ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
Title of Each Class | Trading Symbol(s) | Name of Each Exchange on Which Registered | ||||||
Large accelerated filer ☐ | Accelerated filer ¨ | Smaller reporting company | |||||||||
Emerging growth company |
Page number of the Original Form 10-K | |||||
Curis, Inc. and Subsidiaries | |||||
Report of Independent Registered Public Accounting Firm ( | 91 | ||||
Consolidated Balance Sheets as of December 31, 2022 and 2021 | 93 | ||||
Consolidated Statements of Operations and Comprehensive Loss for the Years Ended December 31, 2022 and 2021 | 94 | ||||
Consolidated Statements of Stockholders’ Equity (Deficit) for the Years Ended December 31, 2022 and 2021 | 95 | ||||
Consolidated Statements of Cash Flows for the Years Ended December 31, 2022 and 2021 | 96 | ||||
Notes to Consolidated Financial Statements | 97 |
Incorporated by Reference | ||||||||||||||||||||||||||||||||||||||
Exhibit No. | Description | Link to Filing | Form | SEC Filing Date | Exhibit Number | Filed with this Amendment | ||||||||||||||||||||||||||||||||
Articles of Incorporation and By-laws | ||||||||||||||||||||||||||||||||||||||
3.1 | Restated Certificate of Incorporation of Curis, Inc., as amended | 10-Q | 11/9/2021 | 3.1 | ||||||||||||||||||||||||||||||||||
3.2 | Certificate of Designations of Curis, Inc. | S-3 (333-50906) | 8/10/2001 | 3.2 | ||||||||||||||||||||||||||||||||||
3.3 | Amended and Restated By-laws of Curis, Inc. | 10-K | 3/13/2023 | 3.3 | ||||||||||||||||||||||||||||||||||
Instruments defining the rights of security holders, including indentures | ||||||||||||||||||||||||||||||||||||||
4.1 | Form of Curis Common Stock Certificate | 10-K | 3/1/2004 | 4.1 | ||||||||||||||||||||||||||||||||||
4.2 | Description of Registrants' Securities | 10-K | 3/13/2023 | 4.2 | ||||||||||||||||||||||||||||||||||
Material contracts—Management Contracts and Compensatory Plans | ||||||||||||||||||||||||||||||||||||||
#10.1 | Employment Agreement, dated March 29, 2016, as amended September 24, 2018 by and between Curis, Inc. and James E. Dentzer. | 10-Q | 11/1/2018 | 10.2 | ||||||||||||||||||||||||||||||||||
#10.2 | Employment Agreement, dated August 4, 2022, by and between Curis, Inc. and Diantha Duvall | 10-Q | 11/9/2022 | 10.1 |
Incorporated by Reference | ||||||||||||||||||||||||||||||||||||||
Exhibit No. | Description | Link to Filing | Form | SEC Filing Date | Exhibit Number | Filed with this Amendment | ||||||||||||||||||||||||||||||||
#10.3 | Employment Agreement, dated September 11, 2019, by and between Curis, Inc. and William E. Steinkrauss | 10-Q | 11/5/2019 | 10.1 | ||||||||||||||||||||||||||||||||||
#10.4 | Employment Agreement, dated June 1, 2018, by and between Curis, Inc. and Robert E. Martell, M.D., Ph.D. | 10-Q | 8/2/2018 | 10.2 | ||||||||||||||||||||||||||||||||||
#10.5 | Consulting Agreement, dated June 29, 2022, by and between Curis, Inc. and William E. Steinkrauss | 10-Q | 8/4/2022 | 10.1 | ||||||||||||||||||||||||||||||||||
#10.6 | Form of Indemnification Agreement, by and between Curis, Inc. and each non-employee director of the Board of Directors of Curis, Inc. | 10-Q | 8/7/2014 | 10.3 | ||||||||||||||||||||||||||||||||||
#10.7 | Curis 2010 Stock Incentive Plan | Def 14A | 4/16/2010 | Exhibit A | ||||||||||||||||||||||||||||||||||
#10.8 | Curis 2010 Employee Stock Purchase Plan | Def 14A | 4/16/2010 | Exhibit B | ||||||||||||||||||||||||||||||||||
#10.9 | Form of Incentive Stock Option Agreement for awards granted to named executive officers under Curis’ 2010 Stock Incentive Plan | 8-K | 6/4/2010 | 10.1 | ||||||||||||||||||||||||||||||||||
