| | |
每股
|
| |
合計
|
| ||||||
首次公開募股價格
|
| | | $ | 12.00 | | | | | $ | 45,217,392 | | |
承保折扣和佣金(1)
|
| | | $ | 0.84 | | | | | $ | 3,165,217 | | |
未扣除費用的收益
|
| | | $ | 11.16 | | | | | $ | 42,052,175 | | |
| | |
第
頁
|
| |||
招股説明書摘要
|
| | | | 1 | | |
產品
|
| | | | 7 | | |
彙總合併財務數據
|
| | | | 9 | | |
風險因素
|
| | | | 11 | | |
有關前瞻性陳述的特別説明
|
| | | | 65 | | |
收益使用情況
|
| | | | 67 | | |
股利政策
|
| | | | 68 | | |
大寫
|
| | | | 69 | | |
稀釋
|
| | | | 71 | | |
選定的合併財務數據
|
| | | | 73 | | |
管理層對財務狀況和經營成果的討論和分析
|
| | | | 75 | | |
業務
|
| | | | 90 | | |
管理
|
| | | | 130 | | |
高管薪酬
|
| | | | 141 | | |
某些關係和關聯方交易
|
| | | | 153 | | |
主要股東
|
| | | | 156 | | |
股本説明
|
| | | | 160 | | |
有資格未來出售的股票
|
| | | | 165 | | |
美國聯邦所得税對非美國持有者的重大後果
|
| | | | 168 | | |
承銷
|
| | | | 172 | | |
法律事務
|
| | | | 176 | | |
專家
|
| | | | 177 | | |
在哪裏可以找到更多信息
|
| | | | 178 | | |
合併財務報表索引
|
| | | | F-1 | | |
| | |
截至2010年12月31日的年度
|
| |
截至6月30日的6個月
|
| ||||||||||||||||||
(千,不包括每股和每股數據)
|
| |
2019
|
| |
2020
|
| |
2020
|
| |
2021
|
| ||||||||||||
合併報表數據: | | | | | | | | | | | | | | | | | | | | | | | | | |
運營費用: | | | | | | | | | | | | | | | | | | | | | | | | | |
研發
|
| | | $ | 14,379 | | | | | $ | 12,887 | | | | | $ | 6,201 | | | | | $ | 9,324 | | |
一般和行政
|
| | | | 3,452 | | | | | | 4,520 | | | | | | 2,625 | | | | | | 2,243 | | |
總運營費用
|
| | | | 17,831 | | | | | | 17,407 | | | | | | 8,826 | | | | | | 11,567 | | |
運營損失
|
| | | | (17,831) | | | | | | (17,407) | | | | | | (8,826) | | | | | | (11,567) | | |
其他收入(費用): | | | | | | | | | | | | | | | | | | | | | | | | | |
贈款收入
|
| | | | 13,164 | | | | | | 10,855 | | | | | | 4,954 | | | | | | 9,338 | | |
衍生負債公允價值變動
|
| | | | (231) | | | | | | 18 | | | | | | 247 | | | | | | 2,209 | | |
權證負債公允價值變動
|
| | | | (7) | | | | | | 181 | | | | | | 32 | | | | | | — | | |
未來股權簡易協議的公允價值變動
|
| | | | — | | | | | | — | | | | | | — | | | | | | (1,044) | | |
其他收入,淨額
|
| | | | 1,087 | | | | | | 394 | | | | | | 258 | | | | | | 248 | | |
債務清償收益(虧損)
|
| | | | — | | | | | | (129) | | | | | | (129) | | | | | | 443 | | |
利息費用淨額
|
| | | | (1,024) | | | | | | (1,751) | | | | | | (716) | | | | | | (894) | | |
其他收入(費用)合計,淨額
|
| | | | 12,989 | | | | | | 9,568 | | | | | | 4,646 | | | | | | 10,300 | | |
淨虧損
|
| | | | (4,842) | | | | | | (7,839) | | | | | | (4,180) | | | | | | (1,267) | | |
累計優先股股息
|
| | | | (3,920) | | | | | | (4,234) | | | | | | (2,106) | | | | | | (2,467) | | |
普通股股東應佔淨虧損
|
| | | $ | (8,762) | | | | | $ | (12,073) | | | | | $ | (6,286) | | | | | $ | (3,734) | | |
普通股股東每股基本和攤薄淨虧損
|
| | | $ | (18.66) | | | | | $ | (23.76) | | | | | $ | (13.13) | | | | | $ | (6.53) | | |
加權平均已發行普通股、基本普通股和稀釋後普通股(1)
|
| | | | 469,706 | | | | | | 508,112 | | | | | | 478,751 | | | | | | 571,921 | | |
普通股股東、基本和稀釋的預計每股虧損(2)
|
| | | | | | | | | $ | (0.36) | | | | | | | | | | | $ | (0.09) | | |
預計加權-已發行普通股、基本普通股和稀釋後普通股的平均(2)
|
| | | | | | | | | | 17,577,003 | | | | | | | | | | | | 17,560,144 | | |
| | |
截至12月31日
|
| |
截至6月30日
|
| ||||||||||||
(千)
|
| |
2019
|
| |
2020
|
| |
2021
|
| |||||||||
合併資產負債表數據: | | | | | | | | | | | | | | | | | | | |
現金和現金等價物
|
| | | $ | 2,890 | | | | | $ | 5,189 | | | | | $ | 11,300 | | |
營運資金(1)
|
| | | | 3,477 | | | | | | 3,658 | | | | | | 8,459 | | |
總資產
|
| | | | 7,459 | | | | | | 7,119 | | | | | | 17,289 | | |
未來股權的簡單協議
|
| | | | — | | | | | | — | | | | | | 9,986 | | |
衍生負債
|
| | | | 1,493 | | | | | | 2,209 | | | | | | — | | |
保修責任
|
| | | | 181 | | | | | | — | | | | | | — | | |
可轉換票據,淨額
|
| | | | 6,897 | | | | | | 12,409 | | | | | | — | | |
總負債
|
| | | | 12,954 | | | | | | 19,933 | | | | | | 16,210 | | |
可轉換優先股
|
| | | | 52,927 | | | | | | 55,370 | | | | | | 84,761 | | |
累計虧損
|
| | | | (58,239) | | | | | | (68,220) | | | | | | (83,555) | | |
股東虧損總額
|
| | | | (58,422) | | | | | | (68,184) | | | | | | (83,682) | | |
| | |
截至2021年6月30日
|
| |||||||||||||||
| | |
實際
|
| |
形式(1)
|
| |
形式
調整後(2) |
| |||||||||
| | |
(除每股和每股數據外,以千為單位)
|
| |||||||||||||||
現金和現金等價物
|
| | | $ | 11,300 | | | | | $ | 11,300 | | | | | $ | 50,252 | | |
未來股權的簡單協議
|
| | | | 9,986 | | | | | | — | | | | | | — | | |
A系列可轉換優先股,每股面值0.001美元,2021年6月30日授權發行的3,067,519股,截至2021年6月30日實際發行和發行的2,819,027股;截至2021年6月30日的清算優先股為4,955美元;沒有授權、發行和發行的股份,預計和調整後的預計數量
|
| | | | 4,616 | | | | | | — | | | | | | — | | |
A-1系列可轉換優先股,每股面值0.001美元,2021年6月30日授權發行3970,776股,截至2021年6月30日實際發行和發行3,730,366股;截至2021年6月30日清算優先股為5,794美元;沒有授權、發行和發行股份,預計和調整後的預計數量
|
| | | | 5,398 | | | | | | — | | | | | | — | | |
A-2系列可轉換優先股,每股票面價值0.001美元,2021年6月30日授權發行的3,565,063股,截至2021年6月30日實際發行和發行的3,565,063股;截至2021年6月30日的清算優先權為6,235美元;沒有授權、發行和發行的股份,預計和調整後的預計數量
|
| | | | 5,809 | | | | | | — | | | | | | — | | |
B系列可轉換優先股,每股票面價值0.001美元,截至2021年6月30日已發行和已發行股票30,409,890股,實際已發行和已發行股票30,409,890股;截至2021年6月30日的清算優先權為42,446美元;無已授權、已發行和已發行股票,預計和調整後的預計股票
|
| | | | 39,547 | | | | | | — | | | | | | — | | |
B-1系列可轉換優先股,每股面值0.001美元,2021年6月30日授權發行的10,928,155股,截至2021年6月30日實際發行和發行的10,926,089股;截至2021年6月30日的清算優先權為15,332美元;沒有授權、發行和發行的股份,預計和調整後的預計數量
|
| | | | 29,391 | | | | | | — | | | | | | — | | |
| | |
截至2021年6月30日
|
| |||||||||||||||
| | |
實際
|
| |
形式(1)
|
| |
形式
調整後(2) |
| |||||||||
| | |
(千,不包括股票和每股
數據) |
| |||||||||||||||
可轉換優先股合計
|
| | | | 84,761 | | | | | | — | | | | | | — | | |
股東(虧損)權益 | | | | | | | | | | | | | | | | | | | |
優先股,面值0.001美元;實際未授權、已發行或已發行股份;已授權股份1,000萬股,未發行或已發行股份,形式和調整後的形式
|
| | | | — | | | | | | — | | | | | | — | | |
普通股,面值0.001美元,2021年6月30日授權發行7000萬股;2021年6月30日實際發行和發行610,077股;經調整後,預計和預計發行2.5億股;已發行和已發行17,598,300股,預計數;已發行和已發行21,366,416股,調整後預計數
|
| | | | 1 | | | | | | 18 | | | | | | 21 | | |
新增實收資本
|
| | | | 65 | | | | | | 94,795 | | | | | | 133,744 | | |
累計虧損
|
| | | | (83,555) | | | | | | (83,555) | | | | | | (83,555) | | |
累計其他綜合損失
|
| | | | (193) | | | | | | (193) | | | | | | (193) | | |
股東(虧損)總股本
|
| | | | (83,682) | | | | | | 11,065 | | | | | | 50,017 | | |
總市值
|
| | | $ | 11,065 | | | | | $ | 11,065 | | | | | $ | 50,017 | | |
|
|
每股首次公開募股價格
|
| | | | | | | | | $ | 12.00 | | |
|
截至2021年6月30日的每股有形賬面淨值
|
| | | $ | (137.17) | | | | | | | | |
|
由於上述預計調整,每股收益增加
|
| | | | 137.80 | | | | | | | | |
|
預計截至2021年6月30日的每股有形賬面淨值
|
| | | | 0.63 | | | | | | | | |
|
由於新投資者在此次發行中購買普通股,預計每股有形賬面淨值增加
|
| | | | 1.71 | | | | | | | | |
|
預計為本次發行後緊隨其後的調整後每股有形賬面淨值
|
| | | | | | | | | | 2.34 | | |
|
本次發行中購買普通股的新投資者每股攤薄
|
| | | | | | | | | $ | 9.66 | | |
| | |
個共享
購買 |
| |
百分比
|
| |
金額
|
| |
百分比
|
| |
均價
每股 |
| |||||||||||||||
現有股東
|
| | | | 17,598,300 | | | | | | 82.4% | | | | | $ | 94,813,000 | | | | | | 67.7% | | | | | $ | 5.39 | | |
公眾股東
|
| | | | 3,768,116 | | | | | | 17.6% | | | | | $ | 45,217,392 | | | | | | 32.3% | | | | | $ | 12.00 | | |
合計
|
| | | | | | | | | | 100.0% | | | | | | | | | | | | 100.0% | | | | | | | | |
| | |
截至2010年12月31日的年度
|
| |
截至6月30日的6個月
|
