PART I. FINANCIAL INFORMATION This section provides the unaudited financial statements, management's discussion and analysis, and other financial disclosures [Financial Statements (Unaudited)](index=7&type=section&id=Item%201.%20Financial%20Statements%20%28Unaudited%29) The unaudited financial statements for Q1 2020 show an increased net loss and decreased total assets, reflecting R&D and cash flow changes [Condensed Consolidated Balance Sheets](index=7&type=section&id=Condensed%20Consolidated%20Balance%20Sheets) The balance sheets as of March 31, 2020, show decreased total assets and equity, primarily due to reduced cash and net loss Condensed Consolidated Balance Sheet Highlights (in thousands) | Account | March 31, 2020 | December 31, 2019 | | :--- | :--- | :--- | | **Assets** | | | | Cash and cash equivalents | $104,454 | $113,151 | | Total current assets | $120,716 | $128,017 | | Total assets | $135,967 | $143,745 | | **Liabilities & Equity** | | | | Total current liabilities | $15,385 | $14,755 | | Total liabilities | $26,985 | $25,846 | | Total stockholders' equity (deficit) | $108,982 | $117,899 | [Condensed Consolidated Statements of Operations and Comprehensive Loss](index=8&type=section&id=Condensed%20Consolidated%20Statements%20of%20Operations%20and%20Comprehensive%20Loss) The statements of operations show increased revenue but a wider net loss in Q1 2020 due to higher operating expenses Condensed Consolidated Statements of Operations (in thousands, except per share data) | Metric | Three months ended March 31, 2020 | Three months ended March 31, 2019 | | :--- | :--- | :--- | | Revenue from collaboration and licensing | $3,696 | $2,235 | | Research and development | $(11,526) | $(10,179) | | General and administrative | $(4,629) | $(2,711) | | Loss from operations | $(12,459) | $(10,655) | | Net loss | $(10,926) | $(9,329) | | Net loss per share — basic and diluted | $(0.43) | $(9.27) | [Condensed Consolidated Statements of Cash Flows](index=10&type=section&id=Condensed%20Consolidated%20Statements%20of%20Cash%20Flows) Cash flow statements show reduced cash used in operations but a net decrease in cash due to lower financing inflows in Q1 2020 Condensed Consolidated Statements of Cash Flows Highlights (in thousands) | Activity | Three months ended March 31, 2020 | Three months ended March 31, 2019 | | :--- | :--- | :--- | | Net cash used in operating activities | $(7,128) | $(12,056) | | Net cash used in investing activities | $(199) | $(400) | | Net cash provided by (used in) financing activities | $(1,284) | $35,157 | | Net increase (decrease) in cash, cash equivalents and restricted cash | $(8,611) | $22,701 | [Notes to Condensed Consolidated Financial Statements](index=11&type=section&id=Notes%20to%20Condensed%20Consolidated%20Financial%20Statements) The notes detail accounting policies, business nature, and financial commitments, including the impact of the COVID-19 pandemic - The company is a clinical-stage biopharmaceutical company developing immunotherapeutics based on its proprietary arenavirus platform for infectious diseases and cancers[30](index=30&type=chunk) - Management expects that its cash and cash equivalents as of May 14, 2020, will be sufficient to fund operations for at least the next **12 months**, though additional funding will be required to achieve long-term development and commercialization objectives[37](index=37&type=chunk)[38](index=38&type=chunk) - Under the Gilead agreement for HBV and HIV programs, the company received a **$10.0 million** upfront payment in 2018 and a **$4.0 million** milestone payment in Q1 2020. Revenue is recognized over the performance period. In Q1 2020, the company recognized **$3.7 million** in revenue from this agreement, including **$2.7 million** from cost reimbursements[76](index=76&type=chunk)[78](index=78&type=chunk)[79](index=79&type=chunk) - As of March 31, 2020, the company has total non-cancellable obligations of **$11.3 million** under contracts with Contract Manufacturing Organizations (CMOs), with **$8.5 million** due in the remainder of 2020[125](index=125&type=chunk) - The COVID-19 pandemic is impacting clinical trial enrollment, particularly the Phase 2 trial for HB-101. The company has taken mitigation steps, including applying for government support in Austria and implementing temporary salary reductions for officers, directors, and most employees[139](index=139&type=chunk) [Management's Discussion and Analysis of Financial Condition and Results of Operations](index=35&type=section&id=Item%202.