#10.10 | Form of Non-Statutory Stock Option Agreement for awards granted to directors and named executive officers under Curis’ 2010 Stock Incentive Plan | 8-K | 6/4/2010 | 10.2 | ||||||||||||||||||||||||||||||||||
#10.11 | Form of Restricted Stock Agreement for awards granted to directors and named executive officers under Curis’ 2010 Stock Incentive Plan | 8-K | 6/4/2010 | 10.3 | ||||||||||||||||||||||||||||||||||
#10.12 | Curis Amended and Restated 2010 Stock Incentive Plan, as amended | 8-K | 5/28/2015 | 99.1 | ||||||||||||||||||||||||||||||||||
#10.13 | Form of Incentive Stock Option Agreement for awards granted to named executive officers under Curis’ Amended and Restated 2010 Stock Incentive Plan, as amended | 10-K | 3/8/2018 | 10.21 | ||||||||||||||||||||||||||||||||||
#10.14 | Form of Non-Statutory Stock Option Agreement for awards granted to directors and named executive officers under Curis’ Amended and Restated 2010 Stock Incentive Plan, as amended | 10-K | 3/8/2018 | 10.22 | ||||||||||||||||||||||||||||||||||
#10.15 | Form of Restricted Stock Agreement for awards granted to directors and named executive officers under Curis’ Amended and Restated 2010 Stock Incentive Plan, as amended | 10-K | 3/8/2018 | 10.23 | ||||||||||||||||||||||||||||||||||
#10.16 | Form of Incentive Stock Option Agreement (Online Acceptance) for awards granted to named executive officers under Curis’ Amended and Restated 2010 Stock Incentive Plan | 10-K | 3/9/2017 | 10.21 | ||||||||||||||||||||||||||||||||||
#10.17 | Form of Nonstatutory Stock Option Agreement (Online Acceptance) granted to directors and named executive officers under Curis’ Amended and Restated 2010 Stock Incentive Plan | 10-K | 3/9/2017 | 10.22 | ||||||||||||||||||||||||||||||||||
#10.18 | Curis Second Amended and Restated 2010 Stock Incentive Plan | 8-K | 5/22/2017 | 99.1 |
Incorporated by Reference | ||||||||||||||||||||||||||||||||||||||
Exhibit No. | Description | Link to Filing | Form | SEC Filing Date | Exhibit Number | Filed with this Amendment | ||||||||||||||||||||||||||||||||
#10.19 | Form of Incentive Stock Option Agreement for awards granted to named executive officers under Curis’ Second Amended and Restated 2010 Stock Incentive Plan | 10-K | 3/8/2018 | 10.27 | ||||||||||||||||||||||||||||||||||
#10.20 | Form of Non-Statutory Stock Option Agreement for awards granted to directors and named executive officers under Curis’ Second Amended and Restated 2010 Stock Incentive Plan | 10-K | 3/8/2018 | 10.28 | ||||||||||||||||||||||||||||||||||
#10.21 | Form of Restricted Stock Agreement for awards granted to directors and named executive officers under Curis’ Second Amended and Restated 2010 Stock Incentive Plan | 10-K | 3/8/2018 | 10.29 | ||||||||||||||||||||||||||||||||||
#10.22 | Form of Nonstatutory Stock Option Agreement - Inducement Grant pursuant to Nasdaq Stock Market Rule 5635(c)(4) | S-8 | 1/6/2017 | 99.1 | ||||||||||||||||||||||||||||||||||
#10.23 | Curis Third Amended and Restated 2010 Stock Incentive Plan, as amended | 8-K | 6/10/2020 | 99.1 | ||||||||||||||||||||||||||||||||||
#10.24 | Form of Incentive Stock Option Agreement for awards granted to named executive officers under Curis’ Third Amended and Restated 2010 Stock Incentive Plan | 10-K | 2/24/2022 | 10.2 | ||||||||||||||||||||||||||||||||||
#10.25 | Form of Non-Statutory Stock Option Agreement for awards granted to directors and named executive officers under Curis’ Third Amended and Restated 2010 Stock Incentive Plan | 10-K | 2/24/2022 | 10.2 | ||||||||||||||||||||||||||||||||||
#10.26 | Curis Fourth Amended and Restated 2010 Stock Incentive Plan | 8-K | 6/2/2021 | 99.1 | ||||||||||||||||||||||||||||||||||