| ||||||||||||||||||
| | |
2019
|
| |
2020
|
| |
2020
|
| |
2021
|
| ||||||||||||
(千,不包括每股和每股數據) | | | | | | | | | | | | | | | | | | | | | | | | | |
合併報表數據: | | | | | | | | | | | | | | | | | | | | | | | | | |
運營費用: | | | | | | | | | | | | | | | | | | | | | | | | | |
研發
|
| | | $ | 14,379 | | | | | $ | 12,887 | | | | | $ | 6,201 | | | | | $ | 9,324 | | |
一般和行政
|
| | | | 3,452 | | | | | | 4,520 | | | | | | 2,625 | | | | | | 2,243 | | |
總運營費用
|
| | | | 17,831 | | | | | | 17,407 | | | | | | 8,826 | | | | | | 11,567 | | |
運營損失
|
| | | | (17,831) | | | | | | (17,407) | | | | | | (8,826) | | | | | | (11,567) | | |
其他收入(費用): | | | | | | | | | | | | | | | | | | | | | | | | | |
贈款收入
|
| | | | 13,164 | | | | | | 10,855 | | | | | | 4,954 | | | | | | 9,338 | | |
衍生負債公允價值變動
|
| | | | (231) | | | | | | 18 | | | | | | 247 | | | | | | 2,209 | | |
權證負債公允價值變動
|
| | | | (7) | | | | | | 181 | | | | | | 32 | | | | | | — | | |
未來股權簡易協議的公允價值變動
|
| | | | — | | | | | | — | | | | | | — | | | | | | (1,044) | | |
其他收入,淨額
|
| | | | 1,087 | | | | | | 394 | | | | | | 258 | | | | | | 248 | | |
債務清償收益(虧損)
|
| | | | — | | | | | | (129) | | | | | | (129) | | | | | | 443 | | |
利息費用淨額
|
| | | | (1,024) | | | | | | (1,751) | | | | | | (716) | | | | | | (894) | | |
其他收入(費用)合計,淨額
|
| | | | 12,989 | | | | | | 9,568 | | | | | | 4,646 | | | | | | 10,300 | | |
淨虧損
|
| | | | (4,842) | | | | | | (7,839) | | | | | | (4,180) | | | | | | (1,267) | | |
累計優先股股息
|
| | | | (3,920) | | | | | | (4,234) | | | | | | (2,106) | | | | | | (2,467) | | |
普通股股東應佔淨虧損
|
| | | $ | (8,762) | | | | | $ | (12,073) | | | | | $ | (6,286) | | | | | $ | (3,734) | | |
普通股股東每股基本和攤薄淨虧損
|
| | | $ | (18.66) | | | | | $ | (23.76) | | | | | $ | (13.13) | | | | | $ | (6.53) | | |
加權平均已發行普通股、基本普通股和稀釋後普通股(1)
|
| | | | 469,706 | | | | | | 508,112 | | | | | | 478,751 | | | | | | 571,921 | | |
普通股股東、基本和稀釋的預計每股虧損(2)
|
| | | | | | | | | $ | (0.36) | | | | | | | | | | | $ | (0.09) | | |
預計加權-已發行普通股、基本普通股和稀釋後普通股的平均(2)
|
| | | | | | | | | | 17,577,003 | | | | | | | | | | | | 17,560,144 | | |
| | |
截至12月31日
|
| |
截至6月30日
|
| ||||||||||||
(千)
|
| |
2019
|
| |
2020
|
| |
2021
|
| |||||||||
合併資產負債表數據: | | | | | | | | | | | | | | | | | | | |
現金和現金等價物
|
| | | $ | 2,890 | | | | | $ | 5,189 | | | | | $ | 11,300 | | |
營運資金(1)
|
| | | | 3,477 | | | | | | 3,658 | | | | | | 8,459 | | |
總資產
|
| | | | 7,459 | | | | | | 7,119 | | | | | | 17,289 | | |
未來股權的簡單協議
|
| | | | — | | | | | | — | | | | | | 9,986 | | |
衍生負債
|
| | | | 1,493 | | | | | | 2,209 | | | | | | — | | |
保修責任
|
| | | | 181 | | | | | | — | | | | | | — | | |
可轉換票據,淨額
|
| | | | 6,897 | | | | | | 12,409 | | | | | | — | | |
總負債
|
| | | | 12,954 | | | | | | 19,933 | | | | | | 16,210 | | |
可轉換優先股
|
| | | | 52,927 | | | | | | 55,370 | | | | | | 84,761 | | |
累計虧損
|
| | | | (58,239) | | | | | | (68,220) | | | | | | (83,555) | | |
股東虧損總額
|
| | | | (58,422) | | | | | | (68,184) | | | | | | (83,682) | | |
| | |
截至2010年12月31日的年度
|
| | | | | | | |||||||||
|
2019
|
| |
2020
|
| |
更改
|
| |||||||||||
運營費用: | | | | | | | | | | | | | | | | | | | |
研發
|
| | | $ | 14,379 | | | | | $ | 12,887 | | | | | $ | (1,492) | | |
一般和行政
|
| | | | 3,452 | | | | | | 4,520 | | | | | | 1,068 | | |
總運營費用
|
| | | | 17,831 | | | | | | 17,407 | | | | | | (424) | | |
運營損失
|
| | | | (17,831) | | | | | | (17,407) | | | | | | (424) | | |
其他收入(費用): | | | | | | | | | | | | | | | | | | | |
贈款收入
|
| | | | 13,164 | | | | | | 10,855 | | | | | | (2,309) | | |
衍生負債公允價值變動
|
| | | | (231) | | | | | | 18 | | | | | | 249 | | |
權證負債公允價值變動
|
| | | | (7) | | | | | | 181 | | | | | | 188 | | |
其他收入,淨額
|
| | | | 1,087 | | | | | | 394 | | | | | | (693) | | |
債務清償損失
|
| | | | — | | | | | | (129) | | | | | | (129) | | |
利息費用淨額
|
| | | | (1,024) | | | | | | (1,751) | | | | | | (727) | | |
其他收入(費用)合計,淨額
|
| | | | 12,989 | | | | | | 9,568 | | | | | | (3,421) | | |
淨虧損
|
| | | $ | (4,842) | | | | | $ | (7,839) | | | | | $ | (2,997) | | |
| | |
截至2010年12月31日的年度
|
| | | | | | | |||||||||
|
2019
|
| |
2020
|
| |
更改
|
| |||||||||||
臨牀項目
|
| | | $ | 8,398 | | | | | $ | 5,263 | | | | | $ | (3,135) | | |
人員
|
| | | | 3,039 | | | | | | 4,026 | | | | | | 987 | | |
製造
|
| | | | 1,426 | | | | | | 1,798 | | | | | | 372 | | |
臨牀前項目
|
| | | | 1,400 | | | | | | 1,693 | | | | | | 293 | | |
設施和其他成本
|
| | | | 116 | | | | | | 107 | | | | | | (9) | | |
| | | | $ | 14,379 | | | | | $ | 12,887 | | | | | $ | (1,492) | | |
| | |
截至6月30日的6個月
|
| | | | | | | |||||||||
(千)
|
| |
2020
|
| |
2021
|
| |
更改
|
| |||||||||
合併報表數據: | | | | | | | | | | | | | | | | | | | |
運營費用: | | | | | | | | | | | | | | | | | | | |
研發
|
| | | $ | 6,201 | | | | | $ | 9,324 | | | | | $ | 3,123 | | |
一般和行政
|
| | | | 2,625 | | | | | | 2,243 | | | | | | (382) | | |
總運營費用
|
| | | | 8,826 | | | | | | 11,567 | | | | | | 2,741 | | |
運營損失
|
| | | | (8,826) | | | | | | (11,567) | | | | | | (2,741) | | |
其他收入(費用): | | | | | | | | | | | | | | | | | | | |
贈款收入
|
| | | | 4,954 | | | | | | 9,338 | | | | | | 4,384 | | |
衍生負債公允價值變動
|
| | | | 247 | | | | | | 2,209 | | | | | | 1,962 | | |
權證負債公允價值變動
|
| | | | 32 | | | | | | — | | | | | | (32) | | |
未來簡易協議的公允價值變動
股權 |
| | | | — | | | | | | (1,044) | | | | | | (1,044) | | |
其他收入,淨額
|
| | | | 258 | | | | | | 248 | | | | | | (10) | | |
債務清償收益(虧損)
|
| | | | (129) | | | | | | 443 | | | | | | 572 | | |
利息費用淨額
|
| | | | (716) | | | | | | (894) | | | | | | (178) | | |
其他收入(費用)合計,淨額
|
| | | | 4,646 | | | | | | 10,300 | | | | | | 5,654 | | |
淨虧損
|
| | | $ | (4,180) | | | | | $ | (1,267) | | | | | $ | 2,913 | | |
| | |
截至6月30日的6個月
|
| | | | | | | |||||||||
| | |
2020
|
| |
2021
|
| |
更改
|
| |||||||||
臨牀項目
|
| | | $ | 2,960 | | | | | $ | 1,684 | | | | | $ | (1,276) | | |
人員
|
| | | | 1,976 | | | | | | 1,936 | | | | | | (40) | | |
製造
|
| | | | 262 | | | | | | 4,719 | | | | | | 4,457 | | |
臨牀前項目
|
| | | | 948 | | | | | | 926 | | | | | | (22) | | |
設施和其他成本
|
| | | | 55 | | | | | | 59 | | | | | | 4 | | |
| | | | $ | 6,201 | | | | | $ | 9,324 | | | | | $ | 3,123 | | |
| | |
截至2010年12月31日的年度
|
| |
截至6月30日的6個月
|
| ||||||||||||||||||
| | |
2019
|
| |
2020
|
| |
2020
|
| |
2021
|
| ||||||||||||
| | | | | | | | | | | | | | |
(未審核)
|
| |
(未審核)
|
| ||||||
經營活動中使用的現金流
|
| | | $ | (3,098) | | | | | $ | (3,433) | | | | | $ | (1,992) | | | | | $ | (1,682) | | |
投資活動中使用的現金流
|
| | | | (144) | | | | | | (10) | | | | | | (10) | | | | | | — | | |
融資活動提供的現金流
|
| | | | 2,794 | | | | | | 5,765 | | | | | | 5,182 | | | | | | 7,801 | | |
匯率變動對現金和現金等價物的影響
|
| | | | (60) | | | | | | (23) | | | | | | (56) | | | | | | (8) | | |
現金及現金等價物淨(減)增
|
| | | $ | (508) | | | | | $ | 2,299 | | | | | $ | 3,124 | | | | | $ | 6,111 | | |
| | |
少於
1年 |
| |
1到3
年 |
| |
3到5
年 |
| |
超過5個
年 |
| |
合計
|
| |||||||||||||||
經營租賃義務:
|
