Table of Contents
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FIRST PAGE
TABLE OF CONTENTS
INTRODUCTORY NOTE
FORWARD-LOOKING STATEMENTS
INDUSTRY AND OTHER DATA
PART I
Item 1. Business
Item 1A. Risk Factors
Item 1B. Unresolved Staff Comments
Item 2. Properties
Item 3. Legal Proceedings
Item 4. Mine Safety Disclosures
PART II
Item 5. Market for Registrant's Common Equity, Related Stockholder Matters and Issue Purchases of Equity Securities
Item 6. Selected Financial Data
Item 7. Management's Discussion and Analysis of Financial Condition and Results of Operations
Item 7A. Quantitative and Qualitative Disclosures
Item 8. Financial Statements and Supplementary Data
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
CONSOLIDATED BALANCE SHEETS
CONSOLIDATED STATEMENTS OF OPERATIONS AND COMPREHENSIVE LOSS
CONSOLIDATED STATEMENTS OF STOCKHOLDERS’ EQUITY
CONSOLIDATED STATEMENT OF CASH FLOWS
NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS
NOTE 1. ORGANIZATION AND NATURE OF BUSINESS; BASIS OF PRESENTATION; PRINCIPLES OF CONSOLIDATION
NOTE 2. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES
NOTE 3. CONCENTRATION OF CREDIT RISK
NOTE 4. FAIR VALUE OF FINANCIAL INSTRUMENTS
NOTE 5. INVESTMENTS
NOTE 6. PROPERTY AND EQUIPMENT
NOTE 7. LICENSE AGREEMENTS AND GRANTS
NOTE 8. DEFERRED REVENUE AND INCOME
NOTE 9. STOCK PURCHASE
NOTE 10. PUBLIC OFFERING
NOTE 11. RIGHTS OFFERING
NOTE 12. RELATED PARTY TRANSACTION
NOTE 13. EARNINGS PER SHARE
NOTE 14. EMPLOYEE AND CONSULTANT EQUITY-BASED COMPENSATION
NOTE 15. INCOME TAXES
NOTE 16. COMMITMENTS
NOTE 17. SEGMENTS
NOTE 18. SUBSEQUENT EVENTS
NOTE 19. SUPPLEMENTAL DATA QUARTERLY FINANCIAL INFORMATION (UNAUDITED)
Item 9. Changes in and Disagreements with Accountants on Accounting and Financial Disclosure
Item 9A. Controls and Procedures
Item 9B. Other Information
PART III
Item 10. Directors, Executive Officers and Corporate Governance
Item 11. Executive Compensation
Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters
Item 13. Certain Relationships and Related Transactions, and Director Independence
Item 14. Principal Accounting Fees and Services
Item 15. Exhibits, Financial Statement Schedules
SIGNATURES
POWER OF ATTORNEY
EXHIBIT 21 - LIST OF SUBSIDIARIES
EXHIBIT 23.1 - CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
CERTIFICATIONS
FINAL PAGE