%20Management%27s%20Discussion%20and%20Analysis%20of%20Financial%20Condition%20and%20Results%20of%20Operations) Management discusses the company's financial performance, liquidity, and operational progress, highlighting the impact of the COVID-19 pandemic [Overview](index=35&type=section&id=Overview) This overview details the company's clinical-stage programs, strategic partnerships, and the operational impact of the COVID-19 pandemic - Lead infectious disease candidate HB-101 is in a Phase 2 trial for CMV, but enrollment has been suspended at nearly all trial sites due to the COVID-19 pandemic[143](index=143&type=chunk) - Lead oncology candidate HB-201 is in a Phase 1/2 trial for HPV16+ cancers, with preliminary results expected in late 2020 or early 2021. An IND application for HB-202 is planned for the first half of 2020[144](index=144&type=chunk) - The company has taken measures to preserve liquidity due to COVID-19, including officers and directors waiving at least **25%** of their cash salaries and most employees agreeing to a temporary **20%** salary reduction for Q2 2020[151](index=151&type=chunk) [Results of Operations](index=43&type=section&id=Results%20of%20Operations) Results of operations show increased revenue but a wider net loss in Q1 2020, driven by higher R&D and G&A expenses Comparison of Results of Operations (in thousands) | Metric | Three months ended March 31, 2020 | Three months ended March 31, 2019 | | :--- | :--- | :--- | | Revenue from collaboration and licensing | $3,696 | $2,235 | | Research and development | $(11,526) | $(10,179) | | General and administrative | $(4,629) | $(2,711) | | Loss from operations | $(12,459) | $(10,655) | | Net loss | $(10,926) | $(9,329) | Research and Development Expenses by Program (in thousands) | Program | Three months ended March 31, 2020 | Three months ended March 31, 2019 | | :--- | :--- | :--- | | HB-101 | $1,345 | $1,201 | | HB-201/202 | $1,954 | $3,066 | | Gilead partnered programs | $1,665 | $758 | | Other and earlier-stage programs | $1,909 | $2,497 | | **Sub-total direct expenses** | **$6,873** | **$7,522** | | **Internal research and development expenses** | **$4,653** | **$2,657** | | **Total research and development expenses** | **$11,526** | **$10,179** | [Liquidity and Capital Resources](index=45&type=section&id=Liquidity%20and%20Capital%20Resources) The company's liquidity is supported by **$104.9 million** in cash, expected to fund operations for 12 months, with long-term financing required - As of March 31, 2020, the company had cash, cash equivalents and restricted cash of **$104.9 million**[184](index=184&type=chunk) - The company expects its existing cash and cash equivalents will be sufficient to fund operating expenses and capital expenditure requirements for at least the next **12 months**[198](index=198&type=chunk) Summary of Cash Flows (in thousands) | Activity | Three months ended March 31, 2020 | Three months ended March 31, 2019 | | :--- | :--- | :--- | | Net cash used in operating activities | $(7,128) | $(12,056) | | Net cash used in investing activities | $(199) | $(400) | | Net cash provided by (used in) financing activities | $(1,284) | $35,157 | Contractual Obligations as of March 31, 2020 (in thousands) | Commitment | Total | Less Than 1 Year | 1 - 3 Years | 4 - 5 Years | | :--- | :--- | :--- | :--- | :--- | | Lease commitments | $7,380 | $1,952 | $3,848 | $1,580 | | CMO commitments | $11,294 | $8,463 | $2,831 | $— | | Debt obligations | $5,912 | $— | $3,577 | $2,335 | | **Total** | **$24,586** | **$10,415** | **$10,256** | **$3,915** | [Quantitative and Qualitative Disclosures About Market Risk](index=51&type=section&id=Item%203.