| | | $ | 59 | | | | | $ | 177 | | | | | $ | — | | | | | $ | — | | | | | $ | 236 | | |
總計:
|
| | | $ | 59 | | | | | $ | 177 | | | | | $ | — | | | | | $ | — | | | | | $ | 236 | | |
| | |
Kd(NM)
|
| |
B MAXA
|
|
wt Aβ(1 - 42)齊聚物
|
| | 站點1:442±70 | | | 7.98 × 105 ± 0.29 × 105 | |
A673T突變體Aβ(1 - 42)低聚物
|
| | 站點1:1,955±502 | | | 5.98 × 105 ± 0.50 × 105 | |
|
資金組織
|
| |
年
|
| |
項目
|
| |
金額
|
|
|
國家老齡研究所(NIH)
|
| |
2016
|
| |
CT1812的COG0101 PH1b首次住院試驗
|
| |
$2,410,669
|
|
|
國家老齡研究所(NIH)
|
| |
2016
|
| |
CT1812的COG0102 PH1b/2a臨牀試驗
|
| |
$2,410,669
|
|
|
國家老齡研究所(NIH)
|
| |
2017
|
| |
COG0104 PH1 SNAP研究:CSF導管
|
| |
$2,527,271
|
|
|
國家老齡研究所(NIH)
|
| |
2017
|
| |
COG0105 PH1 SPARC研究:SV2A PET
|
| |
$4,795,774
|
|
|
國家老齡研究所(NIH)
|
| |
2018
|
| |
COG0201 PH2光澤研究
|
| |
$16,848,329
|
|
|
國家老齡研究所(NIH)
|
| |
2019
|
| |
COG0202 PH2續集研究:qEEG
|
| |
$3,300,642
|
|
|
國家老齡研究所(NIH)
|
| |
2020
|
| |
採用ACTC的COG0203 PH2研究
|
| |
$80,974,766
|
|
|
國家老齡研究所(NIH)
|
| |
2021
|
| |
COG0108研究:HAME
|
| |
$1,642,783
|
|
|
國家老齡研究所(NIH)
|
| |
2021
|
| |
COG0201 PH2光澤修正
|
| |
$13,634,548
|
|
|
國家老齡研究所(NIH)
|
| |
2021
|
| |
COG1201:研究:DLB
|
| |
$29,498,048
|
|
|
美國國立衞生研究院等
|
| |
2010-2018
|
| |
十大臨牀前計劃
|
| |
$10,359,971
|
|
| | | | | | | | | |
$168,403,470
|
|
名稱
|
| |
年齡
|
| |
個職位
|
|
執行主任 | | | | | | | |
麗莎·裏恰爾迪 | | |
61
|
| | 首席執行官、總裁兼董事 | |
詹姆斯·M·奧布萊恩 | | |
54
|
| | 首席財務官 | |
員工主管 | | | | | | | |
蘇珊·卡塔拉諾博士(4) | | |
57
|
| | 主任兼首席科學官 | |
非員工董事 | | | | | | | |
Jack A.Khattar(2)(3) | | |
59
|
| | 董事、董事長 | |
Brett P.Monia,Ph.D.(1)(2) | | |
59
|
| | 導演 | |
Aaron Fletcher,博士(1)(2) | | |
41
|
| | 導演 | |
斯蒂芬·桑茲(5) | | |
64
|
| | 導演 | |
佩吉·華萊士(3) | | |
64
|
| | 導演 | |
馬克·H·布里德洛夫(1) | | |
64
|
| | 導演 | |
名稱
|
| |
賺取的費用
或以 付款 現金 ($) |
| |
選項
獎項 ($)(1) |
| |
所有其他
薪酬 ($) |
| |
合計
($) |
| ||||||||||||
傑克·A·哈塔爾
|
| | | | 19,000 | | | | | | 40,711 | | | | | | — | | | | | | 59,711 | | |
佈雷特·P·莫尼亞博士
|
| | | | 9,625 | | | | | | 40,092 | | | | | | — | | | | | | 49,717 | | |
Aaron Fletcher,博士
|
| | | | — | | | | | | 11,543 | | | | | | — | | | | | | 11,543 | | |
斯蒂芬·桑茲(2)
|
| | | | — | | | | | | 7,723 | | | | | | — | | | | | | 7,723 | | |
佩吉·華萊士
|
| | | | — | | | | | | 11,543 | | | | | | — | | | | | | 11,543 | | |
馬克·H·布里德洛夫
|
| | | | — | | | | | | 11,543 | | | | | | — | | | | | | 11,543 | | |
薪酬要素:非員工董事薪酬政策
|
| | | | | | |
現金 | | | | | | | |
年度現金保留金
|
| | | $ | 35,000 | | |
獨立主席固定器
|
| | | $ | 65,000 | | |
年度委員會主席聘用權 | | | | | | | |
審核
|
| | | $ | 15,000 | | |
薪酬
|
| | | $ | 10,000 | | |
提名與公司治理
|
| | | $ | 8,000 | | |
年度委員會成員聘用費 | | | | | | | |
審核
|
| | | $ | 7,500 | | |
薪酬
|
| | | $ | 5,000 | | |
提名與公司治理
|
| | | $ | 4,000 | | |
股權 | | | | | | | |
初始期權授予
|
| |
16,670股(1)
|
| |||
年度期權授予
|
| |
8335股(2)
|
|
姓名和主要職務
|
| |
年
|
| |
工資
($) |
| |
獎金
($) |
| |
選項
獎項 ($)(1) |
| |
非股權
獎勵計劃 薪酬 ($)(2) |
| |
所有其他
薪酬 ($) |
| |
合計
($) |
| |||||||||||||||||||||
麗莎·裏恰爾迪(3)
|
| | | | 2020 | | | | | | 287,385 | | | | | | — | | | | | | 901,904 | | | | | | 79,893 | | | | | | 3,415(4) | | | | | | 1,272,597 | | |
首席執行官兼總裁
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Kenneth I.Moch(5)
|
| | | | 2020 | | | | | | 93,591 | | | | | | — | | | | | | — | | | | | | — | | | | | | 609,293(6) | | | | | | 702,884 | | |
前首席執行官兼總裁
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
詹姆斯·M·奧布萊恩
|
| | | | 2020 | | | | | | 340,000 | | | | | | — | | | | | | — | | | | | | 70,890 | | | | | | 7,323(4) | | | | | | 418,213 | | |
首席財務官
|
| | | | | | | |
名稱
|
| |
證券數量
底層 未執行的選項 (#)可行使 |
| |
證券數量
潛在未行使 選項(#) 不可行使 |
| |
股權激勵
獎項:數量 基礎證券 未行使未賺取的 選項(#) |
| |
選項
練習 價格($) |
| |
選項過期
日期 |
| |||||||||||||||
麗莎·裏恰爾迪
|
| | | | 10,434(1) | | | | | | 31,303(1) | | | | | | — | | | | | | 1.07 | | | | | | 9/29/2029 | | |
| | | | | — | | | | | | 7,729(2) | | | | | | — | | | | | | 1.07 | | | | | | 4/30/2030 | | |
| | | | | 20,095 | | | | | | | | | | | | — | | | | | | 1.20 | | | | | | 4/22/2030 | | |
| | | | | — | | | | | | 896,177(3) | | | | | | — | | | | | | 1.20 | | | | | | 5/31/2030 | | |
詹姆斯·M·奧布萊恩
|
| | | | 38,188(4) | | | | | | 92,743(4) | | | | | | — | | | | | | 1.07 | | | | | | 10/7/2029 | | |
肯尼思·I·莫奇
|
| | | | 723,235 | | | | | | — | | | | | | — | | | | | | 0.87 | | | | | | 6/17/2023 | | |
名稱
|
| |
本金金額
可兑換的 個 備註 |
| |
股份
B-1系列 可兑換 優先股 |
| ||||||
與布里德洛夫家族有限合夥企業有關聯的實體(1)
|
| | | $ | 475,730 | | | | | | 343,487 | | |
金子認知治療有限責任公司附屬實體(2)
|
| | | $ | 1,841,258 | | | | | | 1,329,428 | | |
附屬於BIOS內存SPV I、LP(3)的實體
|
| | | $ | 4,250,000 | | | | | | 3,068,592 | | |
Ogden CAP Associates,LLC(4)
|
| | | $ | 491,127 | | | | | | 354,604 | | |
斯蒂芬·桑茲(5)
|
| | | $ | 25,000 | | | | | | 18,050 | | |
名稱
|
| |
金額
個保險箱 |
| |
股份
普通股 |
| ||||||
金子認知治療有限責任公司附屬實體(1)
|
| | | $ | 3,092,383 | | | | | | 322,122 | | |
附屬於BIOS內存SPV I、LP(2)的實體
|
| | | $ | 2,000,000 | | | | | | 208,332 | | |
| | |
之前的受益所有權
此產品 |
| |
之後的受益所有權
此產品 |
| ||||||||||||||||||
受益人姓名
|
| |
數量
個共享 受益 擁有 |
| |
百分比
受益 所有權 |
| |
數量
個共享 受益 擁有 |
| |
百分比
共 個 個 受益 所有權 |
| ||||||||||||
5%及更大股東: | | | | | | | | | | | | | | | | | | | | | | | | | |
BIOS內存SPV I、LP(1)
|
| | | | 3,722,932 | | | | | | 21.2% | | | | | | 3,722,932 | | | | | | 17.4% | | |
金子認知治療有限責任公司(2)
|
| | | | 2,489,716 | | | | | | 14.1% | | | | | | 2,489,716 | | | | | | 11.6% | | |
Ogden CAP Associates,LLC(3)
|
| | | | 2,210,452 | | | | | | 12.6% | | | | | | 2,210,452 | | | | | | 10.3% | | |
蘇珊·卡塔拉諾博士(4)
|
| | | | 1,281,070 | | | | | | 6.9% | | | | | | 1,431,152 | | | | | | 6.3% | | |
被任命的高管和董事: | | | | | | | | | | | | | | | | | | | | | | | | | |
麗莎·裏恰爾迪(5)
|
| | | | 360,290 | | | | | | 2.0% | | | | | | 517,648 | | | | | | 2.4% | | |
詹姆斯·M·奧布萊恩(6)
|
| | | | 68,193 | | | | | | *% | | | | | | 68,193 | | | | | | *% | | |
蘇珊·卡塔拉諾博士(4)
|
| | | | 1,281,070 | | | | | | 6.9% | | | | | | — | | | | | | —% | | |
馬克·H·布里德洛夫(7)
|
| | | | 448,824 | | | | | | 2.6% | | | | | | 448,824 | | | | | | 2.1% | | |
| | |
之前的受益所有權
此產品 |
| |
之後的受益所有權
此產品 |
| ||||||||||||||||||
受益人姓名
|
| |
數量
個共享 受益 擁有 |
| |
百分比
受益 所有權 |
| |
數量
個共享 受益 擁有 |
| |
百分比
共 個 個 受益 所有權 |
| ||||||||||||
Aaron Fletcher,Ph.D.(8)
|
| | | | 10,627 | | | | | | *% | | | | | | 10,627 | | | | | | *% | | |
Jack A.Khattar(9)
|
| | | | 10,434 | | | | | | *% | | | | | | 10,434 | | | | | | *% | | |
Brett P.Monia,Ph.D.(10)
|
| | | | 10,434 | | | | | | *% | | | | | | 10,434 | | | | | | *% | | |
斯蒂芬·桑茲(11)
|
| | | | 52,502 | | | | | | *% | | | | | | — | | | | | | —% | | |
佩吉·華萊士(12)
|
| | | | 10,627 | | | | | | *% | | | | | | 10,627 | | | | | | *% | | |
所有現任董事和高管(9人)
|
| | | | 2,253,001 | | | | | | 12.8% | | | | | | 1,076,787 | | | | | | 5.0% | | |
近似股數
|
| |
公開市場首銷日期
|
|
10,931,039股 | | | 在本招股説明書日期後181天,以下提及的鎖定協議到期時,在某些情況下,受規則第144條和規則第701條規定的適用數量、銷售方式和其他限制的限制。 | |
承銷商
|
| |
股份數量
|
| |||
B.萊利證券公司
|
| | | | 2,499,275 | | |
奧本海默公司
