UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Emerging growth company [ ] Title of Each Class Trading Symbol(s) Name of each exchange on which registered Common Stock COCP The Nasdaq Stock Market LLC (The Nasdaq Capital Market) FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transi ...

Collaboration and Financials - Cocrystal recognized revenue of $6560000 in 2019 from the Merck collaboration and is eligible for up to $156 million in milestone payments and royalties[8] - As of January 31, 2020, Cocrystal had 52100000 common shares outstanding[59] - As of January 31, 2020, Cocrystal's fully diluted shares outstanding were 53307139[58] - As of December 31, 2019, Cocrystal had a cash balance of approximately $7400000[59] Hepatitis C (HCV) Program - In a Phase 2a study, 67% of subjects (8 out of 12) achieved both SVR12 and SVR24, considered a virologic cure, with a 6-week treatment regimen[29] - CC-31244 demonstrated a viral load decline of 3 logs by 48 hours in HCV GT1 subjects during Phase 1b data[22] - Approximately 71 million people are infected with Hepatitis C globally[15] - Only 2% of infected Hepatitis C patients are being treated[17] Influenza Program - The global influenza market was valued at nearly $5600000000 in 2017 and is expected to reach nearly $6500000000 by 2022[34] - Influenza causes 1 billion cases annually[34] - Influenza results in up to 650000 deaths worldwide annually[35] Coronavirus (COVID-19) Program - Cocrystal expects to initiate preclinical studies of COVID-19 inhibitors in H2 2020[11] - Cocrystal acquired exclusive patent rights and know-how for coronavirus therapeutics for human use from Kansas State University Research Foundation (KSURF)[9]

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Title of Each Class Trading Symbol(s) Name of each exchange on which registered Common Stock, par value $0.001 per share COCP The Nasdaq Stock Market LLC (The Nasdaq Capital Market) Large accelerated filer [ ] Accelerated filer [ ] Non-accelerated filer [X] Smaller reporting company [X] Emerging growth company [ ] FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended ...

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Large accelerated filer [ ] Accelerated filer [X] Non-accelerated filer [ ] Smaller reporting company [X] Emerging growth company [ ] Title of Each Class Trading Symbol(s) Name of each exchange on which registered Common Stock COCP The Nasdaq Stock Market LLC (The Nasdaq Capital Market) FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 ...

Financial Performance - Net income for the six months ended June 30, 2019, was approximately $1,456,000, compared to a net loss of approximately $2,897,000 for the same period in 2018 [156]. - Net cash provided by operating activities for the six months ended June 30, 2019, was $990,000, compared to net cash used of $4,171,000 for the same period in 2018 [157]. - The Company continues to incur losses, and achieving profitability depends on the successful development, approval, and commercialization of its product candidates [167]. Revenue and Collaboration - Collaboration revenue for the six months ended June 30, 2019, was $5,670,000, compared to $0 for the same period in 2018, primarily from the Merck Collaboration Agreement [143]. - The company entered into a Collaboration Agreement with Merck for the development of influenza A/B antiviral agents, with Merck funding the research and development [142]. - The Company is relying on continued collaboration with Merck, which is critical for its future progress [170]. Expenses - Research and development expenses for the six months ended June 30, 2019, were $1,969,000, remaining comparable to $1,997,000 for the same period in 2018 [145]. - General and administrative expenses for the six months ended June 30, 2019, were approximately $2,374,000, an increase of $169,000 from $2,205,000 for the same period in 2018 [148]. Cash Position and Funding - As of June 30, 2019, the company had approximately $7.2 million in cash on hand, which may not be sufficient to cover operating costs for the next 12 months [162]. - The company has not yet established a source of revenue sufficient to cover its operating costs and has incurred significant operating losses since inception [160]. - Management intends to fund future operations through additional private or public equity offerings, which may be dilutive to existing shareholders [167]. Clinical Development - The company has identified promising antiviral compounds for influenza, HCV, and norovirus infections, focusing on CC-31244 as a potential best-in-class treatment for HCV [134]. - The Phase 2a clinical study of CC-31244 for HCV treatment showed that 8 of 12 subjects achieved the primary efficacy endpoint of sustained virologic response at 12 weeks after treatment [136]. Risks and Accounting - There are risks associated with the availability of products manufactured by third parties and the ability of clinical research organizations to recruit subjects [170]. - The Company has disclosed critical accounting policies and estimates in its Annual Report on Form 10-K for the year ended December 31, 2018 [171].

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Large accelerated filer [ ] Accelerated filer [X] Non-accelerated filer [ ] Smaller reporting company [X] Emerging growth company [ ] Title of Each Class Trading Symbol(s) Name of each exchange on which registered Common Stock COCP The Nasdaq Stock Market LLC (The Nasdaq Capital Market) FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR [ ...

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2018 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-55158 Cocrystal Pharma, Inc. | --- | --- | |--------------------------------------------------------------------------------------------------|----------------------------- ...