%20Quantitative%20and%20Qualitative%20Disclosures%20About%20Market%20Risk) The company's market risk primarily stems from foreign currency exchange rates and interest rate fluctuations, though the latter is not material - The company's primary market risks are related to foreign currency exchange rates (specifically the euro) and changes in interest rates on its cash and cash equivalents[215](index=215&type=chunk) [Controls and Procedures](index=51&type=section&id=Item%204.%20Controls%20and%20Procedures) Management concluded disclosure controls were effective as of March 31, 2020, having remediated prior material weaknesses - Management concluded that the company's disclosure controls and procedures were effective at a reasonable assurance level as of March 31, 2020[220](index=220&type=chunk) - During Q1 2020, the company completed the remediation of two material weaknesses identified in 2017 and 2018 related to insufficient accounting resources and inadequate segregation of duties[221](index=221&type=chunk)[222](index=222&type=chunk)[223](index=223&type=chunk) PART II. OTHER INFORMATION This section provides disclosures on legal proceedings, risk factors, equity sales, and other miscellaneous information [Legal Proceedings](index=54&type=section&id=Item%201.%20Legal%20Proceedings) The company is not currently involved in any material legal proceedings - The company is not currently involved in any material legal proceedings[227](index=227&type=chunk) [Risk Factors](index=54&type=section&id=Item%201A.%20Risk%20Factors) This section details new risk factors, primarily the adverse effects of the COVID-19 pandemic on clinical trials and operations - A new risk factor has been added detailing the adverse effects of the COVID-19 pandemic on the business[228](index=228&type=chunk) - Key impacts of COVID-19 include: - Suspension of patient enrollment in the HB-101 Phase 2 trial - Potential delays in manufacturing and supply chain due to third-party disruptions - Slower response times from regulatory agencies like the FDA - Increased cybersecurity risk and potential productivity impacts from remote work[229](index=229&type=chunk)[231](index=231&type=chunk)[232](index=232&type=chunk) [Unregistered Sales of Equity Securities and Use of Proceeds](index=58&type=section&id=Item%202.%20Unregistered%20Sales%20of%20Equity%20Securities%20and%20Use%20of%20Proceeds) This section reports no unregistered equity sales in Q1 2020 and updates on the use of **$74.6 million** IPO proceeds - There were no unregistered sales of equity securities in Q1 2020[236](index=236&type=chunk) - The company received net proceeds of **$74.6 million** from its April 2019 IPO. There has been no material change in the planned use of these proceeds[237](index=237&type=chunk)[238](index=238&type=chunk)[239](index=239&type=chunk) [Defaults Upon Senior Securities](index=58&type=section&id=Item%203.%20Defaults%20Upon%20Senior%20Securities) There were no defaults upon senior securities reported - None[240](index=240&type=chunk) [Mine Safety Disclosures](index=58&type=section&id=Item%204.%20Mine%20Safety%20Disclosures) This section is not applicable to the company's operations - Not applicable[241](index=241&type=chunk) [Other Information](index=58&type=section&id=Item%205.%20Other%20Information) This section contains no other material information - Not applicable[242](index=242&type=chunk) [Exhibits](index=59&type=section&id=Item%206.%20Exhibits) This section lists the exhibits filed with the Quarterly Report on Form 10-Q, including officer certifications and XBRL data - The exhibits filed with the report include officer certifications pursuant to the Sarbanes-Oxley Act and XBRL data files[245](index=245&type=chunk)

HOOKIPA Pharma Inc. (NASDAQ:HOOK) Q4 2019 Earnings Conference Call March 19, 2020 8:00 AM ET Company Participants Matthew Beck - Executive Director, Investor Relations Joern Aldag - CEO Reinhard Kandera - CFO Igor Matushansky - CMO Roman Necina - CTO Conference Call Participants Andrew Berens - SVB Leerink Alec Stranahan - Bank of America Brian Abrahams - RBC Capital Markets Suzanne van Voorthuizen - Kempen Operator Good morning, and thank you for joining the HOOKIPA Pharma Fourth Quarter and Full Year 2019 ...

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001‑38869 HOOKIPA PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 81‑5395687 (State of Other Jurisdiction of incorporation or Organizat ...