|
| | | | 1,318,841 | | |
合計
|
| | | | 3,768,116 | | |
| | |
每股
|
| |
不含
的合計
鍛鍊過度 分配 |
| |
總計
鍛鍊過度 分配 |
| |||||||||
公開發行價
|
| | | $ | 12.00 | | | | | $ | 45,217,392 | | | | | $ | 51,999,996 | | |
承保折扣和佣金
|
| | | $ | 0.84 | | | | | $ | 3,165,217 | | | | | $ | 3,640,000 | | |
未向我們支付費用前的收益
|
| | | $ | 11.16 | | | | | $ | 42,052,175 | | | | | $ | 48,359,996 | | |
| | |
第
頁
|
| |||
獨立註冊會計師事務所報告
|
| | | | F-2 | | |
截至2019年12月31日和2020年12月31日的合併資產負債表
|
| | | | F-3 | | |
截至2010年12月31日年度的合併經營報表和全面虧損
2019年和2020年 |
| | | | F-4 | | |
截至2019年12月31日和2020年12月31日的年度可轉換優先股和股東虧損合併報表
|
| | | | F-5 | | |
截至2019年12月31日和2020年12月31日的年度現金流量表
|
| | | | F-6 | | |
財務報表附註
|
| | | | F-7 | | |
| | |
截至12月31日
|
| |||||||||
|
2019
|
| |
2020
|
| ||||||||
資產 | | | | | | | | | | | | | |
流動資產 | | | | | | | | | | | | | |
現金和現金等價物
|
| | | $ | 2,890 | | | | | $ | 5,189 | | |
授予應收賬款
|
| | | | 2,662 | | | | | | 564 | | |
預付費用
|
| | | | 117 | | | | | | 544 | | |
其他應收賬款
|
| | | | 1,462 | | | | | | 588 | | |
其他流動資產
|
| | | | 29 | | | | | | 23 | | |
流動資產總額
|
| | | | 7,160 | | | | | | 6,908 | | |
財產和設備,淨額
|
| | | | 299 | | | | | | 211 | | |
總資產
|
| | | $ | 7,459 | | | | | $ | 7,119 | | |
負債、可轉換優先股和股東虧損 | | | | | | | | | | | | | |
流動負債 | | | | | | | | | | | | | |
應付帳款
|
| | | | 2,357 | | | | | | 2,003 | | |
資本租賃債務的當期部分
|
| | | | 4 | | | | | | — | | |
應計費用
|
| | | | 1,321 | | | | | | 994 | | |
其他流動負債
|
| | | | 1 | | | | | | 253 | | |
流動負債總額
|
| | | | 3,683 | | | | | | 3,250 | | |
支付寶保障計劃貸款
|
| | | | — | | | | | | 443 | | |
衍生負債
|
| | | | 1,493 | | | | | | 2,209 | | |
保修責任
|
| | | | 181 | | | | | | — | | |
可轉換票據,淨額
|
| | | | 6,897 | | | | | | 12,409 | | |
應計利息
|
| | | | 700 | | | | | | 1,622 | | |
總負債
|
| | | | 12,954 | | | | | | 19,933 | | |
承付款和或有事項
|
| | | | | | | | | | | | |
可轉換優先股: | | | | | | | | | | | | | |
A系列可轉換優先股,每股票面價值0.001美元,3,067,519股授權發行
截至2019年12月31日和2020年12月31日,已發行和已發行股票2,819,027股 2019年和2020年;截至2020年12月31日的清算優先權為4766美元 |
| | | | 4,413 | | | | | | 4,616 | | |
A-1系列可轉換優先股,每股票面價值0.001美元,3,970,776股授權
截至2019年12月31日和2020年12月31日,已發行和已發行股票3,730,366股 2019年12月31日和2020年12月31日;截至2020年12月31日的清算優先權為5572美元 |
| | | | 5,160 | | | | | | 5,398 | | |
A-2系列可轉換優先股,每股票面價值0.001美元,3,565,063股授權
截至2019年12月31日和2020年12月31日,已發行和已發行股票3,565,063股 2019年12月31日和2020年12月31日;截至2020年12月31日的清算優先權為5997美元 |
| | | | 5,552 | | | | | | 5,809 | | |
B系列可轉換優先股,每股票面價值0.001美元,截至2019年12月31日和2020年12月31日授權發行的30,450,000股,截至2019年12月31日和2020年12月31日發行和發行的30,409,890股;截至2020年12月31日的清算優先股40,826美元
|
| | | | 37,802 | | | | | | 39,547 | | |
可轉換優先股合計
|
| | | | 52,927 | | | | | | 55,370 | | |
股東虧損: | | | | | | | | | | | | | |
普通股,面值0.001美元,2019年12月31日和2020年12月31日授權發行的5800萬股;2019年12月31日和2020年12月31日分別發行和發行的469,751股和538,793股
|
| | | | 1 | | | | | | 1 | | |
新增實收資本
|
| | | | 1 | | | | | | 222 | | |
累計虧損
|
| | | | (58,239) | | | | | | (68,220) | | |
累計其他綜合損失
|
| | | | (185) | | | | | | (187) | | |
股東虧損總額
|
| | | | (58,422) | | | | | | (68,184) | | |
總負債、可轉換優先股和股東赤字
|
| | | $ | 7,459 | | | | | $ | 7,119 | | |
| | |
截至2013年12月31日的年度
|
| |||||||||
|
2019
|
| |
2020
|
| ||||||||
運營費用: | | | | | | | | | | | | | |
研發
|
| | | $ | 14,379 | | | | | $ | 12,887 | | |
一般和行政
|
| | | | 3,452 | | | | | | 4,520 | | |
總運營費用
|
| | | | 17,831 | | | | | | 17,407 | | |
運營損失
|
| | | | (17,831) | | | | | | (17,407) | | |
其他收入(費用): | | | | | | | | | | | | | |
贈款收入
|
| | | | 13,164 | | | | | | 10,855 | | |
衍生負債公允價值變動
|
| | | | (231) | | | | | | 18 | | |
權證負債公允價值變動
|
| | | | (7) | | | | | | 181 | | |
其他收入,淨額
|
| | | | 1,087 | | | | | | 394 | | |
債務清償損失
|
| | | | — | | | | | | (129) | | |
利息費用淨額
|
| | | | (1,024) | | | | | | (1,751) | | |
其他收入(費用)合計,淨額
|
| | | | 12,989 | | | | | | 9,568 | | |
淨虧損
|
| | | | (4,842) | | | | | | (7,839) | | |
累計優先股股息
|
| | | | (3,920) | | | | | | (4,234) | | |
普通股股東應佔淨虧損
|
| | | $ | (8,762) | | | | | $ | (12,073) | | |
外幣折算未實現虧損
|
| | | | (20) | | | | | | (2) | | |
全面虧損
|
| | | $ | (4,862) | | | | | $ | (7,841) | | |
普通股股東每股淨虧損,基本股和
稀釋 |
| | | $ | (18.66) | | | | | $ | (23.76) | | |
加權平均已發行普通股、基本普通股和稀釋普通股
|
| | | | 469,706 | | | | | | 508,112 | | |
| | |
系列A
可兑換 優先股 |
| |
系列A-1
可兑換 優先股 |
| |
系列A-2
可兑換 優先股 |
| |
系列B
可兑換 優先股 |
| | |
普通股
|
| |
其他
實收資本 |
| |
累計
赤字 |
| |
累計
其他 綜合 虧損 |
| |
合計
股東的 赤字 |
| | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | |
個共享
|
| |
金額
|
| |
個共享
|
| |
金額
|
| |
個共享
|
| |
金額
|
| |
個共享
|
| |
金額
|
| | |
個共享
|
| |
金額
|
| | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
截至12月31日的餘額
2018 |
| | | | 2,819,027 | | | | | $ | 4,086 | | | | | | 3,730,366 | | | | | $ | 4,778 | | | | | | 3,565,063 | | | | | $ | 5,141 | | | | | | 30,409,890 | | | | | $ | 35,002 | | | | | | | 469,691 | | | | | $ | 1 | | | | | $ | 1 | | | | | $ | (49,838) | | | | | $ | (165) | | | | | $ | (50,001) | | | | ||
認股權證的行使
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | 60 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | ||
股權薪酬
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | — | | | | | | — | | | | | | 361 | | | | | | — | | | | | | — | | | | | | 361 | | | | ||
可轉換優先股增加到贖回價值
|
| | | | — | | | | | | 327 | | | | | | — | | | | | | 382 | | | | | | — | | | | | | 411 | | | | | | — | | | | | | 2,800 | | | | | | | — | | | | | | — | | | | | | (361) | | | | | | (3,559) | | | | | | — | | | | | | (3,920) | | | | ||
其他綜合虧損
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | (20) | | | | | | (20) | | | | | |
淨虧損
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | — | | | | | | — | | | | | | — | | | | | | (4,842) | | | | | | — | | | | | | (4,842) | | | | ||
截至12月31日的餘額
2019 |
| | | | 2,819,027 | | | | | | 4,413 | | | | | | 3,730,366 | | | | | | 5,160 | | | | | | 3,565,063 | | | | | | 5,552 | | | | | | 30,409,890 | | | | | | 37,802 | | | | | | | 469,751 | | | | | | 1 | | | | | | 1 | | | | | | (58,239) | | | | | | (185) | | | | | | (58,422) | | | | ||
普通股行權
認股權證 |
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | 50,497 | | | | | | — | | | | | | 34 | | | | | | — | | | | | | — | | | | | | 34 | | | | ||
行使股票期權
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | 18,545 | | | | | | — | | | | | | 13 | | | | | | — | | | | | | — | | | | | | 13 | | | | ||
股權薪酬
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | — | | | | | | — | | | | | | 475 | | | | | | — | | | | | | — | | | | | | 475 | | | | ||
可轉換優先股增加到贖回價值
|
| | | | — | | | | | | 203 | | | | | | — | | | | | | 238 | | | | | | — | | | | | | 257 | | | | | | — | | | | | | 1,745 | | | | | | | — | | | | | | — | | | | | | (301) | | | | | | (2,142) | | | | | | — | | | | | | (2,443) | | | | ||
其他綜合虧損
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | (2) | | | | | | (2) | | | | | |
淨虧損
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | — | | | | | | — | | | | | | — | | | | | | (7,839) | | | | | | — | | | | | | (7,839) | | | | ||
