Tarsus Pharmaceuticals Inc
For the period ended Dec 31, 2023. Filed Feb 27, 2024.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Feb 27, 2024
TARS$73.83+4.2%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 15. Exhibits, Financial Statement Schedules
(a) The following documents are filed as part of this report:
(1) Financial Statements (included in Part II of this Annual Report on Form 10-K):
Balance Sheets
Statements of Operations and Comprehensive Loss
Statements of Stockholder's Equity
Statements of Cash Flows
Notes to Financial Statements
(2) Financial Statement Schedules:
All financial statement schedules are omitted because the information is inapplicable or presented in the notes to the financial statements
(b) The following exhibits are included herein or incorporated herein by reference:
INDEX TO EXHIBITS
| Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|
| Exhibit Number | Description | Form | File No. | Exhibit | Filing Date | Filed Herewith |
| 3.1 | Amended and Restated Certificate of Incorporation of Registrant. | 8-K | 001-39614 | 3.1 | October 20, 2020 | |
| 3.2 | Amended and Restated Bylaws of Registrant. | 8-K | 001-39614 | 3.2 | October 20, 2020 | |
| 4.1 | Form of Registrant’s common stock certificate. | S-1/A | 333-249076 | 4.1 | October 9, 2020 | |
| 4.2 | Description of the Registrant’s securities registered pursuant to Section 12 of the Securities Exchange Act of 1934. | 10-K | 001-39614 | 4.2 | March 14, 2022 | |
| 4.3 | Amended and Restated Investors’ Rights Agreement, dated September 24, 2020, by and among the Registrant and the other parties thereto. | S-1/A | 333-249076 | 4.2 | October 9, 2020 | |
| 10.1# | Form of Indemnification Agreement between the Registrant and each of its directors and executive officers. | S-1/A | 333-249076 | 10.1 | October 9, 2020 | |
| 10.2# | Tarsus Pharmaceuticals, Inc. 2016 Stock Plan, as amended and forms of agreements thereunder. | S-1 | 333-249076 | 10.2 | September 25, 2020 | |
| 10.3# | Tarsus Pharmaceuticals, Inc. 2020 Equity Incentive Plan and form of agreements thereunder. | S-8 | 333-249571 | 99.2 | October 20, 2020 | |
| 10.4# | Tarsus Pharmaceuticals, Inc. 2020 Employee Stock Purchase Plan. | S-8 | 333-249571 | 99.3 | October 20, 2020 | |
| 10.5# | Amended and Restated Offer Letter, dated October 8, 2020, between the Registrant and Bobak Azamian, M.D., Ph.D. | S-1/A | 333-249076 | 10.5 | October 9, 2020 | |
| 10.6# | Offer Letter, dated March 15, 2020, between the Registrant and Leo M. Greenstein. | S-1 | 333-249076 | 10.6 | September 25, 2020 | |
| 10.7# | Offer Letter, dated June 4, 2020, between the Registrant and Seshadri Neervannan, Ph.D. | S-1 | 333-249076 | 10.7 | September 25, 2020 | |
| 10.8# | Offer Letter, dated June 22, 2020, between the Registrant and Aziz Mottiwala. | S-1 | 333-249076 | 10.9 | September 25, 2020 | |
| 10.9# | Office Lease, dated May 28, 2020, between the Registrant and Discovery Business Center LLC. | S-1 | 333-249076 | 10.13 | September 25, 2020 | |
| 10.10^* | Sublease Agreement, dated May 29, 2020, between the Registrant and Avent, Inc., as amended by First Amendment to Sublease Agreement, dated July 30, 2020, between the Registrant and Avent, Inc. | S-1 | 333-249076 | 10.14 | September 25, 2020 | |
| 10.11# | Management Cash Incentive Plan. | S-1/A | 333-249076 | 10.15 | October 9, 2020 | |
| 10.12† | Development and License Agreement, dated March 26, 2021, between the Registrant and LianBio Ophthalmology. | 10-Q | 001-39614 | 10.1 | May 11, 2021 | |
| 10.13 | Loan and Security Agreement, dated February 2, 2022, by and among Registrant, Hercules Capital, Inc. and Silicon Valley Bank. | 10-Q | 001-39614 | 10.1 | May 11, 2022 | |
| 10.14# | Consulting Agreement, dated August 1, 2020, between the Registrant and Elizabeth Yeu-Lin, M.D., as amended. | 10-Q | 001-39614 | 10.2 | May 11, 2022 | |
| 10.15† | Amended and Restated License Agreement, dated June 3, 2022, by and between the Registrant and Elanco Tiergesundheit AG. | 10-Q | 001-39614 | 10.1 | August 11, 2022 | |
| 10.16^ | Amended and Restated License Agreement, dated June 3, 2022, by and between the Registrant and Elanco Tiergesundheit AG. | 10-Q | 001-39614 | 10.2 | August 11, 2022 | |
| 10.17 | First Amendment to Loan and Security Agreement, dated as of January 5, 2023, by and among Registrant Hercules Capital, Inc. and Silicon Valley Bank. | 10-K | 001-39614 | 10.18 | March 17, 2023 | |
| 10.18 | Second Amendment to Loan and Security Agreement, dated as of August 28, 2023, by and among Registrant, Hercules Capital, Inc. and First-Citizens Bank & Trust Company. | 10-Q | 001-39614 | 10.18 | November 9, 2023 | |
| 10.19# | Offer Letter, dated March 6, 2023 by and between the Registrant and Jeffrey Farrow. | X | ||||
| 10.20# | Separation Agreement, dated May 4, 2023, by and between the Registrant and Leonard Greenstein. | 10-Q | 001-39614 | 10.1 | August 10, 2023 | |
| 10.21# | Form of Executive Severance and Change in Control Agreement. | 10-Q | 001-39614 | 10.2 | August 10, 2023 | |
| 23.1 | Consent of Independent Registered Public Accounting Firm. | X | ||||
| 31.1 | Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, 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 Securities Exchange Act of 1934, 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 | Tarsus Pharmaceuticals, Inc. Policy for the Recovery of Erroneously Awarded Compensation. | X | ||||
| 101.INS | 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 | XBRL Taxonomy Extension Schema Document. | X | ||||
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document. | X | ||||
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document. | X | ||||
| 101.LAB | XBRL Taxonomy Extension Label Linkbase Document. | X | ||||
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document. | X | ||||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). | X | ||||
| ^ | Pursuant to Item 601(a)(5) of Regulation S-K, certain exhibits and schedules have been omitted. The Registrant hereby undertakes to furnish supplementally a copy of any omitted exhibit or schedule upon request by the SEC. |
|---|---|
| † | Pursuant to Item 601(b)(10) of Regulation S-K, certain confidential portions of this exhibit have been omitted by means of marking such portions with asterisks as the identified confidential portions (i) are not material and (ii) would likely cause competitive harm to the registrant if publicly disclosed. |
| # | Indicates a management contract or compensatory plan. |
| * | The certifications attached as Exhibits 32.1 and 32.2 that accompany this Annual Report on Form 10-K are not deemedfiled with the SEC and are not to be incorporated by reference into any filing of the Registrant under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Annual Report on Form 10-K, irrespective of any general incorporation language contained in such filing. |
(c) Financial Statement Schedules. All schedules have been omitted because the information required to be presented in them is not applicable or is shown in the financial statements or related notes.
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