Company Strategy & Pipeline - HOOKIPA aims to overcome immune system underperformance with immunotherapies to prevent or cure infectious diseases and cancer[3] - The company's strategy involves achieving patient proof of concept by 2020, expanding the platform by 2024, and marketing therapeutics by 2027[9, 10] - HOOKIPA's pipeline includes HB-101 for CMV, HBV and HIV therapies, HB-201 and HB-202 for HPV16+ cancers, and HB-301 for prostate cancer, with anticipated milestones including preliminary data for HB-101 in H1 2020 and IND for HB-201 in H1 2019[11] Technology & Immunogenicity - Arenavirus technology can trigger >50% antigen-specific CD8+ T cells, demonstrating superior potency compared to other technologies[15] - HB-101 Phase 1 trial showed robust CD8+ and CD4+ T cell and CMV-neutralizing antibody responses, with no meaningful vector-neutralizing antibodies and a well-tolerated profile[23] - In the HB-101 Phase 1 trial, dose-dependent, durable CMV phosphoprotein 65 (pp65) specific CD8+ T cells were observed following 3 injections[25] Clinical Trials & Applications - HB-101 Phase 2 CMV trial is ongoing in solid organ transplantation patients, aiming for >50% reduction of viremia rate[29] - TheraT® can turn "cold" tumors "hot", with stronger tumor infiltration by cytotoxic T cells than adenovirus[32] - Pre-clinical trials show that sequential administration of TheraT® (PICV) & TheraT® (LCMV) increased anti-tumor activity and survival compared to single administration[43] Financials - For the nine months ended September 30, 2019, HOOKIPA reported $8.3 million in revenue from collaboration & licensing, R&D expenses of $35.1 million, G&A expenses of $11.1 million, and a net loss of $32.8 million[52] - As of September 30, 2019, HOOKIPA had $124.0 million in cash, cash equivalents and restricted cash, total assets of $152.0 million, total liabilities of $26.3 million, and equity and convertible preferred stock of $125.8 million[53]

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ________________ to ________________. Commission File Number: 001‑38869 HOOKIPA PHARMA INC. (Exact Name of Registrant as Specified in its ...

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION HOOKIPA PHARMA INC. WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ________________ to ________________. Commission File Number: 001‑38869 (Exact Name of Registrant as Specified in its Chart ...

PART I. FINANCIAL INFORMATION [Item 1. Financial Statements](index=7&type=section&id=Item%201.%20Financial%20Statements) This section presents HOOKIPA Pharma Inc.'s unaudited condensed consolidated financial statements, including balance sheets, statements of operations, cash flows, and notes, for Q1 2019 and 2018 [Condensed Consolidated Balance Sheets](index=7&type=section&id=Condensed%20Consolidated%20Balance%20Sheets) Total assets significantly increased to **$102.0 million** by March 31, 2019, driven by cash, while liabilities and stockholders' deficit also grew Condensed Consolidated Balance Sheets (in thousands) | | March 31, 2019 | December 31, 2018 | | :--- | :--- | :--- | | **Assets** | | | | Cash and cash equivalents | $70,508 | $48,580 | | Total current assets | $84,903 | $62,311 | | Total assets | $101,980 | $68,251 | | **Liabilities and Stockholders' Equity (Deficit)** | | | | Total current liabilities | $15,094 | $14,695 | | Total liabilities | $29,989 | $23,852 | | Redeemable convertible preferred stock | $142,048 | $104,774 | | Total stockholders' deficit | ($70,057) | ($60,375) | [Condensed Consolidated Statements of Operations](index=8&type=section&id=Condensed%20Consolidated%20Statements%20of%20Operations) Q1 2019 saw the first revenue of **$2.2 million** from collaboration, but operating expenses more than doubled, leading to a **$9.3 million** net loss Condensed Consolidated Statements of Operations (in thousands) | | Three months ended March 31, 2019 | Three months ended March 31, 2018 | | :--- | :--- | :--- | | Revenue from collaboration and licensing | $2,235 | $0 | | Research and development | ($10,179) | ($4,969) | | General and administrative | ($2,711) | ($1,480) | | **Loss from operations** | **($10,655)** | **($6,449)** | | **Net