截至12月31日的餘額
2020 |
| | | | 2,819,027 | | | | | $ | 4,616 | | | | | | 3,730,366 | | | | | $ | 5,398 | | | | | | 3,565,063 | | | | | $ | 5,809 | | | | | | 30,409,890 | | | | | $ | 39,547 | | | | | | | 538,793 | | | | | $ | 1 | | | | | $ | 222 | | | | | $ | (68,220) | | | | | $ | (187) | | | | | $ | (68,184) | | | |
| | |
截至2013年12月31日的年度
|
| |||||||||
|
2019
|
| |
2020
|
| ||||||||
經營活動現金流: | | | | | | | | | | | | | |
淨虧損
|
| | | $ | (4,842) | | | | | $ | (7,839) | | |
調整以調整淨虧損與經營活動中使用的淨現金: | | | | | | | | | | | | | |
折舊攤銷
|
| | | | 81 | | | | | | 98 | | |
債務發行成本攤銷
|
| | | | 30 | | | | | | 54 | | |
債務貼現攤銷
|
| | | | 464 | | | | | | 782 | | |
衍生負債公允價值變動
|
| | | | 231 | | | | | | (18) | | |
權證負債公允價值變動
|
| | | | 7 | | | | | | (181) | | |
債務清償損失
|
| | | | — | | | | | | 129 | | |
股權薪酬
|
| | | | 361 | | | | | | 475 | | |
經營性資產和負債變動:
|
| | | | | | | | | | | | |
授予應收賬款
|
| | | | (43) | | | | | | 2,097 | | |
預付費用和其他流動資產
|
| | | | (22) | | | | | | (417) | | |
其他應收賬款
|
| | | | (1,075) | | | | | | 904 | | |
應付帳款
|
| | | | 862 | | | | | | (364) | | |
應計費用和利息
|
| | | | 934 | | | | | | 595 | | |
其他流動負債
|
| | | | (86) | | | | | | 252 | | |
經營活動使用的淨現金
|
| | | | (3,098) | | | | | | (3,433) | | |
投資活動現金流: | | | | | | | | | | | | | |
物業和設備付款
|
| | | | (144) | | | | | | (10) | | |
投資活動使用的淨現金
|
| | | | (144) | | | | | | (10) | | |
融資活動現金流: | | | | | | | | | | | | | |
資本租賃債務付款
|
| | | | (50) | | | | | | (4) | | |
行使普通股認股權證所得收益
|
| | | | — | | | | | | 34 | | |
行使股票期權收益
|
| | | | — | | | | | | 13 | | |
工資保障計劃貸款的收益
|
| | | | — | | | | | | 443 | | |
發行可轉換票據所得款項
|
| | | | 2,878 | | | | | | 5,372 | | |
與可轉換票據相關的債務發行成本
|
| | | | (34) | | | | | | (93) | | |
融資活動提供的淨現金
|
| | | | 2,794 | | | | | | 5,765 | | |
匯率變動對現金和現金等價物的影響
|
| | | | (60) | | | | | | (23) | | |
現金及現金等價物淨(減)增
|
| | | | (508) | | | | | | 2,299 | | |
期初 - 現金和現金等價物
|
| | | | 3,398 | | | | | | 2,890 | | |
現金和現金等價物 - 期末
|
| | | $ | 2,890 | | | | | $ | 5,189 | | |
非現金投融資活動補充披露: | | | | | | | | | | | | | |
應計費用中的購置房產和設備
|
| | | $ | 55 | | | | | $ | — | | |
可轉換優先股非現金增值至贖回價值
|
| | | $ | (3,920) | | | | | $ | (2,443) | | |
| | |
截至2019年12月31日
|
| |||||||||||||||||||||
|
報價計價
活躍市場 (一級) |
| |
其他重要人物
可觀察到的輸入 (二級) |
| |
意義重大
看不見 輸入 (三級) |
| |
合計
|
| ||||||||||||||
資產: | | | | | | | | | | | | | | | | | | | | | | | | | |
貨幣市場基金
|
| | | $ | 1,886 | | | | | $ | — | | | | | $ | — | | | | | $ | 1,886 | | |
總資產
|
| | | $ | 1,886 | | | | | $ | — | | | | | $ | — | | | | | $ | 1,886 | | |
負債: | | | | | | | | | | | | | | | | | | | | | | | | | |
衍生負債
|
| | | $ | — | | | | | $ | — | | | | | $ | 1,493 | | | | | $ | 1,493 | | |
保修責任
|
| | | | — | | | | | | — | | | | | | 181 | | | | | | 181 | | |
總負債
|
| | | $ | — | | | | | $ | — | | | | | $ | 1,674 | | | | | $ | 1,674 | | |
| | |
截至2020年12月31日
|
| |||||||||||||||||||||
|
報價計價
活躍市場 (一級) |
| |
其他重要人物
可觀察到的輸入 (二級) |
| |
意義重大
看不見 輸入 (三級) |
| |
合計
|
| ||||||||||||||
資產: | | | | | | | | | | | | | | | | | | | | | | | | | |
貨幣市場基金
|
| | | $ | 2,853 | | | | | $ | — | | | | | $ | — | | | | | $ | 2,853 | | |
總資產
|
| | | $ | 2,853 | | | | | $ | — | | | | | $ | — | | | | | $ | 2,853 | | |
負債: | | | | | | | | | | | | | | | | | | | | | | | | | |
衍生負債
|
| | | $ | — | | | | | $ | — | | | | | $ | 2,209 | | | | | $ | 2,209 | | |
總負債
|
| | | $ | — | | | | | $ | — | | | | | $ | 2,209 | | | | | $ | 2,209 | | |
| | |
保修
責任 |
| |
衍生產品
責任 |
| |
合計
|
| |||||||||
2018年12月31日的餘額
|
| | | $ | 174 | | | | | $ | 771 | | | | | $ | 945 | | |
權證負債公允價值變動
|
| | | | 7 | | | | | | — | | | | | | 7 | | |
發行可轉換票據時確認的公允價值
|
| | | | — | | | | | | 491 | | | | | | 491 | | |
衍生負債公允價值變動
|
| | | | — | | | | | | 231 | | | | | | 231 | | |
2019年12月31日的餘額
|
| | | | 181 | | | | | | 1,493 | | | | | | 1,674 | | |
權證負債公允價值變動
|
| | | | (181) | | | | | | — | | | | | | (181) | | |
發行可轉換票據時確認的公允價值
|
| | | | — | | | | | | 734 | | | | | | 734 | | |
衍生負債公允價值變動
|
| | | | — | | | | | | (18) | | | | | | (18) | | |
總負債
|
| | | $ | — | | | | | $ | 2,209 | | | | | $ | 2,209 | | |
| | |
截至12月31日
|
| |||||||||
|
2019
|
| |
2020
|
| ||||||||
設備
|
| | | $ | 977 | | | | | $ | 987 | | |
傢俱和固定裝置
|
| | | | 1 | | | | | | 1 | | |
財產和設備,總值
|
| | | | 978 | | | | | | 988 | | |
減去:累計折舊
|
| | | | (679) | | | | | | (777) | | |
財產和設備,淨額
|
| | | $ | 299 | | | | | $ | 211 | | |
| | |
截至12月31日
|
| |||||||||
|
2019
|
| |
2020
|
| ||||||||
員工薪酬、福利和相關應計項目
|
| | | $ | 532 | | | | | $ | 732 | | |
研發成本
|
| | | | 566 | | | | | | 143 | | |
專業費
|
| | | | 164 | | | | | | 114 | | |
其他應計
|
| | | | 59 | | | | | | 5 | | |
合計
|
| | | $ | 1,321 | | | | | $ | 994 | | |
| | |
截至12月31日
|
| |||||||||
|
2019
|
| |
2020
|
| ||||||||
研發獎勵應收賬款
|
| | | $ | 1,364 | | | | | $ | 489 | | |
其他應收賬款
|
| | | | 98 | | | | | | 99 | | |
合計
|
| | | $ | 1,462 | | | | | $ | 588 | | |
| | |
截至2010年12月31日的年度
|
| |||||||||
|
2019
|
| |
2020
|
| ||||||||
研發獎勵
|
| | | $ | 982 | | | | | $ | 474 | | |
外幣損失
|
| | | | — | | | | | | (88) | | |
其他收入,淨額
|
| | | | 105 | | | | | | 8 | | |
合計
|
| | | $ | 1,087 | | | | | $ | 394 | | |
| | |
經營租賃
|
| |||
2021
|
| | | $ | 118 | | |
2022
|
| | | | 118 | | |
2023
|
| | | | 59 | | |
租賃承諾額合計
|
| | | $ | 295 | | |
| | |
2019
|
| |
2020
|
| ||||||
可轉換票據本金
|
| | | $ | 7,626 | | | | | $ | 12,998 | | |
減去:未攤銷票據發行成本
|
| | | | (44) | | | | | | (45) | | |
減:債務折扣
|
| | | | (685) | | | | | | (544) | | |
| | | | $ | 6,897 | | | | | $ | 12,409 | | |
| | |
2019
|
| |
2020
|
| ||||||
息票利息
|
| | | $ | 574 | | | | | $ | 922 | | |
發行成本攤銷
|
| | | | 30 | | | | | | 54 | | |
折價攤銷
|
| | | | 464 | | | | | | 782 | | |
| | | | $ | 1,068 | | | | | $ | 1,758 | | |
首選類別
|
| |
優先股
授權 |
| |
優先股
已發佈和 出色的 |
| |
賬面價值
|
| |
清算
首選項 |
| |
普通股
可於 簽發 轉換 |
| |||||||||||||||
A系列優先股
|
| | | | 3,067,519 | | | | | | 2,819,027 | | | | | $ | 4,616 | | | | | $ | 4,766 | | | | | | 871,541 | | |
系列A-1優先股
|
| | | | 3,970,776 | | | | | | 3,730,366 | | | | | | 5,398 | | | | | | 5,572 | | | | | | 1,153,290 | | |
系列A-2優先股
|
| | | | 3,565,063 | | | | | | 3,565,063 | | | | | | 5,809 | | | | | | 5,997 | | | | | | 1,102,182 | | |
B系列優先股
|
| | | | 30,450,000 | | | | | | 30,409,890 | | | | | | 39,547 | | | | | | 40,826 | | | | | | 9,401,599 | | |
合計
|
| | | | 41,053,358 | | | | | | 40,524,346 | | | | | $ | 55,370 | | | | | $ | 57,161 | | | | | | 12,528,612 | | |
認股權證數量
|
| |
練習
價格 |
| |
過期
日期 |
| |||
50,497
|
| | | $ | 0.68 | | | |
2021年5月
|
|
116,144 | | | | $ | 0.03 | | | |
2023年3月
|
|
24,171
|
| | | $ | 0.03 | | | |
2023年5月
|
|
10,319 | | | | $ | 0.03 | | | |
2023年8月
|
|
| | |
2019
|
| |
2020
|
| ||||||
已發行可轉換優先股
|
| | | | 12,528,612 | | | | | | 12,528,612 | | |
已發行和未償還的期權
|
| | | | 4,094,945 | | | | | | 4,587,865 | | |
A-1系列優先股認股權證
|
| | | | 55,873 | | | | | | — | | |
普通股認股權證
|
