UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 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: 001-38682 KODIAK SCIENCES INC. (Exact Name of Registrant as Specified in its Charter) Delaware 27-0476525 (State or o ...

Clinical Development - KSI-301 has been administered over 1,500 times to more than 400 patients, representing over 250 patient-years of clinical experience[83]. - The ongoing Phase 1b study continues to show promising safety, efficacy, and clinical durability data for KSI-301 in retinal diseases[84]. - The company has initiated two Phase 3 studies in DME (GLEAM and GLIMMER) and one Phase 3 study in RVO (BEACON) in the third quarter of 2020[91]. - The pivotal study for wet AMD (DAZZLE) completed U.S. patient enrollment in the third quarter of 2020, with EU recruitment expected to complete in Q4 2020[85]. - The company has expanded its clinical pivotal program for KSI-301 based on encouraging data from the Phase 1b study[85]. - The ongoing Phase 1b study has provided over 140 patient-years of clinical experience, with data supporting KSI-301's differentiated profile in terms of safety and efficacy[110]. - Improvements in vision and retinal anatomy have been observed through 44 weeks of follow-up in the Phase 1b study, with stability in OCT and BCVA over time[113]. - The average gain in BCVA for wet AMD patients from baseline to week 12 was 6.7 letters, with an improvement in OCT CST of 93 microns[117]. - 92% of wet AMD patients achieved a time to first retreatment of three months or longer, with 72% achieving a six-month treatment interval at least once during follow-up[122]. - In the diabetic macular edema (DME) cohort, 97% of patients went three months or longer before their first retreatment, with 79% achieving a six-month or longer treatment-free interval at least once[128]. - KSI-301 demonstrated a mean change in BCVA of 6.6 letters and a mean change in OCT CST of -132 microns in DME patients at week 44[131]. - In the retinal vein occlusion (RVO) cohort, patients experienced a mean improvement of 22.4 letters in BCVA and a decrease of 370 microns in OCT CST after three loading doses[133]. - 94% of RVO patients went two months or longer before their first retreatment, with 66% achieving a first interval of three months or longer[135]. - The ongoing DAZZLE study for wet AMD aims for a non-inferiority comparison to Eylea, with a primary endpoint at one year[145]. - The pivotal studies for KSI-301 have been optimized based on Phase 1b data, with enrollment expected to complete by the end of 2020[143]. - The company is conducting two Phase 3 studies, GLEAM and GLIMMER, with 450 treatment-naïve DME patients each, comparing KSI-301 and Eylea, with a primary endpoint of BCVA change at one year[150]. - In the BEACON study, 550 treatment-naïve RVO patients will be randomized to KSI-301 every 8 weeks or monthly Eylea, with a primary endpoint at six months and a non-inferiority margin of 4.5 letters[159]. Financial Position - As of September 30, 2020, the company has $380.5 million in cash, cash equivalents, and marketable securities, ensuring a strong financial position[90]. - The company remains well-capitalized and supported by long-term investors, allowing for flexibility in R&D and commercial decision-making[104]. - As of September 30, 2020, the company reported a net loss of $86.5 million for the nine months ended, with an accumulated deficit of $244.6 million[169]. - Research and development expenses for the three months ended September 30, 2020, were $29.3 million, compared to $10.1 million for the same period in 2019, reflecting an increase of 189%[178]. - General and administrative expenses for the nine months ended September 30, 2020, were $19.1 million, compared to $10.8 million for the same period in 2019[178]. - The company expects operating losses to increase significantly as it advances KSI-301 through clinical development and seeks regulatory approval[170]. - Operating activities used $56.4 million in cash for the nine months ended September 30, 2020, an increase of $28.6 million compared to 2019[195]. - Cash provided by financing activities increased by $100.7 million for the nine months ended September 30, 2020, due to proceeds from the sale of future royalties and stock option exercises[197]. - The company