current Report on Form 8-K filed on April 8, 2022) |
| 10.9^ | Amended and Restated Employment Agreement by and between the Company and with Sandra Boenisch (incorporated by reference to our Annual Report on Form 10-K filed on December 11, 2017) |
| 10.10^ | Amendment No. 1 to Amended and Restated Employment Agreement between the Company and Sandra Boenisch, dated February 4, 2020 (incorporated by reference to our Quarterly Report on Form 10-Q filed on February 6, 2020) |
| 10.11^ | Amendment No. 2 to Amended and Restated Employment Agreement between the Company and Sandra Boenisch, dated February 28, 2022 (incorporated by reference to our Current Report on Form 8-K filed on March 4, 2022) |
| 10.12 | Purchase Agreement dated February 3, 2023 by and between the Company and Lincoln Park Capital Fund, LLC (incorporated by reference to our Quarterly Report on Form 10-Q filed on February 7, 2023) |
| (14) | Code of Ethics |
| 14.1 | Code of Ethics Adopted on August 1, 2023 (incorporated by reference to our Annual Report on Form 10-K filed on November 27, 2023) |
| 19.1* | Insider Trading Policy |
| (21) | Subsidiaries |
| 21.1* | Subsidiaries of the Registrant |
| (23) | Consent |
| 23.1* | Consent of Independent Registered Public Accounting Firm |
| (31) | Section 302 Certifications |
| 31.1* | Section 302 Certification of Christopher Missling, PhD. |
| 31.2* | Section 302 Certification of Sandra Boenisch |
| (32) | Section 906 Certifications |
| 32.1** | Section 906 Certification of Christopher Missling, PhD and Sandra Boenisch |
| (97) | Policy Relating to Recovery of Erroneously Awarded Compensation |
| 97.1 | Anavex Life Sciences Corp. Compensation Clawback Policy (incorporated by reference to our Annual Report on Form 10-K filed on November 27, 2023) |
| (101) | XBRL |
| 101.INS* | XBRL INSTANCE DOCUMENT |
| 101.SCH* | XBRL TAXONOMY EXTENSION SCHEMA |
| 101.CAL* | XBRL TAXONOMY EXTENSION CALCULATION LINKBASE |
| 101.DEF* | XBRL TAXONOMY EXTENSION DEFINITION LINKBASE |
| 101.LAB* | XBRL TAXONOMY EXTENSION LABEL LINKBASE |
| 101.PRE* | XBRL TAXONOMY EXTENSION PRESENTATION LINKBASE |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) |
- Filed herewith.
** The certification attached as Exhibit 32.1 that accompanies this Form 10-K is not deemed filed with the SEC and is not to be incorporated by reference into any filing of the Registrant under the Securities Act or the Exchange Act, whether made before or after the date of this Form 10-K, irrespective of any general incorporation language contained in such filing.
^ Denotes a management contract or compensatory plan or arrangement.
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