| | | | 257,004 | | | | | | 201,131 | | |
合計
|
| | | | 16,936,434 | | | | | | 17,317,608 | | |
| | |
截至2010年12月31日的年度
|
| |||||||||
|
2019
|
| |
2020
|
| ||||||||
研發
|
| | | $ | 175 | | | | | $ | 216 | | |
一般和行政
|
| | | | 186 | | | | | | 259 | | |
股權薪酬總額
|
| | | $ | 361 | | | | | $ | 475 | | |
| | |
截至2010年12月31日的年度
|
| |||
|
2019
|
| |
2020
|
| ||
普通股公允價值
|
| |
$1.07
|
| |
$1.20
|
|
預期波動率
|
| |
88.92% – 97.50%
|
| |
101.35% – 109.34%
|
|
無風險利率
|
| |
1.43% – 2.50%
|
| |
0.27% – 1.60%
|
|
股息率
|
| |
0.00%
|
| |
0.00%
|
|
預期期限(年)
|
| |
6.00 – 7.00
|
| |
5.00 – 6.25
|
|
| | |
未完成的選項
|
| |||||||||||||||||||||
|
數量
選項 |
| |
加權
平均 練習 價格 |
| |
聚合
內在 值 (單位:000) |
| |
加權
平均 剩餘 合同期限 (年) |
| ||||||||||||||
Balance,2019年12月31日
|
| | | | 4,094,945 | | | | | $ | 0.89 | | | | | | | | | | | | | | |
授予期權
|
| | | | 1,245,865 | | | | | $ | 1.19 | | | | | | | | | | | | | | |
行使的選項
|
| | | | (18,545) | | | | | $ | 0.70 | | | | | | | | | | | | | | |
選項被沒收
|
| | | | (677,108) | | | | | $ | 0.84 | | | | | | | | | | | | | | |
選項過期
|
| | | | (57,292) | | | | | $ | 0.75 | | | | | | | | | | | | | | |
Balance,2020年12月31日
|
| | | | 4,587,865 | | | | | $ | 0.98 | | | | | $ | 3,511 | | | | | | 7.8 | | |
自2020年12月31日起可行使
|
| | | | 2,810,305 | | | | | $ | 0.87 | | | | | $ | 2,423 | | | | | | 6.4 | | |
已歸屬且預計將於2020年12月31日歸屬
|
| | | | 4,238,715 | | | | | $ | 1.00 | | | | | $ | 3,274 | | | | | | 7.7 | | |
| | |
12月31日
2019 |
| |
12月31日
2020 |
| ||||||
可轉換優先股(已轉換)
|
| | | | 12,528,612 | | | | | | 12,528,612 | | |
已發行和未償還的期權
|
| | | | 4,094,945 | | | | | | 4,587,865 | | |
A-1系列優先股認股權證
|
| | | | 55,873 | | | | | | — | | |
普通股認股權證
|
| | | | 257,004 | | | | | | 201,131 | | |
合計
|
| | | | 16,936,434 | | | | | | 17,317,608 | | |
| | |
12月31日
2019 |
| |
12月31日
2020 |
| ||||||
淨虧損
|
| | | $ | (4,842) | | | | | $ | (7,839) | | |
累計優先股股息
|
| | | | (3,920) | | | | | | (4,234) | | |
普通股股東應佔淨虧損
|
| | | $ | (8,762) | | | | | $ | (12,073) | | |
加權平均已發行普通股-基本和稀釋
|
| | | | 469,706 | | | | | | 508,112 | | |
合計
|
| | | $ | (18.66) | | | | | $ | (23.76) | | |
| | |
截至2010年12月31日的年度
|
| |||||||||
| | |
2019
|
| |
2020
|
| ||||||
國內
|
| | | $ | (3,489) | | | | | $ | (7,268) | | |
外來
|
| | | | (1,353) | | | | | | (571) | | |
合計
|
| | | $ | (4,842) | | | | | $ | (7,839) | | |
| | |
截至2010年12月31日的年度
|
| |||||||||
| | |
2019
|
| |
2020
|
| ||||||
按聯邦法定税率計算的所得税
|
| | | | 21.0% | | | | | | 21.0% | | |
扣除聯邦福利後的州税
|
| | | | 6.5% | | | | | | 7.1% | | |
估值免税額變動
|
| | | | (34.5%) | | | | | | (35.8%) | | |
研發積分
|
| | | | 10.5% | | | | | | 10.7% | | |
利息支出
|
| | | | (2.0%) | | | | | | (3.2%) | | |
股權薪酬
|
| | | | (1.4%) | | | | | | (1.0%) | | |
其他
|
| | | | (0.1%) | | | | | | 1.2% | | |
實際所得税率
|
| | | | 0.0% | | | | | | 0.0% | | |
| | |
12月31日
2019 |
| |
12月31日
2020 |
| ||||||
遞延税金資產: | | | | | | | | | | | | | |
淨營業虧損結轉
|
| | | $ | 9,902 | | | | | $ | 11,060 | | |
税收抵免結轉
|
| | | | 2,397 | | | | | | 3,713 | | |
股權薪酬
|
| | | | 74 | | | | | | 291 | | |
其他
|
| | | | — | | | | | | 137 | | |
遞延税金資產
|
| | | | 12,373 | | | | | | 15,201 | | |
減去:估值免税額
|
| | | | (12,365) | | | | | | (15,179) | | |
減值後的遞延税項資產
|
| | | | 8 | | | | | | 22 | | |
遞延納税義務 | | | | | | | | | | | | | |
固定資產
|
| | | | (8) | | | | | | (22) | | |
遞延納税義務
|
| | | | (8) | | | | | | (22) | | |
遞延税金淨資產
|
| | | $ | — | | | | | $ | — | | |
| | |
第
頁
|
| |||
截至2020年12月31日和2021年6月30日的合併資產負債表
|
| | | | F-29 | | |
截至6月30日的六個月的合併經營報表和全面虧損
2020年和2021年6月30日 |
| | | | F-30 | | |
截至2020年6月30日和2021年6月30日的6個月可轉換優先股和股東虧損合併報表
|
| | | | F-31 | | |
截至2020年6月30日的六個月現金流量表合併報表
和2021年6月30日 |
| | | | F-32 | | |
合併財務報表附註
|
| | | | F-33 | | |
| | |
截至
|
| |||||||||
| | |
2020年12月31日
|
| |
2021年6月30日
|
| ||||||
| | | | | | | | |
(未審核)
|
| |||
資產 | | | | | | | | | | | | | |
流動資產 | | | | | | | | | | | | | |
現金和現金等價物
|
| | | $ | 5,189 | | | | | $ | 11,300 | | |
授予應收賬款
|
| | | | 564 | | | | | | 2,264 | | |
預付費用
|
| | | | 544 | | | | | | 766 | | |
其他應收賬款
|
| | | | 588 | | | | | | 288 | | |
其他流動資產
|
| | | | 23 | | | | | | 65 | | |
流動資產總額
|
| | | | 6,908 | | | | | | 14,683 | | |
延期發售成本
|
| | | | — | | | | | | 2,441 | | |
財產和設備,淨額
|
| | | | 211 | | | | | | 165 | | |
總資產
|
| | | $ | 7,119 | | | | | $ | 17,289 | | |
負債、可轉換優先股和股東虧損 | | | | | | | | | | | | | |
流動負債 | | | | | | | | | | | | | |
應付帳款
|
| | | | 2,003 | | | | | | 3,657 | | |
應計費用
|
| | | | 994 | | | | | | 1,802 | | |
其他流動負債
|
| | | | 253 | | | | | | 765 | | |
流動負債總額
|
| | | | 3,250 | | | | | | 6,224 | | |
未來股權的簡單協議
|
| | | | — | | | | | | 9,986 | | |
支付寶保障計劃貸款
|
| | | | 443 | | | | | | — | | |
衍生負債
|
| | | | 2,209 | | | | | | — | | |
可轉換票據,淨額
|
| | | | 12,409 | | | | | | — | | |
應計利息
|
| | | | 1,622 | | | | | | — | | |
總負債
|
| | | | 19,933 | | | | | | 16,210 | | |
承付款和或有事項 | | | | | | | | | | | | | |
可轉換優先股: | | | | | | | | | | | | | |
A系列可轉換優先股,每股票面價值0.001美元,2021年12月31日和2021年6月30日授權發行的3,067,519股,截至2020年12月31日和2021年6月30日已發行和發行的2,819,027股;截至2021年6月30日的清算優先權為4,955美元
|
| | | | 4,616 | | | | | | 4,616 | | |
A-1系列可轉換優先股,每股票面價值0.001美元,截至2021年12月31日和2021年6月30日授權發行的3970,776股,截至2020年12月31日和2021年6月30日已發行和發行的3,730,366股;截至2021年6月30日的清算優先權為5,794美元
|
| | | | 5,398 | | | | | | 5,398 | | |
A-2系列可轉換優先股,每股票面價值0.001美元,2021年12月31日和2021年6月30日授權發行的3,565,063股,截至2020年12月31日和2021年6月30日發行和發行的3,565,063股;截至2021年6月30日的清算優先權為6,235美元
|
| | | | 5,809 | | | | | | 5,809 | | |
B系列可轉換優先股,每股票面價值0.001美元,截至2021年12月31日和2021年6月30日已發行和發行的30,450,000股授權股票,截至2021年12月31日和2021年6月30日已發行和發行的股票30,409,890股;截至2021年6月30日的清算優先股為42,446美元
|
| | | | 39,547 | | | | | | 39,547 | | |
B-1系列可轉換優先股,每股票面價值0.001美元,0和10,928,155股
授權日期分別為2020年12月31日和2021年6月30日,分別為0和10,926,089 截至2020年12月31日和2021年6月30日發行和發行的股票;清算 截至2021年6月30日,優惠15,332美元 |
| | | | — | | | | | | 29,391 | | |
可轉換優先股合計
|
| | | | 55,370 | | | | | | 84,761 | | |
股東虧損: | | | | | | | | | | | | | |
普通股,面值0.001美元,分別於2020年12月31日和2021年6月30日授權發行5800萬股和7000萬股;分別於2020年12月31日和2021年6月30日發行和發行538,793股和610,077股
|
| | | | 1 | | | | | | 1 | | |
新增實收資本
|
| | | | 222 | | | | | | 65 | | |
累計虧損
|
| | | | (68,220) | | | | | | (83,555) | | |
累計其他綜合損失
|
| | | | (187) | | | | | | (193) | | |
股東虧損總額
|
| | | | (68,184) | | | | | | (83,682) | | |
總負債、可轉換優先股和股東赤字
|
| | | $ | 7,119 | | | | | $ | 17,289 | | |
| | |
截至6月30日的6個月
|
| |||||||||
| | |
2020
|
| |
2021
|
| ||||||
運營費用: | | | | | | | | | | | | | |
研發
|
| | | $ | 6,201 | | | | | $ | 9,324 | | |
一般和行政
|
| | | | 2,625 | | | | | | 2,243 | | |
總運營費用
|
| | | | 8,826 | | | | | | 11,567 | | |
運營損失
|
| | | | (8,826) | | | | | | (11,567) | | |
其他收入(費用): | | | | | | | | | | | | | |
贈款收入
|
| | | | 4,954 | | | | | | 9,338 | | |
衍生負債公允價值變動
|
| | | | 247 | | | | | | 2,209 | | |
權證負債公允價值變動
|
| | | | 32 | | | | | | — | | |
未來股權簡易協議的公允價值變動
|
| | | | — | | | | | | (1,044) | | |
其他收入,淨額
|
| | | | 258 | | | | | | 248 | | |
債務清償收益(虧損)