has not generated any product revenue since inception and relies on equity securities for funding operations[168]. - The company has not generated any product revenue and does not expect to until regulatory approval is obtained for its product candidates[189]. Manufacturing and Operations - A long-term manufacturing agreement with Lonza has been established, allowing for the production of millions of doses per year, with the facility expected to be completed in 2021[98]. - The company plans to continue using third-party CROs for clinical development and has invested in commercial manufacturing capacity[167]. - The ongoing COVID-19 pandemic may negatively impact the company's operations and capital resources, although it continues to advance its operations[192]. - The company aims to submit a single Biologics License Application (BLA) for KSI-301 in wet AMD, DME, and RVO in calendar year 2022[85]. - Kodiak aims to submit a single BLA for KSI-301 in wet AMD, DME, and RVO in 2022, with a supplemental BLA for diabetic retinopathy (GLOW) planned for 2023[105]. - The company has initiated two Phase 3 studies in DME (GLEAM and GLIMMER) and one Phase 3 study in RVO (BEACON), with high statistical power for non-inferiority (>90%) in these studies[98]. - The BEACON study design incorporates tighter disease activity assessment criteria compared to Phase 1b, aiming for high statistical power for non-inferiority (>90%)[162]. Corporate Developments - Kodiak's new U.S. headquarters spans approximately 82,662 square feet in Palo Alto, California, along with additional space in Switzerland for manufacturing support[98]. - The ABC Platform is being utilized to develop additional product candidates, including KSI-501, targeting high-prevalence ophthalmic diseases[88].

NASDAQ: KOD KODIAK.COM | --- | --- | --- | --- | --- | --- | --- | --- | --- | |-------|-------|-------------------------------------|--------------------------------------------|-------|-------|-------|-------|-------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | THE OPHTHALMOLOGY MEDICINES COMPANY | | | | | | | | | | | | | | | | | | | | | Corporate Presentation S ep t ember 2 02 0 | | | | | | 2 | --- ...

(Mark One) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 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: 001-38682 KODIAK SCIENCES INC. (Exact Name of Registrant as Specified in its Charter) (State or other jurisdictio ...

Extended Durability in Exudative Retinal Diseases Using the Novel Intravitreal Anti-VEGF Antibody Biopolymer Conjugate KSI-301 1 Update from Phase 1b Study in Patients with wAMD, DME and RVO Mark R. Barakat, MD Retinal Consultants of Arizona Phoenix, AZ American Society of Retina Specialists 2020 July 10, 2020 Disclosures 2 ▪ Financial: AlconC Kodiak SciencesC AllegroC GenentechBC AllerganC NovartisBC AlimeraC NeuBaseS Bausch and LombC Ocular TherapeutixC Clearside BiomedicalC OxurionS EyePoint Pharmaceutic ...

Financial Data and Key Metrics Changes - As of the end of Q1 2020, the company reported over $430 million in cash, cash equivalents, and marketable securities, with a net loss of $24.4 million, including non-cash expenses of approximately $6 million [8][15][9] - The monthly burn rate for the quarter was $6 million, indicating a strong financial position to support operations into 2022 [15][9] Business Line Data and Key Metrics Changes - The company plans to conduct two Phase 3 studies in Diabetic Macular Edema (DME) and one study in wet Age-related Macular Degeneration (AMD), along with one study in Retinal Vein Occlusion (RVO) and one in non-proliferative Diabetic Retinopathy (NPDR) [19][47] - The DAZZLE study has enrolled 245 patients as of May 8, 2020, with a robust recruitment rate prior to the pandemic [32][33] Market Data and Key Metrics Changes - The company is observing a shift in patient enrollment dynamics due to COVID-19, with a noted decline in overall ophthalmology outpatient visits but an increase in visits for anti-VEGF therapy [29][30] - The company expects to begin patient recruitment activities at certain sites in Europe in Q2 2020, contingent on local COVID-19 conditions [36] Company Strategy and Development Direction - The company aims for a single Biologics License Application (BLA) covering key retinal indications by 