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Climb Bio, Inc.
Companies
"Incentive"
Keywords
Tables in SEC filings
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Incorporated by Reference | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Exhibit Number | Description of Exhibit | Form | File No. | Exhibit | Filing Date | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
3.1 | Amended and Restated Certificate of Incorporation of the Registrant. | 8-K | 001-40708 | 3.1 | August 12, 2021 | 3.2 | Amended and Restated Bylaws of the Registrant. | S-1 | 333-257980 | 3.4 | August 2, 2021 | 4.1 | Form of common stock certificate of the Registrant. | S-1 | 333-257980 | 4.1 | August 2, 2021 | 4.3 | Description of Securities | 10-K | 001-40708 | 4.3 | March 7, 2022 | 10.1 | Amended and Restated Investor Rights Agreement, dated May 21, 2021, by and among the Registrant and the investors listed on Schedule A thereto. | S-1 | 333-257980 | 10.1 | July 16, 2021 | 10.2+ | 2021 Equity Incentive Plan. | S-1 | 333-257980 | 10.4 | August 2, 2021 | 10.3+ | Forms of Option Agreement, Stock Option Grant Notice and Notice of Exercise under the 2021 Equity Incentive Plan. | S-1 | 333-257980 | 10.5 | August 2, 2021 | 10.4+ | Forms of Restricted Stock Unit Grant Notice and Restricted Stock Unit Award Agreement under the 2021 Equity Incentive Plan. | S-1 | 333-257980 | 10.6 | August 2, 2021 | 10.5+ | 2021 Employee Stock Purchase Plan. | S-1 | 333-257980 | 10.7 | August 2, 2021 | 10.6+ | Form of Indemnification Agreement, by and between the Registrant and each of its directors and executive officers. | S-1 | 333-257980 | 10.8 | August 2, 2021 | 10.7+ | Executive Employment Agreement by and between the Registrant and Robert Azelby, effective October 1, 2020, as amended. | S-1 | 333-257980 | 10.9 | August 2, 2021 | 10.8+ | Executive Employment Agreement by and between the Registrant and Erin M. Lavelle, effective October 1, 2020, as amended. | S-1 | 333-257980 | 10.10 | August 2, 2021 | 10.9+ | Executive Employment Agreement by and between Eliem Therapeutics (UK) Ltd. and Valerie Morisset, Ph.D., effective January 1, 2021. | S-1 | 333-257980 | 10.11 | July 16, 2021 | 10.10+ | Separation and Consulting Agreement, dated February 13, 2023, by and between Eliem Therapeutics, Inc. and Robert Azelby. | 8-K | 001-40708 | 10.1 | February 13, 2023 | 10.11+ | Separation and Consulting Agreement, dated February 13, 2023, by and between Eliem Therapeutics, Inc. and Erin Lavelle. | 8-K | 001-40708 | 10.2 | February 13, 2023 | 10.12+ | Retention Agreement, dated February 14, 2023, by and between Eliem Therapeutics, Inc. and Valerie Morisset. | 10-K | 001-40708 | 10.12 | March 6, 2023 | 21.1 | List of subsidiaries. | S-1 | 333-257980 | 21.1 | August 2, 2021 | 23.1 | Consent of Independent Registered Public Accounting Firm. | 10-K | 001-40708 | 23.1 | March 28, 2024 | 23.1 |
Option Awards | Stock Awards | |||||||||||||||||||||||||||||||||||||||