|
| | | | (129) | | | | | | 443 | | |
利息費用淨額
|
| | | | (716) | | | | | | (894) | | |
其他收入(費用)合計,淨額
|
| | | | 4,646 | | | | | | 10,300 | | |
淨虧損
|
| | | | (4,180) | | | | | | (1,267) | | |
累計優先股股息
|
| | | | (2,106) | | | | | | (2,467) | | |
普通股股東應佔淨虧損
|
| | | $ | (6,286) | | | | | $ | (3,734) | | |
外幣折算未實現虧損
|
| | | | (58) | | | | | | (6) | | |
全面虧損
|
| | | $ | (4,238) | | | | | $ | (1,273) | | |
普通股股東每股基本和攤薄淨虧損
|
| | | $ | (13.13) | | | | | $ | (6.53) | | |
加權平均已發行普通股、基本普通股和稀釋普通股
|
| | | | 478,751 | | | | | | 571,921 | | |
| | |
系列A
可兑換 優先股 |
| |
系列A-1
可兑換 優先股 |
| |
系列A-2
可兑換 優先股 |
| |
系列B
可兑換 優先股 |
| | |
普通股
|
| |
其他
實收 大寫 |
| |
累計
赤字 |
| |
累計
其他 綜合 虧損 |
| |
合計
股東的 赤字 |
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | |
個共享
|
| |
金額
|
| |
個共享
|
| |
金額
|
| |
個共享
|
| |
金額
|
| |
個共享
|
| |
金額
|
| | |
個共享
|
| |
金額
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||
截至2019年12月31日的餘額
|
| | | | 2,819,027 | | | | | $ | 4,413 | | | | | | 3,730,366 | | | | | $ | 5,160 | | | | | | 3,565,063 | | | | | $ | 5,552 | | | | | | 30,409,890 | | | | | $ | 37,802 | | | | | | | 469,751 | | | | | $ | 1 | | | | | $ | 1 | | | | | $ | (58,239) | | | | | $ | (185) | | | | | $ | (58,422) | | |
行使股票期權
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | 16,694 | | | | | | — | | | | | | 11 | | | | | | — | | | | | | — | | | | | | 11 | | |
行使普通股認股權證
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | 50,497 | | | | | | — | | | | | | 34 | | | | | | — | | | | | | — | | | | | | 34 | | |
股權薪酬
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | — | | | | | | — | | | | | | 213 | | | | | | — | | | | | | — | | | | | | 213 | | |
可轉換優先股增加到贖回價值
|
| | | | — | | | | | | 176 | | | | | | — | | | | | | 204 | | | | | | — | | | | | | 222 | | | | | | — | | | | | | 1,504 | | | | | | | — | | | | | | — | | | | | | (258) | | | | | | (1,848) | | | | | | — | | | | | | (2,106) | | |
其他綜合虧損
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | (58) | | | | | | (58) | | |
淨虧損
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | — | | | | | | — | | | | | | — | | | | | | (4,180) | | | | | | — | | | | | | (4,180) | | |
截至2020年6月30日的餘額
|
| | | | 2,819,027 | | | | | $ | 4,589 | | | | | | 3,730,366 | | | | | $ | 5,364 | | | | | | 3,565,063 | | | | | $ | 5,774 | | | | | | 30,409,890 | | | | | $ | 39,306 | | | | | | | 536,942 | | | | | $ | 1 | | | | | $ | 1 | | | | | $ | (64,267) | | | | | $ | (243) | | | | | $ | (64,508) | | |
| | |
系列A
可兑換 優先股 |
| |
系列A-1
可兑換 優先股 |
| |
系列A-2
可兑換 首選 |
| |
系列B
可兑換 優先股 |
| |
系列B-1
可兑換 優先股 |
| | |
普通股
|
| |
其他
實收 大寫 |
| |
累計
赤字 |
| |
累計
其他 綜合 虧損 |
| |
合計
股東的 赤字 |
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | |
個共享
|
| |
金額
|
| |
個共享
|
| |
金額
|
| |
個共享
|
| |
金額
|
| |
個共享
|
| |
金額
|
| |
個共享
|
| |
金額
|
| | |
個共享
|
| |
金額
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
截至2020年12月31日的餘額
|
| | | | 2,819,027 | | | | | $ | 4,616 | | | | | | 3,730,366 | | | | | $ | 5,398 | | | | | | 3,565,063 | | | | | $ | 5,809 | | | | | | 30,409,890 | | | | | $ | 39,547 | | | | | | — | | | | | $ | — | | | | | | | 538,793 | | | | | $ | 1 | | | | | $ | 222 | | | | | $ | (68,220) | | | | | $ | (187) | | | | | $ | (68,184) | | |
行使股票期權
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | 20,787 | | | | | | — | | | | | | 14 | | | | | | — | | | | | | — | | | | | | 14 | | |
行使普通股認股權證
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | 50,497 | | | | | | — | | | | | | 34 | | | | | | — | | | | | | — | | | | | | 34 | | |
股權薪酬
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | — | | | | | | — | | | | | | 192 | | | | | | — | | | | | | — | | | | | | 192 | | |
債務轉換後發行B-1系列可轉換優先股
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 10,926,089 | | | | | | 29,391 | | | | | | | — | | | | | | — | | | | | | (397) | | | | | | (14,068) | | | | | | — | | | | | | (14,465) | | |
其他綜合虧損
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | (6) | | | | | | (6) | | |
淨虧損
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | — | | | | | | — | | | | | | — | | | | | | (1,267) | | | | | | — | | | | | | (1,267) | | |
截至2021年6月30日的餘額
|
| | | | 2,819,027 | | | | | $ | 4,616 | | | | | | 3,730,366 | | | | | $ | 5,398 | | | | | | 3,565,063 | | | | | $ | 5,809 | | | | | | 30,409,890 | | | | | $ | 39,547 | | | | | | 10,926,089 | | | | | $ | 29,391 | | | | | | | 610,077 | | | | | $ | 1 | | | | | $ | 65 | | | | | $ | (83,555) | | | | | $ | (193) | | | | | $ | (83,682) | | |
| | |
截至6月30日的6個月
|
| |||||||||
| | |
2020
|
| |
2021
|
| ||||||
經營活動現金流: | | | | | | | | | | | | | |
淨虧損
|
| | | $ | (4,180) | | | | | $ | (1,267) | | |
調整以調整淨虧損與經營活動中使用的淨現金: | | | | | | | | | | | | | |
折舊攤銷
|
| | | | 50 | | | | | | 47 | | |
債務發行成本攤銷
|
| | | | 16 | | | | | | 31 | | |
債務貼現攤銷
|
| | | | 308 | | | | | | 352 | | |
衍生負債公允價值變動
|
| | | | (247) | | | | | | (2,209) | | |
權證負債公允價值變動
|
| | | | (32) | | | | | | — | | |
未來股權簡易協議的公允價值變動
|
| | | | — | | | | | | 1,044 | | |
債務清償虧損(收益)
|
| | | | 129 | | | | | | (443) | | |
股權薪酬
|
| | | | 213 | | | | | | 192 | | |
經營性資產和負債變動:
|
| | | | | | | | | | | | |
授予應收賬款
|
| | | | 1,604 | | | | | | (1,700) | | |
預付費用和其他流動資產
|
| | | | 12 | | | | | | (270) | | |
其他應收賬款
|
| | | | 107 | | | | | | 289 | | |
應付帳款
|
| | | | (700) | | | | | | 420 | | |
應計費用和利息
|
| | | | 285 | | | | | | 1,320 | | |
其他流動負債
|
| | | | 443 | | | | | | 512 | | |
經營活動使用的淨現金
|
| | | | (1,992) | | | | | | (1,682) | | |
投資活動現金流: | | | | | | | | | | | | | |
物業和設備付款
|
| | | | (10) | | | | | | — | | |
投資活動使用的淨現金
|
| | | | (10) | | | | | | — | | |
融資活動現金流: | | | | | | | | | | | | | |
資本租賃債務付款
|
| | | | (4) | | | | | | — | | |
發行未來股權簡易協議的收益
|
| | | | — | | | | | | 8,942 | | |
行使認股權證收益
|
| | | | 34 | | | | | | 34 | | |
行使股票期權收益
|
| | | | 11 | | | | | | 14 | | |
發行可轉換票據所得款項
|
| | | | 5,234 | | | | | | — | | |
延期發售成本
|
| | | | — | | | | | | (1,189) | | |
與可轉換票據相關的債務發行成本
|
| | | | (93) | | | | | | — | | |
融資活動提供的淨現金
|
| | | | 5,182 | | | | | | 7,801 | | |
匯率變動對現金和現金等價物的影響
|
| | | | (56) | | | | | | (8) | | |
現金和現金等價物淨增長
|
| | | | 3,124 | | | | | | 6,111 | | |
現金和現金等價物 | | | | | | | | | | | | | |
期初 - 現金和現金等價物
|
| | | | 2,890 | | | | | | 5,189 | | |
現金和現金等價物 - 期末
|
| | | $ | 6,014 | | | | | $ | 11,300 | | |
非現金融資活動補充披露: | | | | | | | | | | | | | |
可轉換優先股非現金增值至贖回價值
|
| | | $ | 2,106 | | | | | $ | — | | |
應付賬款中包含的延期發售成本
|
| | | $ | — | | | | | $ | 1,252 | | |
債務轉換後發行B-1系列可轉換優先股
|
| | | $ | — | | | | | $ | 29,391 | | |
| | |
截至2020年12月31日
|
| |||||||||||||||||||||
|
報價計價
活躍市場 (一級) |
| |
其他重要人物
可觀察到的輸入 (二級) |
| |
意義重大
看不見 輸入 (三級) |
| |
合計
|
| ||||||||||||||
資產: | | | | | | | | | | | | | | | | | | | | | | | | | |
貨幣市場基金
|
| | | $ | 2,853 | | | | | $ | — | | | | | $ | — | | | | | $ | 2,853 | | |
總資產
|