2022, with a focus on optimizing pivotal study designs and engaging with regulators [10][18] - The strategic shift to focus on DME studies is driven by the higher prevalence and unmet need in this area compared to RVO [22][50] Management's Comments on Operating Environment and Future Outlook - Management expressed confidence in the ongoing operations despite COVID-19, noting minimal disruption and continued patient enrollment in clinical trials [13][14] - The company remains committed to its 2022 Vision and is utilizing the additional time to enhance pivotal study plans [18][39] Other Important Information - The company has made significant additions to its Board of Directors, enhancing its expertise in pharmaceutical development and financial management [41] - The company received full registration of its trademarks with the U.S. Patent and Trademark Office, reinforcing its brand recognition in retinal disease treatment [42] Q&A Session Summary Question: How does the company view competition from additional biosimilars in the retinal market? - Management believes that KSI-301's differentiated profile will allow it to capture market share, even in the presence of biosimilars, by offering a better treatment option for patients [78][81] Question: What is the confidence level regarding the completion of enrollment for the AMD study? - Management noted that enrollment rates were robust prior to the pandemic and expect an increase as conditions improve, with a focus on maintaining a balanced approach to U.S. and ex-U.S. patient recruitment [92][94] Question: How sustainable is the current monthly burn rate? - The company indicated that the $6 million monthly burn rate is sustainable in the short term, but it will increase as new pivotal studies are initiated [114]

NASDAQ: KOD KODIAK.COM | --- | --- | --- | --- | --- | --- | --- | --- | --- | |-------|-------|----------------------------------------|-------------------|-------|-------|-------|-------|-------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | THE OPHTHALMOLOGY MEDICINES COMPANY | | | | | | | | | | First Quarter 2020 Business Highlights | M a y 12 , 2 02 0 | | | | | | | --- | --- | |------------------------------------------------------------------ ...

[PART I. FINANCIAL INFORMATION](index=5&type=section&id=PART%20I.%20FINANCIAL%20INFORMATION) [Item 1. Financial Statements (Unaudited)](index=5&type=section&id=Item%201.%20Financial%20Statements%20(Unaudited)) Unaudited Q1 2020 financial statements show total assets at **$443.0 million**, liabilities at **$115.4 million** from a royalty sale, and a **$24.4 million** net loss due to increased R&D expenses [Condensed Consolidated Balance Sheets](index=5&type=section&id=Condensed%20Consolidated%20Balance%20Sheets) Total assets increased to **$443.0 million** by March 31, 2020, driven by cash and marketable securities, while liabilities rose to **$115.4 million** due to a new royalty liability Condensed Consolidated Balance Sheet Highlights (in thousands) | Account | March 31, 2020 | December 31, 2019 | | :--- | :--- | :--- | | **Assets** | | | | Cash and cash equivalents | $226,456 | $211,797 | | Marketable securities | $203,937 | $136,380 | | **Total Assets** | **$443,042** | **$358,866** | | **Liabilities** | | | | Total current liabilities | $13,834 | $11,711 | | Liability related to sale of future royalties | $99,850 | $0 | | **Total Liabilities** | **$115,355** | **$13,507** | | **Total Stockholders' Equity** | **$327,687** | **$345,359** | [Condensed Consolidated Statements of Operations and Comprehensive Loss](index=6&type=section&id=Condensed%20Consolidated%20Statements%20of%20Operations%20and%20Comprehensive%20Loss) Net loss for Q1 2020 increased to **$24.4 million** (or **($0.54)** per share) from **$8.0 million** in Q1 2019, primarily due to higher R&D and G&A expenses Statement of Operations Summary (in thousands, except per share data) | Metric | Three Months Ended March 31, 2020 | Three Months Ended March 31, 2019 | | :--- | :--- | :--- | | Research and development | $20,170 | $5,723 | | General and administrative | $5,553 | $2,737 | | **Total operating expenses** | **$25,723** | **$8,460** | | Loss from operations | ($25,723) | ($8,460) | | **Net loss** | **($24,392)** | **($7,984)** | | Net loss per common share | ($0.54) | ($0.21) | [Condensed Consolidated Statements of Cash Flows](index=8&type=section&id=Condensed%20Consolidated%20Statements%20of%20Cash%20Flows) Q1 2020 saw **$17.9 million** cash used in operations and **$67.2 million** in investing, offset by **$99.8 million** from financing, resulting in a **$14.7 million** net cash increase Cash Flow Summary (in thousands) | Activity | Three Months Ended March 31, 2020 | Three Months Ended March 31, 2019 | | :--- | :--- | :--- | | Net cash used in operating activities | ($17,932) | ($7,207) | | Net cash used in investing activities | ($67,197) | ($23,872) | | Net cash provided by financing activities | $99,788 | $47 | | **Net increase (decrease) in cash** | **$14,659** | **($31,032)** | - The company received **$99.6 million** in net proceeds from the sale of future royalties, which was the primary source of cash from financing activities[24](index=24&type=chunk) [Notes to Unaudited Condensed Consolidated Financial Statements](index=9&type=section&id=Notes%20to%20Unaudited%20Condensed%20Consolidated%20Financial%20Statements) Notes detail liquidity, accounting policies, and key transactions, including **$430.4 million** in cash, a **$100.0 million** royalty funding agreement, and increased purchase obligations - The company believes its cash, cash equivalents, and marketable securities of **$430.4 million** as of March 31, 2020, are sufficient to fund operations for the next 12 months[27](index=27&type=chunk) - In February 2020, the company received **$100.0 million** from BBA in exchange for a capped 4.5% royalty on future net sales of KSI-301, recorded as a liability due to the significant related-party relationship[54](index=54&type=chunk)[55](index=55&type=chunk)[56](index=56&type=chunk) - Total cancelable and/or non-cancelable purchase obligations under service agreements increased to **$29.8 million** as of March 31, 2020, from **$4.7 million** at year-end 2019[50](index=50&type=chunk) - Total stock-based compensation expense for Q1 2020 was **$6.1 million**, a significant increase from **$1.2 million** in Q1 2019[64](index=64&type=chunk) [Management's Discussion and Analysis of Financial Condition and Results of Operations](index=15&type=section&id=Item%202.%20Management's%20Discussion%20and%20Analysis%20of%20Financial%20Condition%20and%20Results%20of%20Operations) Management discusses the **2022 Vision** for KSI-301 BLA submission, minimal COVID-19 impact on trials, and strengthened liquidity from a **$100 million** royalty payment and **$297.6 million** equity offering [Overview and Recent Developments](index=15&type=section&id=Overview%20and%20Recent%20Developments) Kodiak, a clinical-stage biopharmaceutical company, is advancing its **2022 Vision** for KSI-301 BLA submission in retinal diseases, with minimal COVID-19 impact on trials - The company's primary goal is the **"2022 Vision"**: submitting a single Biologics License Application (BLA) for KSI-301 in wet AMD, DME, and RVO in calendar year 2022[70](index=70&type=chunk) - Despite the COVID-19 pandemic, the pivotal DAZZLE study has seen minimal disruption, with patient missed visit rates below **5%** and continued new patient enrollment[76](index=76&type=chunk) - The company has optimized its pivotal program to conduct two Phase 3 studies in DME, one in wet AMD (DAZZLE), one in RVO, and one in non-proliferative DR, which is expected to minimize uncertainty related to COVID-19[72](index=72&type=chunk)[77](index=77&type=chunk) [Results of Operations](index=22&type=section&id=Results%20of%20Operations) Q1 2020 net loss increased to **$24.4 million** due to a **252%** rise in R&D expenses to **$20.2 million** and a **103%** increase in G&A expenses to **$5.6 million** Comparison of Results of Operations (in thousands) | Expense Category | Q1 2020 | Q1 2019 | Change ($) | Change (%) | | :--- | :--- | :--- | :--- | :--- | | Research and development | $20,170 | $5,723 | $14,447 | 252% | | General and administrative | $5,553 | $2,737 | $2,816 | 103% | | **Loss from operations** | **($25,723)** | **($8,460)** | **($17,263)** | **204%** | - KSI-301 program external expenses increased by **$10.5 million** year-over-year, mainly due to costs for the pivotal DAZZLE clinical study, which had enrolled over **200 patients** by March 31, 