ARQT 10-K Annual Report Dec. 31, 2021 | Alphaminr

Effective Date August 11, 2021

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ARCUTIS BIOTHERAPEUTICS, INC.

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Name: Arcutis Biotherapeutics, Inc. <br /> CIK: 1787306 <br /> Filing Type: 10-K/A <br /> Report Date: 2021-12-31 <br /> Download URL: https://www.sec.gov/Archives/edgar/data/1787306/000178730622000014/arqt-20211231.htm <br />

TABLE OF CONTENTS

Part I Item 1. Business Item 1A. Risk Factors Item 1B. Unresolved Staff Comments Item 2. Properties Item 3. Legal Proceedings Item 4. Mine Safety Disclosures Part II Item 5. Market For Registrant's Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity Securities Item 6. Selected Financial Data Item 7. Management S Discussion and Analysis Of Financial Condition and Results Of Operations Item 7A. Quantitative and Qualitative Disclosures About Market Risk Item 8. Financial Statements and Supplementary Data Item 9. Changes in and Disagreements with Accountants on Accounting and Financial Disclosure Item 9A. Controls and Procedures Item 9B. Other Information Item 9C. Disclosure Regarding Foreign Jurisdictions That Prevent Inspections Part III Item 10. Directors, Executive Officers and Corporate Governance Item 11. Executive Compensation Item 12. Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder Matters Item 13. Certain Relationships and Related Party Transactions and Director Independence Item 14. Principal Accounting Fees and Services Part IV Item 15. Exhibits and Financial Statement Schedules

Exhibits

3.1 Restated Certificate of Incorporation. S-1/A 1/21/20 3.2 3.2 Restated Bylaws. S-1/A 1/21/20 3.4 4.1 Form of Common Stock Certificate. S-1/A 1/21/20 4.1 4.2 Amended and Restated Investors Rights Agreement, dated October 8, 2019, by and among the Registrant and certain of its stockholders. S-1/A 1/21/20 4.2 4.3 Description of Arcutis Biotherapeutics Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934. 10-K 3/19/20 4.3 10.1# Form of Indemnity Agreement. S-1 1/6/20 10.1 10.2# 2017 Stock Incentive Plan and forms of award agreements. S-1 1/6/20 10.2 10.3# 2020 Stock Incentive Plan and forms of award agreements. S-1/A 1/21/20 10.3 10.4# 2020 Employee Stock Purchase Plan and forms of award agreements. S-1/A 1/21/20 10.4 10.5# 2022 Employment Inducement Incentive Plan and forms of awardagreements. * 10.6# Offer Letter, dated January 9, 2020, by and between the Registrant and Todd Franklin Watanabe. S-1/A 1/21/20 10.5 10.7# Offer Letter, dated January 9, 2020, by and between the Registrant and David W. Osborne. S-1/A 1/21/20 10.6 10.8# Offer Letter, dated January 9, 2020, by and between the Registrant and Howard G. Welgus, M.D. S-1/A 1/21/20 10.7 10.9# Offer Letter, dated January 9, 2020, by and between the Registrant and John W. Smither. S-1/A 1/21/20 10.8 10.10# Offer Letter, dated January 9, 2020, by and between the Registrant and Kenneth A. Lock. S-1/A 1/21/20 10.9 10.11# Offer Letter, dated January 9, 2020, by and between the Registrant and Patricia A. Turney. S-1/A 1/21/20 10.10 10.12# Consulting Agreement, dated August 16, 2016, by and between Bhaskar Chaudhuri and the Registrant. S-1 1/6/20 10.11 10.13^ License Agreement, dated July 23, 2018, by and between AstraZeneca AB and the Registrant. S-1 1/6/20 10.12 10.14^ Exclusive Option and License Agreement, dated January 4, 2018, by and between Jiangsu Hengrui Medicine Co., Ltd. and the Registrant. S-1 1/6/20 10.13 10.15^ Collaboration Agreement, dated June 28, 2019, by and between Hawkeye Therapeutics, Inc. and the Registrant. S-1 1/6/20 10.14 10.16# Transition and Amendment Agreement, dated December13, 2019 by and between Bhaskar Chaudhuri and the Registrant. S-1 1/6/20 10.15 10.17 Option Notice and Amendment No. 2 to Exclusive Option and License Agreement, dated December 5, 2019, by and between Jiangsu Hengrui Medicine Co., Ltd. and the Registrant. S-1 1/6/20 10.16 10.18# Severance Change in Control Agreement, by and between the Registrant and Todd Franklin Watanabe. S-1/A 1/21/20 10.17 10.19# Severance Change in Control Agreement, by and between the Registrant and David W. Osborne. S-1/A 1/21/20 10.18 10.20# Severance Change in Control Agreement, by and between the Registrant and Howard G. Welgus, M.D. S-1/A 1/21/20 10.19 10.21# Severance Change in Control Agreement, by and between the Registrant and John W. Smither. S-1/A 1/21/20 10.20 10.22# Severance Change in Control Agreement, by and between the Registrant and Kenneth A. Lock. S-1/A 1/21/20 10.21 10.23# Severance Change in Control Agreement, by and between the Registrant and Patricia A. Turney. S-1/A 1/21/20 10.22 10.24# Offer Letter, dated December 18, 2020, by and between the Registrant and Matthew R. Moore. 10-K 2/16/21 10.23 10.25# Severance Change in Control Agreement, by and between the Registrant and Matthew R. Moore. 10-K 2/16/21 10.24 10.26^ Supply Agreement, dated November 24, 2020, by and between Registrant and Interquim, S.A. 10-K 2/16/21 10.25 10.27^ Exclusive Distribution Agreement, dated February 8, 2021, by and between the Registrant and Cardinal Health 105, Inc. 10-Q 5/6/21 10.1 10.28# Severance Change in Control Agreement, by and between the Registrant and Scott L. Burrows. 10-Q 5/6/21 10.2 10.29 Sales Agreement, dated May 6, 2021, by and between the Registrant and Cowen and Company, LLC. 10-Q 5/6/21 10.3 10.30 Supply and Manufacturing Agreement, dated September 15, 2021, between DPT Laboratories, Ltd. and the Registrant. 10-Q 11/4/21 10.1 10.31# Offer Letter, datedDecember 13, 2021,by and between the Registrant and Mas Matsuda. * 10.32# Severance Change in Control Agreement, by and between the Registrant and Mas Matsuda. * 10.33^ Loan and Security Agreement, dated December 22, 2021, by and among the Registrant, SLR Investment Corp. and the lenders partythereto. * 23.1 Consent of Independent Registered Public Accounting Firm. * 31.1 Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities and Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. * 31.2 Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities and Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. * 32.1 Certification of Principal Executive Officer and Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. **

* THE VALUE IS THE MARKET VALUE AS OF THE LAST DAY OF THE QUARTER FOR WHICH THE 13F WAS FILED.

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