#10.27 | Curis Amended and Restated 2010 Employee Stock Purchase Plan, as amended | 10-K | 3/8/2018 | 10.31 | ||||||||||||||||||||||||||||||||||
Material contracts—Leases | ||||||||||||||||||||||||||||||||||||||
10.28 | Lease, dated December 5, 2019, by and between Curis, Inc. and 128 Spring Street Lexington, LLC relating to the premises at 128 Spring Street, Lexington, Massachusetts | 8-K | 12/6/2019 | 10.1 | ||||||||||||||||||||||||||||||||||
10.29 | First Amendment to Lease Agreement, dated January 27, 2022, by and between Curis, Inc. and 99 Hayden, LLC, successor-in-interest to 128 Spring Street Lexington, LLC | 8-K | 2/2/2022 | 10.1 | ||||||||||||||||||||||||||||||||||
Material contracts—Financing Agreements | ||||||||||||||||||||||||||||||||||||||
10.30 | Consent and Payment Direction Letter Agreement, dated November 20, 2012 and effective as of December 11, 2012 by and between Curis, Inc., Curis Royalty LLC and Genentech, Inc. | 10-K | 3/13/2013 | 10.32 | ||||||||||||||||||||||||||||||||||
10.31 | Consent and Payment Direction Letter Agreement, dated March 3, 2017 by and between Curis, Inc., Curis Royalty LLC and Genentech, Inc. | 10-K | 3/9/2017 | 10.28 | ||||||||||||||||||||||||||||||||||
††10.32 | Purchase and Sale Agreement, dated as of December 11, 2012 between Curis, Inc. and Curis Royalty LLC | 10-K | 3/13/2023 | 10.32 |
Incorporated by Reference | ||||||||||||||||||||||||||||||||||||||
Exhibit No. | Description | Link to Filing | Form | SEC Filing Date | Exhibit Number | Filed with this Amendment | ||||||||||||||||||||||||||||||||
†10.33 | Royalty Interest Purchase Agreement, dated March 22, 2019, by and between, Curis, Inc., Curis Royalty LLC, a wholly owned subsidiary of Curis, Inc., TPC Investments I LP and TPC Investments II LP | 10-K | 3/26/2019 | 10.40 | ||||||||||||||||||||||||||||||||||
10.34 | Security Agreement, dated March 22, 2019, by and between, Curis Royalty LLC, a wholly owned subsidiary of Curis, Inc., TPC Investments I LP and TPC Investments II LP | 10-K | 3/26/2019 | 10.41 | ||||||||||||||||||||||||||||||||||
10.35 | Pledge Agreement, dated March 22, 2019, by and between, Curis, Inc., TPC Investments I LP and TPC Investments II LP | 10-K | 3/26/2019 | 10.42 | ||||||||||||||||||||||||||||||||||
10.36 | Consent and Payment Direction Letter Agreement, dated March 22, 2019, by and between Curis, Inc., Curis Royalty LLC and Genentech, Inc. | 10-K | 3/26/2019 | 10.43 | ||||||||||||||||||||||||||||||||||
Material contracts—License and Collaboration Agreements | ||||||||||||||||||||||||||||||||||||||
†10.37 | Collaborative Research, Development and License Agreement, dated June 11, 2003, by and between Curis, Inc. and Genentech, Inc. | 10-Q | 8/6/2015 | 10.1 | ||||||||||||||||||||||||||||||||||
††10.38 | Collaboration, License and Option Agreement, dated January 18, 2015, by and between Curis, Inc. and Aurigene Discovery Technologies Limited | 10-K | 2/24/2022 | 10.36 | ||||||||||||||||||||||||||||||||||
††10.39 | First Amendment to Collaboration, License and Option Agreement, dated September 7, 2016, by and between Curis, Inc. and Aurigene Discovery Technologies Limited | 10-K | 2/24/2022 | 10.37 | ||||||||||||||||||||||||||||||||||
†10.40 | Second Amendment to Collaboration, License and Option Agreement, dated February 5, 2020, by and between Curis, Inc. and Aurigene Discovery Technologies Limited | 10-K | 1 | 3/19/2020 | 10.41 | |||||||||||||||||||||||||||||||||
†10.41 | Option and License Agreement, dated January 6, 2020 by and between Curis, Inc and ImmuNext, Inc. | 10-K | 3/19/2020 | 10.42 | ||||||||||||||||||||||||||||||||||
Material contracts—Miscellaneous | ||||||||||||||||||||||||||||||||||||||