2020[109](index=109&type=chunk) - Payroll and personnel expenses within R&D increased by **$3.4 million** due to higher headcount and stock-based compensation[110](index=110&type=chunk) [Liquidity and Capital Resources](index=23&type=section&id=Liquidity%20and%20Capital%20Resources) As of March 31, 2020, Kodiak held **$430.4 million** in cash and equivalents, bolstered by a December 2019 offering and a **$100.0 million** royalty payment - The company had cash, cash equivalents, and marketable securities of **$430.4 million** as of March 31, 2020[115](index=115&type=chunk) - Primary sources of liquidity were a follow-on equity offering in December 2019 and an initial **$100.0 million** payment from a royalty funding agreement in February 2020[85](index=85&type=chunk)[86](index=86&type=chunk)[115](index=115&type=chunk) - Net cash used in operating activities increased to **$17.9 million** in Q1 2020 from **$7.2 million** in Q1 2019, driven by increased R&D and G&A expenses[123](index=123&type=chunk)[124](index=124&type=chunk) - Net cash from financing activities was **$99.8 million** in Q1 2020, primarily from the royalty sale proceeds, compared to just **$47 thousand** in Q1 2019[123](index=123&type=chunk)[126](index=126&type=chunk) [Quantitative and Qualitative Disclosures About Market Risk](index=26&type=section&id=Item%203.%20Quantitative%20and%20Qualitative%20Disclosures%20About%20Market%20Risk) No material changes to market risk disclosures were reported for the three months ended March 31, 2020 - There were no material changes to market risk disclosures during the quarter ended March 31, 2020[134](index=134&type=chunk) [Controls and Procedures](index=26&type=section&id=Item%204.%20Controls%20and%20Procedures) Management concluded disclosure controls and procedures were effective as of March 31, 2020, with no material changes to internal control over financial reporting - Management concluded that disclosure controls and procedures were effective as of March 31, 2020[136](index=136&type=chunk) - No changes in internal control over financial reporting occurred during the quarter that have materially affected, or are reasonably likely to materially affect, the controls[137](index=137&type=chunk) [PART II. OTHER INFORMATION](index=27&type=section&id=PART%20II.%20OTHER%20INFORMATION) [Legal Proceedings](index=27&type=section&id=Item%201.%20Legal%20Proceedings) The company is not involved in any pending legal claims or actions expected to materially affect its financial condition or operations - There are no pending claims or actions against the company that could have a material adverse effect on its results of operations or financial condition[140](index=140&type=chunk) [Risk Factors](index=27&type=section&id=Item%201A.%20Risk%20Factors) The company faces significant risks related to KSI-301's clinical success, regulatory approval, competition, complex manufacturing, financial losses, funding needs, and operational disruptions [Risks Related to Business, Financial Condition and Capital Requirements](index=27&type=section&id=Risks%20Related%20to%20Our%20Business,%20Financial%20Condition%20and%20Capital%20Requirements) The company, an early clinical-stage entity with no approved products, has an accumulated deficit of **$182.5 million** and requires substantial additional capital for future operations - The company is in the early clinical stage, has a limited operating history, no approved products, and has not generated any revenue[142](index=142&type=chunk) - The company has incurred significant net losses since inception, with an accumulated deficit of **$182.5 million** as of March 31, 2020, and expects these losses to continue and increase[143](index=143&type=chunk) - The company will require substantial additional capital to complete development and commercialization, and failure to obtain it could force delays, scaling back, or discontinuation of programs[152](index=152&type=chunk)[154](index=154&type=chunk) [Risks Related to Discovery, Development and Commercialization](index=30&type=section&id=Risks%20Related%20to%20the%20Discovery,%20Development%20and%20Commercialization%20of%20Our%20Product%20Candidates) Prospects depend heavily on KSI-301, facing risks of clinical trial delays (including from COVID-19), intense competition, and complex, single-source