loss** | **($9,329)** | **($4,573)** | | Net loss per share—basic and diluted | ($9.27) | ($5.02) | [Condensed Consolidated Statements of Cash Flows](index=10&type=section&id=Condensed%20Consolidated%20Statements%20of%20Cash%20Flows) Net cash used in operations increased to **$12.1 million** in Q1 2019, while financing activities provided **$35.2 million**, resulting in a **$22.7 million** cash increase Condensed Consolidated Statements of Cash Flows (in thousands) | | Three months ended March 31, 2019 | Three months ended March 31, 2018 | | :--- | :--- | :--- | | Net cash used in operating activities | ($12,056) | ($4,972) | | Net cash used in investing activities | ($400) | ($262) | | Net cash provided by financing activities | $35,157 | $6,879 | | **Net increase in cash and cash equivalents** | **$22,701** | **$1,645** | [Notes to Condensed Consolidated Financial Statements](index=11&type=section&id=Notes%20to%20Condensed%20Consolidated%20Financial%20Statements) These notes detail accounting policies, the Gilead collaboration, Series D Preferred Stock issuance, and the subsequent **$74.8 million** IPO proceeds - The company is a **clinical-stage biopharmaceutical firm** developing immunotherapeutics for infectious diseases and cancers using its proprietary arenavirus platform[26](index=26&type=chunk) - In June 2018, the company entered a collaboration with Gilead Sciences, Inc. for HBV and HIV vaccine programs, receiving a **$10.0 million upfront payment** and recognizing **$2.2 million** revenue in Q1 2019[60](index=60&type=chunk)[61](index=61&type=chunk)[146](index=146&type=chunk) - In February 2019, the company issued 257,000 shares of Series D Preferred Stock for gross proceeds of **$37.4 million**[82](index=82&type=chunk) - Subsequent to quarter end, on April 23, 2019, the company closed its IPO of 6,000,000 shares at **$14.00 per share**, receiving net proceeds of approximately **$74.8 million**[115](index=115&type=chunk) [Management's Discussion and Analysis of Financial Condition and Results of Operations](index=33&type=section&id=Item%202.%20Management's%20Discussion%20and%20Analysis%20of%20Financial%20Condition%20and%20Results%20of%20Operations) Management discusses Q1 2019 financial performance, highlighting **$2.2 million** revenue from Gilead, increased R&D, and strong liquidity bolstered by the IPO [Results of Operations](index=39&type=section&id=Results%20of%20Operations) Q1 2019 revenue reached **$2.2 million** from Gilead, but R&D expenses rose to **$10.2 million**, widening the net loss to **$9.3 million** Comparison of Results of Operations (in thousands) | | Three months ended March 31, 2019 | Three months ended March 31, 2018 | | :--- | :--- | :--- | | Revenue from collaboration and licensing | $2,235 | $0 | | Research and development | ($10,179) | ($4,969) | | General and administrative | ($2,711) | ($1,480) | | **Net loss** | **($9,329)** | **($4,573)** | - The increase in R&D expenses was primarily driven by preparation costs for clinical trials for the **HB-201 and HB-202 oncology programs** and expansion of earlier-stage programs[147](index=147&type=chunk) [Liquidity and Capital Resources](index=41&type=section&id=Liquidity%20and%20Capital%20Resources) As of March 31, 2019, the company had **$70.5 million** in cash, further strengthened by **$74.8 million** net IPO proceeds, expected to fund operations for 12+ months - As of March 31, 2019, the company had cash and cash equivalents of **$70.5 million**[156](index=156&type=chunk) - In April 2019, the company completed its IPO, raising net proceeds of **$74.8 million**[121](index=121&type=chunk)[156](index=156&type=chunk) - Existing cash and cash equivalents are expected to fund operating expenses and capital expenditure requirements for at least the **next 12 months**[168](index=168&type=chunk) Contractual Obligations as of March 31, 2019 (in thousands) | | Total | Remainder of 2019 | 2020 - 2021 | 2022 - 2023 | Thereafter | | :--- | :--- | :--- | :--- | :--- | :--- | | Lease commitments | $9,032 | $1,351 | $3,790 | $3,753 | $138 | | CMO commitments | $14,588 | $5,929 | $8,659 | $0 | $0 | | Debt obligations | $8,151 | $0 | $2,125 | $3,646 | $2,380 | | **Total** | **$31,771** | **$7,280** | **$14,574** | **$7,399** | **$2,518** | [Quantitative and Qualitative Disclosures About Market Risk](index=50&type=section&id=Item%203.