10.42 | Common Stock Purchase Agreement, dated January 18, 2015, by and between Curis, Inc. and Aurigene Discovery Technologies Limited | 10-K | 2/24/2015 | 10.34 | ||||||||||||||||||||||||||||||||||
10.43 | Stock Purchase Agreement, dated September 7, 2016, by and between Curis, Inc. and Aurigene Discovery Technologies Limited | 10-Q | 11/3/2016 | 10.3 | ||||||||||||||||||||||||||||||||||
10.44 | Registration Rights Agreement, dated January 18, 2015, by and between Curis, Inc. and Aurigene Discovery Technologies Limited | 10-K | 2/24/2015 | 10.35 | ||||||||||||||||||||||||||||||||||
10.45 | Registration Rights Agreement, dated September 7, 2016, by and between Curis, Inc. and Aurigene Discovery Technologies Limited | 10-Q | 11/3/2016 | 10.4 | ||||||||||||||||||||||||||||||||||
10.46 | Form of Securities Purchase Agreement, dated June 11, 2020, by and among Curis, Inc. and the Purchasers named therein | 8-K | 6/11/2020 | 10.1 | ||||||||||||||||||||||||||||||||||
10.47 | Sales Agreement, dated March 16, 2021, by and among Curis, Inc., Cantor Fitzgerald & Co. and JonesTrading Institutional Services, LLC | S-3ASR | 3/16/2021 | 1.2 |
Incorporated by Reference | ||||||||||||||||||||||||||||||||||||||
Exhibit No. | Description | Link to Filing | Form | SEC Filing Date | Exhibit Number | Filed with this Amendment | ||||||||||||||||||||||||||||||||
Code of Conduct | ||||||||||||||||||||||||||||||||||||||
14 | Amended and Restated Code of Business Conduct and Ethics | 10-K | 3/13/2023 | 14 | ||||||||||||||||||||||||||||||||||
Additional Exhibits | ||||||||||||||||||||||||||||||||||||||
21 | Subsidiaries of Curis | 10-K | 3/13/2023 | 21 | ||||||||||||||||||||||||||||||||||
23.1 | Consent of PricewaterhouseCoopers LLP | 10-K | 3/13/2023 | 23.1 | ||||||||||||||||||||||||||||||||||
31.1 | Certification of the Chief Executive Officer pursuant to Rule 13a-14(a) of the Exchange Act/15d-14(a) of the Exchange Act | 10-K | 3/13/2023 | 31.1 | ||||||||||||||||||||||||||||||||||
31.2 | Certification of the Principal Financial Officer pursuant to Rule 13a-14(a) of the Exchange Act/15d-14(a) of the Exchange Act | 10-K | 3/13/2023 | 31.2 | ||||||||||||||||||||||||||||||||||
31.3 | Certification of the Chief Executive Officer pursuant to Rule 13a-14(a) of the Exchange Act/15d-14(a) of the Exchange Act | X | ||||||||||||||||||||||||||||||||||||
31.4 | Certification of the Principal Financial Officer pursuant to Rule 13a-14(a) of the Exchange Act/15d-14(a) of the Exchange Act | X | ||||||||||||||||||||||||||||||||||||
32.1 | Certification of the Chief Executive Officer pursuant to Rule 13a-14(b)/15d-14(b) of the Exchange Act and 18 U.S.C. Section 1350 | 10-K | 3/13/2023 | 32.1 | ||||||||||||||||||||||||||||||||||
32.2 | Certification of the Chief Financial Officer pursuant to Rule 13a-14(b)/15d-14(b) of the Exchange Act and 18 U.S.C. Section 1350 | 10-K | 3/13/2023 | 32.2 | ||||||||||||||||||||||||||||||||||
101.INS | InLine XBRL Instance Document | X | ||||||||||||||||||||||||||||||||||||
101.SCH | InLine XBRL Taxonomy Extension Schema Document | X | ||||||||||||||||||||||||||||||||||||
101.CAL | InLine XBRL Taxonomy Extension Calculation Linkbase Document | X | ||||||||||||||||||||||||||||||||||||
101.DEF | InLine XBRL Taxonomy Extension Definition Linkbase Document | X | ||||||||||||||||||||||||||||||||||||
101.LAB | InLine XBRL Taxonomy Extension Label Linkbase Document | X | ||||||||||||||||||||||||||||||||||||
101.PRE | InLine XBRL Taxonomy Extension Presentation Linkbase Document | X | ||||||||||||||||||||||||||||||||||||
104 | Cover Page Interactive Data File | X |
CURIS, INC. | ||||||||
By: | /s/ JAMES DENTZER | |||||||
James Dentzer President and Chief Executive Officer |