manufacturing challenges - The company's prospects are heavily dependent on a single product candidate, KSI-301, which is in the early stages of clinical development[156](index=156&type=chunk) - Clinical trials may be substantially delayed or fail due to difficulties in patient enrollment, which can be impacted by health epidemics like the COVID-19 outbreak[168](index=168&type=chunk)[177](index=177&type=chunk) - The company faces significant competition from major pharmaceutical companies with established, widely accepted products for retinal diseases, such as Roche, Regeneron, and Novartis[185](index=185&type=chunk) - Manufacturing of KSI-301 is highly complex, requires substantial lead time (at least **12 months** for new large-scale batches), and relies on single-source suppliers from multiple countries, magnifying supply chain risk[188](index=188&type=chunk)[191](index=191&type=chunk) [Risks Related to Regulatory Approval and Other Legal Compliance](index=40&type=section&id=Risks%20Related%20to%20Regulatory%20Approval%20and%20Other%20Legal%20Compliance%20Matters) Regulatory approval is lengthy and unpredictable, with no guarantee of success, and approved products face extensive ongoing compliance requirements and potential penalties - The regulatory approval process is lengthy, time-consuming, and inherently unpredictable, with no guarantee that any product candidate will ever obtain approval[209](index=209&type=chunk) - The company plans to conduct clinical trials outside the U.S., but there is a risk that regulatory authorities like the FDA will not accept the data from these trials[211](index=211&type=chunk) - Even if a product is approved, it will remain subject to extensive ongoing regulatory requirements for manufacturing, labeling, and marketing, with potential for withdrawal of approval or other penalties for non-compliance[214](index=214&type=chunk)[217](index=217&type=chunk) [Risks Related to Reliance on Third Parties](index=46&type=section&id=Risks%20Related%20to%20Our%20Reliance%20on%20Third%20Parties) Heavy reliance on third-party CROs and single-source CMOs (Lonza AG) for clinical trials and manufacturing creates significant control and supply chain risks - The company relies on third-party CROs to conduct clinical trials, which reduces control and could lead to delays or failures if these parties do not perform satisfactorily[239](index=239&type=chunk) - The company currently relies exclusively on a single third-party manufacturer, Lonza AG, for its materials and does not have redundant supply arrangements, creating significant supply chain risk[243](index=243&type=chunk)[246](index=246&type=chunk) - Reliance on third-party suppliers for key raw materials involves risks of limited control over pricing, availability, and quality, which could harm manufacturing ability[249](index=249&type=chunk) [Unregistered Sales of Equity Securities and Use of Proceeds](index=65&type=section&id=Item%202.%20Unregistered%20Sales%20of%20Equity%20Securities%20and%20Use%20of%20Proceeds) No unregistered sales of equity securities were reported during the period - None[337](index=337&type=chunk) [Other Information](index=65&type=section&id=Item%205.%20Other%20Information) No other information was reported for the period - None[340](index=340&type=chunk) [Exhibits](index=66&type=section&id=Item%206.%20Exhibits) This section lists exhibits filed with the Form 10-Q, including Sarbanes-Oxley certifications and XBRL data files - The report includes certifications from the CEO and CFO pursuant to Sarbanes-Oxley Sections 302 and 906, as well as XBRL filings[343](index=343&type=chunk)

NASDAQ: KOD KODIAK.COM | --- | --- | --- | --- | --- | --- | --- | --- | --- | |-------|-------|-------------------------------------|--------------------------------------|-------|-------|-------|-------|-------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | THE OPHTHALMOLOGY MEDICINES COMPANY | | | | | | | | | | | | | | | | | | | | | Corporate presentation M arch 2 02 0 | | | | | | | --- | --- | |-------------------------------- ...

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 ☐ 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: 001-38682 Securities registered pursuant to Section 12(b) of the Act: | Title of each class | Trading Symbol(s) | Name o ...