%20Quantitative%20and%20Qualitative%20Disclosures%20About%20Market%20Risk) The company faces market risks primarily from foreign currency exchange rates (USD vs. EUR) and minor interest rate fluctuations - The company's primary market risks are related to **foreign currency exchange rates (USD vs. EUR)** and changes in interest rates[188](index=188&type=chunk) [Controls and Procedures](index=50&type=section&id=Item%204.%20Controls%20and%20Procedures) Disclosure controls were ineffective as of March 31, 2019, due to material weaknesses in accounting resources and segregation of duties, with remediation underway - Management concluded that disclosure controls and procedures were **not effective** as of March 31, 2019[191](index=191&type=chunk) - Two **material weaknesses** were identified: 1) insufficient resources with appropriate accounting knowledge and experience, and 2) insufficient segregation of duties in finance and accounting[192](index=192&type=chunk)[196](index=196&type=chunk) - The company is implementing measures to remediate these weaknesses, including hiring additional qualified accounting personnel and formalizing internal controls[194](index=194&type=chunk) PART II. OTHER INFORMATION [Legal Proceedings](index=52&type=section&id=Item%201.%20Legal%20Proceedings) The company is not currently involved in any material legal proceedings - As of the reporting date, the company is **not involved in any material legal proceedings**[198](index=198&type=chunk) [Risk Factors](index=52&type=section&id=Item%201A.%20Risk%20Factors) Significant risks include clinical-stage financial needs, reliance on its novel platform and third parties, regulatory complexities, IP protection, and internal control weaknesses - Financial risks include a history of **significant losses**, the need for substantial additional financing, and the possibility of never achieving profitability[200](index=200&type=chunk)[205](index=205&type=chunk) - Business and industry risks involve the potential failure of its **single clinical-stage product candidate (HB-101)**, the novelty of its TheraT technology, and challenges in patient enrollment and market acceptance[218](index=218&type=chunk)[240](index=240&type=chunk)[248](index=248&type=chunk) - The company is highly dependent on its **collaboration with Gilead** for HIV and HBV programs and relies on third-party CROs and CMOs for clinical trials and manufacturing[284](index=284&type=chunk)[297](index=297&type=chunk)[301](index=301&type=chunk) - Risks related to stock ownership include **stock price volatility** and the identification of **material weaknesses in internal control** over financial reporting, which could adversely affect investor confidence[397](index=397&type=chunk)[420](index=420&type=chunk) [Unregistered Sales of Equity Securities and Use of Proceeds](index=131&type=section&id=Item%202.%20Unregistered%20Sales%20of%20Equity%20Securities%20and%20Use%20of%20Proceeds) In February 2019, **$37.4 million** was raised from Series D preferred stock, and the April 2019 IPO generated **$74.8 million** net proceeds, unused as of quarter-end - In February 2019, the company raised **$37.4 million** from the sale of Series D preferred stock[428](index=428&type=chunk) - The company's IPO in April 2019 generated net proceeds of **$74.8 million**. No proceeds were used as of the quarter's end[429](index=429&type=chunk)[430](index=430&type=chunk)[431](index=431&type=chunk) [Defaults Upon Senior Securities](index=131&type=section&id=Item%203.%20Defaults%20Upon%20Senior%20Securities) The company reports no defaults upon senior securities [Mine Safety Disclosures](index=131&type=section&id=Item%204.%20Mine%20Safety%20Disclosures) This item is not applicable to the company [Other Information](index=131&type=section&id=Item%205.%20Other%20Information) This item is not applicable to the company [Exhibits](index=132&type=section&id=Item%206.%20Exhibits) This section lists exhibits filed with the Quarterly Report on Form 10-Q, including governance documents and officer certifications