Name (a) | Grant Date | Number of Securities Underlying Unexercised Options (#) Exercisable (b) | Number of Securities Underlying Unexercised Options (#) Unexercisable (c) | Equity Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Options (#) (d) | Option Exercise Price ($) (e) | Option Expiration Date (f) | Number of Shares or Units of Stock That Have Not Vested (#) (g) | Market Value of Shares or Units of Stock That Have Not Vested ($) (h) | Equity Incentive Plan Awards: Number of Unearned Shares, Units or Other Rights That Have Not Vested (#) (i) | Equity Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested ($) (j) | ||||||||||||||||||||||||||||||
Dr. Levin | 8/9/2021 | 15,555 | (1) | 4,445 | (1) | — | 12.50 | 8/8/2031 | — | — | — | — | ||||||||||||||||||||||||||||
5/19/2022 | 10,000 | (2) | — | — | 3.46 | 5/18/2032 | — | — | — | — | ||||||||||||||||||||||||||||||
5/18/2023 | — | 10,000 | (2) | — | 3.00 | 5/17/2033 | — | — | — | — | ||||||||||||||||||||||||||||||
Dr. Morisset | 2/26/2021 | 10,198 | (3) | 35,695 | (3) | — | 0.0002 | 2/25/2031 | — | — | — | — | ||||||||||||||||||||||||||||
4/27/2021 | — | — | — | — | — | 50,108 | (4) | 135,292 | (4) | — | — | |||||||||||||||||||||||||||||
1/27/2022 | 81,458 | (5) | 88,542 | (5) | — | 8.21 | 1/26/2032 | — | — | — | — | |||||||||||||||||||||||||||||
10/31/2022 | 49,583 | (6) | 120,417 | (6) | — | 3.27 | 10/30/2032 | — | — | — | — | |||||||||||||||||||||||||||||
Mr. Azelby | 2/26/2021 | 470,940 | (7) | — | (7) | — | 1.32 | 8/13/2024 | — | — | — | — | ||||||||||||||||||||||||||||
4/27/2021 | 406,494 | (7) | — | (7) | — | 6.10 | 8/13/2024 | — | — | — | — | |||||||||||||||||||||||||||||
1/27/2022 | 500,000 | (7) | — | (7) | — | 8.21 | 8/13/2024 | — | — | — | — | |||||||||||||||||||||||||||||
10/31/2022 | 500,000 | (7) | — | (7) | — | 3.27 | 8/13/2024 | — | — | — | — | |||||||||||||||||||||||||||||
Ms. Lavelle | 4/27/2021 | 121,948 | (8) | — | (8) | — | 6.10 | 9/14/2024 | — | — | — | — | ||||||||||||||||||||||||||||
1/27/2022 | 170,000 | (8) | — | (8) | — | 8.21 | 9/14/2024 | — | — | — | — | |||||||||||||||||||||||||||||
10/31/2022 | 170,000 | (8) | — | (8) | — | 3.27 | 9/14/2024 | — | — | — | — | |||||||||||||||||||||||||||||
Mr. Bucher | 2/26/2021 | 80,260 | (9) | — | (9) | — | 1.32 | 9/17/2024 | — | — | — | — | ||||||||||||||||||||||||||||
4/27/2021 | 67,749 | (9) | — | (9) | — | 6.10 | 9/17/2024 | — | — | — | — | |||||||||||||||||||||||||||||
1/27/2022 | 95,000 | (9) | — | (9) | — | 8.21 | 9/17/2024 | — | — | — | — | |||||||||||||||||||||||||||||
10/31/2022 | 95,000 | (9) | — | (9) | — | 3.27 | 9/17/2024 | — | — | — | — |
Plan Category | (a) Number of securities to be issued upon exercise of outstanding options and rights | (b) Weighted- average exercise price of outstanding options | Number of securities remaining available for issuance under equity compensation plans (excluding securities reflected in column (a)) | |||||||||||||
Equity compensation plans approved by security holders: | 2019 Equity Incentive Plan | 1,389,620 | $ | 3.70 | — | |||||||||||
2021 Equity Incentive Plan(1) | 3,276,190 | $ | 6.14 | 2,057,888 | ||||||||||||
2021 Employee Stock Purchase Plan(1) | — | N/A | 787,231 | |||||||||||||
Equity compensation plans not approved by security holders: | — | N/A | — | |||||||||||||
Total | 4,665,810 | N/A | 2,845,119 |