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SEC Filings

10-K
SERES THERAPEUTICS, INC. filed this Form 10-K on 03/06/2019
Entire Document
 

PART IV

Item 15. Exhibits, Financial Statements and Schedules

(a)(1) Financial Statements.

See the “Index to Consolidated Financial Statements” on page F-1 below for the list of financial statements filed as part of this report.

(a)(2) Financial Statement Schedules.

All schedules have been omitted because they are not required or because the required information is given in the Consolidated Financial Statements or Notes thereto set forth below beginning on page F-1.

(a)(3) Exhibits.

 

 

 

 

 

Incorporated by Reference

 

Filed/

Exhibit

Number

 

Exhibit Description

 

Form

 

File No.

 

Exhibit

 

Filing

Date

 

Furnished

Herewith

 

 

 

 

 

 

 

 

 

 

 

 

 

  3.1

 

Restated Certificate of Incorporation, filed on July 1, 2015

 

8-K

 

001-37465

 

3.1

 

7/1/15

 

 

  3.2

 

Amended and Restated By-Laws

 

8-K

 

001-37465

 

3.2

 

7/1/15

 

 

  4.1

 

Amended and Restated Investors’ Rights Agreement, dated December 19, 2014, by and among the Registrant and each of the investors listed on Schedule A thereto

 

S-1

 

333-204484

 

4.1

 

5/27/15

 

 

  4.2

 

Specimen Stock Certificate evidencing the shares of common stock

 

S-1/A

 

333-204484

 

4.2

 

6/16/15

 

 

10.1#

 

2015 Incentive Award Plan and forms of award agreements thereunder

 

S-1/A

 

333-204484

 

10.2

 

6/16/15

 

 

10.2#

 

2015 Employee Stock Purchase Plan

 

S-1/A

 

333-204484

 

10.3

 

6/16/15

 

 

10.3#

 

2012 Stock Incentive Plan, as amended and form of option agreement thereunder

 

S-1

 

333-204484

 

10.1

 

5/27/15

 

 

10.4#

 

Non-Employee Director Compensation Program

 

S-1/A

 

333-204484

 

10.4

 

6/16/15

 

 

10.5

 

Lease Agreement, dated April 1, 2015, by and between the Registrant and ARE-MA Region No. 38, LLC

 

S-1

 

333-204484

 

10.13

 

5/27/15

 

 

10.6

 

Lease, dated November 11, 2015, by and between the Registrant and BMR-Sidney Research Campus, LLC

 

10-K

 

001-37465

 

10.13

 

3/14/16

 

 

10.7#

 

Employment Agreement, dated June 14, 2015, by and between the Registrant and Roger J. Pomerantz

 

S-1/A

 

333-204484

 

10.6

 

6/16/15

 

 

10.8#

 

First Amendment to Employment Agreement, dated February 3, 2016, by and between the Registrant and Roger J. Pomerantz

 

8-K

 

001-37465

 

10.1

 

2/4/16

 

 

 

10.9#

 

Second Amendment to Employment Agreement, dated March 7, 2018, by and between the Registrant and Roger J. Pomerantz

 

10-K

 

001-37465

 

10.18

 

3/8/18

 

 

10.10#

 

Separation Agreement and Release, dated January 14, 2019 by and between the Registrant and Roger J. Pomerantz.

 

8-K

 

001-37465

 

10.1

 

1/15/19

 

 

10.11#

 

Amended and Restated Employment Agreement, dated January 14, 2019, by and between the Registrant and Eric D. Shaff

 

8-K

 

001-37465

 

 

10.2

 

1/15/19

 

 

10.12#

 

Employment Agreement, dated August 10, 2015, by and between the Registrant and John G. Aunins

 

10-Q

 

001-37465

 

10.10

 

8/10/15

 

 

10.13#

 

Amendment to Employment Agreement, dated February 8, 2017 by and between the Registrant and John G. Aunins

 

10-K

 

001-37465

 

10.13

 

3/16/17

 

 

10.14#

 

Employment Agreement, dated June 13, 2015, by and between the Registrant and Michele Trucksis

 

S-1/A

 

333-204484

 

10.10

 

6/16/15

 

 

91



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