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SEC Filings

20-F
AC IMMUNE SA filed this Form 20-F on 03/21/2019
Entire Document
 

 

ITEM 19. Exhibits

 

(a) The following documents are filed as part of Annual Report on Form 20-F:

 

3.1 Articles of Association of AC Immune SA (incorporated herein by reference to Exhibit 99.4 to the Company’s Report on Form 6-K, filed with the SEC on May 11, 2017)1
2.1 Registration Rights Agreement (incorporated herein by reference to Exhibit 4.1 to the Company’s Registration Statement on Form F-1 (File No. 333-211714) filed with the SEC on May 31, 2016)2
4.1 Research Collaboration and License Agreement between AC Immune SA Corporation and Genentech, Inc. dated November 6, 2006 (incorporated herein by reference to Exhibit 10.1 to the Company’s Registration Statement on Form F-1 (File No. 333-211714) filed with the SEC on May 31, 2016)3
4.2 Amendment to the Research Collaboration and License Agreement between AC Immune SA Corporation and Genentech, Inc. dated May 7, 2015 (incorporated herein by reference to Exhibit 10.2 to the Company’s Registration Statement on Form F-1 (File No. 333-211714) filed with the SEC on May 31, 2016)4
4.3 Research Collaboration and License Agreement between AC Immune SA Corporation and Genentech, Inc. dated June 15, 2012 (incorporated herein by reference to Exhibit 10.3 to the Company’s Registration Statement on Form F-1 (File No. 333-211714) filed with the SEC on May 31, 2016)5
4.4 License and Collaboration Agreement between Piramal Imaging Ltd., Piramal Imaging SA and AC Immune SA, dated May 9, 2014 (incorporated herein by reference to Exhibit 10.4 to the Company’s Registration Statement on Form F-1 (File No. 333-211714) filed with the SEC on May 31, 2016)6
4.5 License, Development and Commercialization Agreement between Janssen Pharmaceuticals, Inc. and AC Immune SA, dated December 24, 2014 (incorporated herein by reference to Exhibit 10.5 to the Company’s Registration Statement on Form F-1 (File No. 333-211714) filed with the SEC on May 31, 2016)7
4.6 Form of Indemnity Agreement (incorporated herein by reference to Exhibit 10.6 to the Company’s Registration Statement on Form F-1 (File No. 333-211714) filed with the SEC on May 31, 2016)8
4.7 AC Immune SA 2013 Equity Incentive Plan (incorporated herein by reference to Exhibit 10.7 to the Company’s Registration Statement on Form F-1 (File No. 333-211714) filed with the SEC on May 31, 2016)9
4.8 Subscription Agreement among Fidelity entities and AC Immune SA, dated October 16, 2015 (incorporated herein by reference to Exhibit 10.8 to the Company’s Registration Statement on Form F-1 (File No. 333-211714) filed with the SEC on May 31, 2016)10
4.9 Subscription Agreement among Temasek entities and AC Immune SA, dated October 16, 2015 (incorporated herein by reference to Exhibit 10.9 to the Company’s Registration Statement on Form F-1 (File No. 333-211714) filed with the SEC on May 31, 2016)11
4.10 Stock Option Plan - AC Immune of December 31, 2004 (incorporated herein by reference to Exhibit 99.03 to the Company’s Registration Statement on Form S-8, filed with the SEC on September 29, 2016)12
4.11 Employee Stock Option and Share Plan of AC Immune (2005 Plan) (incorporated herein by reference to Exhibit 99.02 to the Company’s Registration Statement on Form S-8, filed with the SEC on September 29, 2016)13
4.12 AC Immune SA 2013 Equity Incentive Plan (incorporated herein by reference to Exhibit 10.7 to the Company’s Registration Statement on Form F-1, filed with the SEC on May 31, 2016)14
4.13 AC Immune SA 2016 Stock Option and Incentive Plan (incorporated herein by reference to Exhibit 99.08 to the Company’s Report on Form 6-K, filed with the SEC on October 13, 2016)15
4.14*† License Agreement between AC Immune SA and Eli Lilly and Company, dated December 11, 2018
4.15* Convertible Note Agreement between AC Immune SA and Eli Lilly and Company, dated December 11, 2018
12.1* Certification of Andrea Pfeifer pursuant to 17 CFR 240.13a-14(a)
12.2* Certification of Joerg Hornstein pursuant to 17 CFR 240.13a-14(a).
13.1* Certification of Andrea Pfeifer pursuant to 17 CFR 240.13a-14(b) and 18 U.S.C.1350
13.2* Certification of Joerg Hornstein pursuant to 17 CFR 240.13a-14(b) and 18 U.S.C.1350
15.1* Consent of Ernst & Young AG
15.2* Consent of PricewaterhouseCoopers SA
101.INS XBRL Instance Document
101.SCH XBRL Taxonomy Extension Schema Document
101.CAL XBRL Taxonomy Extension Calculation Linkbase Document
101.DEF XBRL Taxonomy Extension Definition Linkbase Document
101.LAB XBRL Taxonomy Extension Label Linkbase Document
101.PRE XBRL Taxonomy Extension Presentation Linkbase Document

_________________

 

*Filed herewith

 

Confidential treatment has been granted as to portions of the exhibit (indicated by asterisks). Confidential materials omitted and filed separately with the Securities and Exchange Commission.

 

1 https://www.sec.gov/Archives/edgar/data/1651625/000095010317004487/dp76049_ex9904.htm

 

2 https://www.sec.gov/Archives/edgar/data/1651625/000119312516607922/d16439dex41.htm

 

3 https://www.sec.gov/Archives/edgar/data/1651625/000119312516607922/d16439dex101.htm

 

4 https://www.sec.gov/Archives/edgar/data/1651625/000119312516607922/d16439dex102.htm

 

5 https://www.sec.gov/Archives/edgar/data/1651625/000119312516607922/d16439dex103.htm

 

6 https://www.sec.gov/Archives/edgar/data/1651625/000119312516607922/d16439dex104.htm

 

7 https://www.sec.gov/Archives/edgar/data/1651625/000119312516607922/d16439dex105.htm

 

8 https://www.sec.gov/Archives/edgar/data/1651625/000119312516607922/d16439dex106.htm

 

9 https://www.sec.gov/Archives/edgar/data/1651625/000119312516607922/d16439dex107.htm

 

10 https://www.sec.gov/Archives/edgar/data/1651625/000119312516607922/d16439dex108.htm

 

11 https://www.sec.gov/Archives/edgar/data/1651625/000119312516607922/d16439dex109.htm

 

12 https://www.sec.gov/Archives/edgar/data/1651625/000095010316016688/dp68999_ex9903.htm

 

13 https://www.sec.gov/Archives/edgar/data/1651625/000095010316016688/dp68999_ex9902.htm

 

14 https://www.sec.gov/Archives/edgar/data/1651625/000119312516607922/d16439dex107.htm

 

15 https://www.sec.gov/Archives/edgar/data/1651625/000095010316017052/dp69421_ex9908.htm

 

(b) Financial Statement Schedules

 

None.

 

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