| | | $ | 2,853 | | | | | $ | — | | | | | $ | — | | | | | $ | 2,853 | | |
負債: | | | | | | | | | | | | | | | | | | | | | | | | | |
衍生負債
|
| | | $ | — | | | | | $ | — | | | | | $ | 2,209 | | | | | $ | 2,209 | | |
總負債
|
| | | $ | — | | | | | $ | — | | | | | $ | 2,209 | | | | | $ | 2,209 | | |
| | |
截至2021年6月30日
|
| |||||||||||||||||||||
| | |
報價計價
活躍市場 (一級) |
| |
其他重要人物
可觀察到的輸入 (二級) |
| |
意義重大
看不見 輸入(第3級) |
| |
合計
|
| ||||||||||||
資產: | | | | | | | | | | | | | | | | | | | | | | | | | |
貨幣市場基金
|
| | | $ | 8,854 | | | | | $ | — | | | | | $ | — | | | | | $ | 8,854 | | |
總資產
|
| | | $ | 8,854 | | | | | $ | — | | | | | $ | — | | | | | $ | 8,854 | | |
負債: | | | | | | | | | | | | | | | | | | | | | | | | | |
未來股權的簡單協議
|
| | | $ | — | | | | | $ | — | | | | | $ | 9,986 | | | | | $ | 9,986 | | |
總負債
|
| | | $ | — | | | | | $ | — | | | | | $ | 9,986 | | | | | $ | 9,986 | | |
| | |
截至2020年6月30日的6個月
|
| |||||||||||||||
| | |
擔保責任
|
| |
衍生產品
責任 |
| |
合計
|
| |||||||||
2019年12月31日的餘額
|
| | | $ | 181 | | | | | $ | 1,493 | | | | | $ | 1,674 | | |
發行可轉換票據時確認的公允價值
|
| | | | — | | | | | | 718 | | | | | | 718 | | |
負債公允價值變動
|
| | | | (32) | | | | | | (247) | | | | | | (279) | | |
2020年6月30日的餘額
|
| | | $ | 149 | | | | | $ | 1,964 | | | | | $ | 2,113 | | |
| | |
截至2021年6月30日的6個月
|
| |||||||||||||||
| | |
安全
|
| |
衍生產品
責任 |
| |
合計
|
| |||||||||
2020年12月31日的餘額
|
| | | $ | — | | | | | $ | 2,209 | | | | | $ | 2,209 | | |
外管局發行時確認的公允價值
|
| | | | 8,942 | | | | | | — | | | | | | 8,942 | | |
負債公允價值變動
|
| | | | 1,044 | | | | | | (2,209) | | | | | | (1,165) | | |
2021年6月30日的餘額
|
| | | $ | 9,986 | | | | | $ | — | | | | | $ | 9,986 | | |
| | |
3月25日
2021 (發行) |
| |
06月30日
2021 |
| ||||||
預期期限(以年為單位)
|
| | | | 0.35 | | | | | | 0.17 | | |
轉換時的折扣
|
| | | | 20% | | | | | | 20% | | |
隱含回報貼現率
|
| | | | 18.9% | | | | | | 18.9% | | |
首次公開募股發生的可能性
|
| | | | 45% | | | | | | 70% | | |
溶解事件發生的概率
|
| | | | 15% | | | | | | 8% | | |
股權融資發生的概率
|
| | | | 37% | | | | | | 20% | | |
控件發生更改的概率
|
| | | | 3% | | | | | | 2% | | |
| | |
截至
的成本
|
| |||||||||
| | |
12月31日
2020 |
| |
06月30日
2021 |
| ||||||
員工薪酬、福利和相關應計項目
|
| | | $ | 732 | | | | | $ | 606 | | |
研發成本
|
| | | | 143 | | | | | | 1,196 | | |
專業費
|
| | | | 119 | | | | | | — | | |
合計
|
| | | $ | 994 | | | | | $ | 1,802 | | |
| | |
經營租賃
|
| |||
2021
|
| | | $ | 59 | | |
2022
|
| | | | 118 | | |
2023
|
| | | | 59 | | |
租賃承諾額合計
|
| | | $ | 236 | | |
| | |
截至6個月
06月30日 |
| |||||||||
| | |
2020
|
| |
2021
|
| ||||||
息票利息
|
| | | $ | 398 | | | | | $ | 512 | | |
發行成本攤銷
|
| | | | 16 | | | | | | 31 | | |
折價攤銷
|
| | | | 308 | | | | | | 352 | | |
| | | | $ | 722 | | | | | $ | 895 | | |
首選類別
|
| |
優先股
授權 |
| |
首選
庫存 已發佈和 出色的 |
| |
賬面價值
|
| |
清算
首選項 |
| |
普通股
可於 簽發 轉換 |
| |||||||||||||||
A系列優先股
|
| | | | 3,067,519 | | | | | | 2,819,027 | | | | | $ | 4,616 | | | | | $ | 4,766 | | | | | | 871,541 | | |
系列A-1優先股
|
| | | | 3,970,776 | | | | | | 3,730,366 | | | | | | 5,398 | | | | | | 5,572 | | | | | | 1,153,290 | | |
系列A-2優先股
|
| | | | 3,565,063 | | | | | | 3,565,063 | | | | | | 5,809 | | | | | | 5,997 | | | | | | 1,102,182 | | |
B系列優先股
|
| | | | 30,450,000 | | | | | | 30,409,890 | | | | | | 39,547 | | | | | | 40,826 | | | | | | 9,401,599 | | |
合計
|
| | | | 41,053,358 | | | | | | 40,524,346 | | | | | $ | 55,370 | | | | | $ | 57,161 | | | | | | 12,528,612 | | |
首選類別
|
| |
優先股
授權 |
| |
優先股
已發佈和 出色的 |
| |
賬面價值
|
| |
清算
首選項 |
| |
普通股
可於 簽發 轉換 |
| |||||||||||||||
A系列優先股
|
| | | | 3,067,519 | | | | | | 2,819,027 | | | | | $ | 4,616 | | | | | $ | 4,955 | | | | | | 871,541 | | |
系列A-1優先股
|
| | | | 3,970,776 | | | | | | 3,730,366 | | | | | | 5,398 | | | | | | 5,794 | | | | | | 1,153,290 | | |
系列A-2優先股
|
| | | | 3,565,063 | | | | | | 3,565,063 | | | | | | 5,809 | | | | | | 6,235 | | | | | | 1,102,182 | | |
B系列優先股
|
| | | | 30,450,000 | | | | | | 30,409,890 | | | | | | 39,547 | | | | | | 42,446 | | | | | | 9,401,599 | | |
B-1系列優先股
|
| | | | 10,928,155 | | | | | | 10,926,089 | | | | | | 29,391 | | | | | | 15,332 | | | | | | 3,377,925 | | |
合計
|
| | | | 51,981,513 | | | | | | 51,450,435 | | | | | $ | 84,761 | | | | | $ | 74,762 | | | | | | 15,906,537 | | |
認股權證數量
|
| |
練習
價格 |
| |
過期
日期 |
| |||
50,497 | | | | $ | 0.68 | | | |
2021年5月
|
|
116,144 | | | | $ | 0.03 | | | |
2023年3月
|
|
24,171 | | | | $ | 0.03 | | | |
2023年5月
|
|
10,319 | | | | $ | 0.03 | | | |
2023年8月
|
|
認股權證數量
|
| |
練習
價格 |
| |
過期
日期 |
| |||
116,144 | | | | $ | 0.03 | | | |
2023年3月
|
|
24,171 | | | | $ | 0.03 | | | |
2023年5月
|
|
10,319 | | | | $ | 0.03 | | | |
2023年8月
|
|
| | |
2020年12月31日
|
| |
2021年6月30日
|
| ||||||
可轉換優先股(已轉換)
|
| | | | 12,528,612 | | | | | | 15,906,537 | | |
已發行和未償還的期權
|
| | | | 4,587,865 | | | | | | 4,359,575 | | |
普通股認股權證
|
| | | | 201,131 | | | | | | 150,634 | | |
合計
|
| | | | 17,317,608 | | | | | | 20,416,746 | | |
| | |
截至6月30日的6個月
|
| |||||||||
|
2020
|
| |
2021
|
| ||||||||
研發
|
| | | $ | 105 | | | | | $ | 34 | | |
一般和行政
|
| | | | 108 | | | | | | 158 | | |
股權薪酬總額
|
| | | $ | 213 | | | | | $ | 192 | | |
| | |
六個月
截至06月30日 |
| | |||||
| | |
2020
|
| |
2021
|
| | ||
普通股公允價值
|
| |
$1.20
|
| |
$1.75 – $6.15
|
| | | |
預期波動率
|
| |
104.60% – 109.34%
|
| |
100.82% – 101.83%
|
| | ||
無風險利率
|
| |
0.38% – 1.60%
|
| |
0.67% – 1.06%
|
| | ||
股息率
|
| |
0.00%
|
| |
0.00%
|
| | ||
預期期限(年)
|
| |
5.00 – 6.25
|
| |
5.00 – 6.22
|
| |
| | |
未完成的選項
|
| |||||||||||||||||||||
| | |
數量
選項 |
| |
加權-
平均 練習 價格 |
| |
聚合
內在 值 (單位:000) |
| |
加權
平均 剩餘 合同期限 (年) |
| ||||||||||||
Balance,2020年12月31日
|
| | | | 4,587,865 | | | | | $ | 0.98 | | | | | | | | | | | | | | |
授予期權
|
| | | | 67,232 | | | | | $ | 2.25 | | | | | | | | | | | | | | |
行使的選項
|
| | | | (20,787) | | | | | $ | 0.68 | | | | | | | | | | | | | | |
選項被沒收
|
| | | | (129,337) | | | | | $ | 1.06 | | | | | | | | | | | | | | |
選項過期
|
| | | | (145,398) | | | | | $ | 0.93 | | | | | | | | | | | | | | |
餘額,2021年6月30日
|
| | | | 4,359,575 | | | | | $ | 1.00 | | | | | $ | 22,434 | | | | | | 7.4 | | |
自2021年6月30日起可行使
|
| | | | 2,945,217 | | | | | $ | 0.91 | | | | | $ | 15,434 | | | | | | 6.4 | | |
已歸屬,預計將於2021年6月30日歸屬
|
| | | | 4,010,425 | | | | | $ | 0.99 | | | | | $ | 20,661 | | | | | | 7.3 | | |
| | |
2020年12月31日
|
| |
2021年6月30日
|
| ||||||
可轉換優先股(已轉換)
|
| | | | 12,528,612 | | | | | | 15,906,537 | | |
已發行和未償還的期權
|
| | | | 4,587,865 | | | | | | 4,359,575 | | |
普通股認股權證
|
| | | | 201,131 | | | | | | 150,634 | | |
合計
|
| | | | 17,317,608 | | | | | | 20,416,746 | | |
| | |
截至6月30日的6個月
|
| |||||||||
| | |
2020
|
| |
2021
|
| ||||||
淨虧損
|
| | | $ | (4,180) | | | | | $ | (1,267) | | |
累計優先股股息
|
| | | | (2,106) | | | | | | (2,467) | | |
普通股股東應佔淨虧損
|
| | | $ | (6,286) | | | | | $ | (3,734) | | |
加權平均已發行普通股 - 基本和稀釋
|
| | | | 478,751 | | | | | | 571,921 | | |
合計
|
| | | $ | (13.13) | | | | | $ | (6.53) | | |