PLIANT THERAPEUTICS INC
For the period ended Dec 31, 2023. Filed Feb 27, 2024.
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FY2023 · Filed Feb 27, 2024
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Item 15. Exhibits and Financial Statement Schedules
Item 15. Exhibits, Financial Statement Schedules.
(a)The following documents are filed as part of this Annual Report:
Financial Statements. See Index to Financial Statements in Part II Item 8 of this Annual Report on Form 10-K.
Financial Statement Schedules. None. All financial statement schedules are omitted because they are not applicable, not required under the instructions, or the requested information is included in the financial statements or notes thereto.
Exhibits. The following is a list of exhibits filed with this Annual Report or incorporated herein by reference:
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| ExhibitNumber · Exhibit Description · Form · File No. · Exhibit · FilingDate · FileHerewith | |||||
| 3.1 | Amended and Restated Certificate of Incorporation of the Registrant, as currently in effect. | 10-Q | 001-39303 | 3.1 | August 11, 2020 |
| 3.2 | Second Amended and Restated Bylaws of the Registrant, as currently in effect. | 8-K | 001-39303 | 3.1 | September 16, 2022 |
| 4.1 | Specimen Common Stock Certificate of the Registrant. | S-1/A | 333-238146 | 4.1 | May 26, 2020 |
| 4.2 | Description of the Registrant’s Securities | 10-K | 001-39303 | 4.3 | March 16, 2021 |
| 10.1# | 2020 Stock Option and Incentive Plan and forms of award agreement. | S-1/A | 333-238146 | 10.2 | May 26, 2020 |
| 10.2# | 2015 Equity Incentive Plan and forms of award agreements thereunder. | S-1 | 333-238146 | 10.1 | May 11, 2020 |
| 10.3# | 2020 Employee Stock Purchase Plan. | S-1/A | 333-238146 | 10.3 | May 26, 2020 |
| 10.4# | Senior Executive Cash Incentive Bonus Plan. | S-1 | 333-238146 | 10.4 | May 11, 2020 |
| 10.5# | Non-Employee Director Compensation Policy. | S-1/A | 333-238146 | 10.6 | May 26, 2020 |
| 10.6# | Executive Severance Plan. | S-1 | 333-238146 | 10.7 | May 11, 2020 |
| 10.7# | Offer Letter, by and between the Registrant and Mike Ouimette, dated August 17, 2020. | 10-Q | 001-39303 | 10.1 | November 10. 2020 |
| 10.8# | Offer Letter, by and between the Registrant and Éric Lefebvre, M.D., dated February 28, 2018. | S-1 | 333-238146 | 10.11 | May 11, 2020 |
| 10.9# | Offer Letter, by and between the Registrant and Keith Cummings, M.D., MBA, dated November 29, 2018. | S-1 | 333-238146 | 10.10 | May 11, 2020 |
| 10.10# | Offer Letter, by and between the Registrant and Hans Hull, J.D., dated February 10, 2016. | S-1 | 333-238146 | 10.9 | May 11, 2020 |
| 10.11# | Offer Letter, by and between the Registrant and Bernard Coulie, M.D., Ph.D., dated October 12, 2015. | S-1 | 333-238146 | 10.8 | May 11, 2020 |
| 10.12# | Form of Indemnification Agreement, by and between the Registrant and each of its directors and certain officers. | S-1 | 333-238146 | 10.13 | May 11, 2020 |
| 10.13 | Office Lease, by and between the Registrant and 260 Littlefield Avenue South San Francisco, California 94080, dated February 6, 2018. | S-1 | 333-238146 | 10.14 | May 11, 2020 |
| 10.14# | 2022 Inducement Plan dated September 14, 2022. | 10-K | 001-39303 | 10.17 | March 9, 2023 |
| Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|
| ExhibitNumber | Exhibit Description | Form | File No. | Exhibit | FilingDate | FileHerewith |
| 10.15 | Loan and Security Agreement, by and between Registrant and Oxford Finance LLC, dated May 4, 2022. | 8-K | 001-39303 | 10.1 | May 5, 2022 | |
| 10.16 | First Amendment to Loan and Security Agreement, by and between Registrant and Oxford Finance LLC, dated October 4, 2022. | 10-K | 001-39303 | 10.17 | March 9, 2023 | |
| 10.17# | Amended and Restated Non-Employee Director Compensation Policy | X | ||||
| 10.18# | Offer Letter, by and between the Registrant and Lily Cheung, dated December 21, 2022. | 10-K | 001-39303 | 10.21 | March 9, 2023 | |
| 10.19# | Lease Agreement by and between the Registrant and HCP BTC, LLC, dated September 28, 2023. | 8-K | 001-39303 | 10.1 | October 23, 2023 | |
| 10.20# | Termination Agreement by and between the Registrant and Healthpeak OP, LLC, dated September 28, 2023. | 8-K | 001-39303 | 10.2 | October 23, 2023 | |
| 23.1 | Consent of Independent Registered Public Accounting Firm | X | ||||
| 31.1 | Certification of Chief Executive Officer required by Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 31.2 | Certification of Chief Financial Officer required by Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 32.1** | Certification of Chief Executive Officer and Chief 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 | Clawback Policy | X | ||||
| 101.INS | XBRL Instance Document | X | ||||
| 101.SCH | XBRL Taxonomy Extension Schema Document | X | ||||
| 101.CAL | XBRL Taxonomy Calculation Linkbase Document | X | ||||
| 101.DEF | XBRL Taxonomy Extension Definition Document | X | ||||
| 101.LAB | XBRL Taxonomy Label Linkbase Document | X | ||||
| 101.PRE | XBRL Taxonomy Presentation Linkbase Document | X | ||||
** The certifications furnished in Exhibit 32.1 hereto are deemed to be furnished with this Annual Report on Form 10-K and will not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, except to the extent that the Registrant specifically incorporates them by reference
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