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X4 Pharmaceuticals, Inc – ‘10-K’ for 12/31/19 – ‘EX-10.39’

On:  Thursday, 3/12/20, at 4:59pm ET   ·   For:  12/31/19   ·   Accession #:  1628280-20-3484   ·   File #:  1-38295

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/12/20  X4 Pharmaceuticals, Inc           10-K       12/31/19  115:15M                                    Workiva Inc Wde… FA01/FA

Annual Report   —   Form 10-K   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML   1.67M 
 2: EX-4.12     Instrument Defining the Rights of Security Holders  HTML     53K 
 4: EX-10.17    Material Contract                                   HTML     46K 
 5: EX-10.19    Material Contract                                   HTML     44K 
 3: EX-10.2     Material Contract                                   HTML     76K 
 6: EX-10.21    Material Contract                                   HTML     45K 
 7: EX-10.22    Material Contract                                   HTML     86K 
 8: EX-10.23    Material Contract                                   HTML     67K 
 9: EX-10.32    Material Contract                                   HTML    410K 
10: EX-10.35    Material Contract                                   HTML    137K 
11: EX-10.36    Material Contract                                   HTML     41K 
12: EX-10.37    Material Contract                                   HTML     41K 
13: EX-10.38    Material Contract                                   HTML    171K 
14: EX-10.39    Material Contract                                   HTML     39K 
15: EX-21.1     Subsidiaries List                                   HTML     32K 
16: EX-23.1     Consent of Experts or Counsel                       HTML     32K 
17: EX-31.1     Certification -- §302 - SOA'02                      HTML     38K 
18: EX-31.2     Certification -- §302 - SOA'02                      HTML     38K 
19: EX-32.1     Certification -- §906 - SOA'02                      HTML     35K 
20: EX-32.2     Certification -- §906 - SOA'02                      HTML     34K 
29: R1          Cover                                               HTML     99K 
91: R2          Consolidated Balance Sheets                         HTML    118K 
99: R3          Consolidated Balance Sheets (Parenthetical)         HTML     59K 
69: R4          Consolidated Statements of Operations and           HTML     91K 
                Comprehensive Loss                                               
32: R5          Consolidated Statements of Convertible Preferred    HTML    130K 
                Stock, Redeemable Common Stock and Stockholders'                 
                Equity (Deficit)                                                 
94: R6          Consolidated Statements of Convertible Preferred    HTML     39K 
                Stock, Redeemable Common Stock and Stockholders'                 
                Equity (Deficit) (Parenthetical)                                 
102: R7          Consolidated Statements of Cash Flows               HTML    135K  
66: R8          Nature of the Business and Basis of Presentation    HTML     53K 
33: R9          Summary of Significant Accounting Policies          HTML    166K 
111: R10         Merger Accounting                                   HTML     68K  
81: R11         License, Collaboration, and Funding Agreements      HTML     64K 
46: R12         Fair Value of Financial Assets and Liabilities      HTML    103K 
61: R13         Property and Equipment, Net                         HTML     50K 
112: R14         Accrued Expenses                                    HTML     44K  
82: R15         Long-Term Debt                                      HTML     77K 
47: R16         Leases                                              HTML     77K 
62: R17         Commitment and Contingencies                        HTML     42K 
113: R18         Preferred and Common Stock Warrants                 HTML    160K  
80: R19         Common Stock, Redeemable Common Stock and           HTML     69K 
                Convertible Preferred Stock (converted to Common                 
                Stock)                                                           
27: R20         Stock-Based Compensation                            HTML    107K 
63: R21         Income Taxes                                        HTML    136K 
95: R22         Net Loss per Share                                  HTML     74K 
85: R23         Loss on Transfer of Nonfinancial Assets             HTML     37K 
28: R24         Summary of Significant Accounting Policies          HTML    200K 
                (Policies)                                                       
64: R25         Summary of Significant Accounting Policies          HTML     72K 
                (Tables)                                                         
96: R26         Merger Accounting (Tables)                          HTML     66K 
86: R27         Fair Value of Financial Assets and Liabilities      HTML     96K 
                (Tables)                                                         
26: R28         Property and Equipment, Net (Tables)                HTML     50K 
65: R29         Accrued Expenses (Tables)                           HTML     44K 
60: R30         Long-Term Debt (Tables)                             HTML     56K 
44: R31         Leases (Tables)                                     HTML     68K 
84: R32         Preferred and Common Stock Warrants (Tables)        HTML    159K 
115: R33         Common Stock, Redeemable Common Stock and           HTML     59K  
                Convertible Preferred Stock (converted to Common                 
                Stock) (Tables)                                                  
58: R34         Stock-Based Compensation (Tables)                   HTML    101K 
43: R35         Income Taxes (Tables)                               HTML    136K 
83: R36         Net Loss per Share (Tables)                         HTML     74K 
114: R37         Nature of the Business and Basis of Presentation    HTML     61K  
                (Details)                                                        
55: R38         Summary of Significant Accounting Policies -        HTML     55K 
                Schedule of Restricted Cash (Details)                            
45: R39         Summary of Significant Accounting Policies -        HTML     44K 
                Schedule of Cash, Cash Equivalents and Restricted                
                Cash (Details)                                                   
72: R40         Summary of Significant Accounting Policies -        HTML     47K 
                Schedule of Property, Plant and Equipment                        
                (Details)                                                        
35: R41         Summary of Significant Policies - Additional        HTML     54K 
                Information (Details)                                            
89: R42         Merger Accounting - Additional Information          HTML     64K 
                (Details)                                                        
98: R43         Merger Accounting - Preliminary Purchase Price      HTML     50K 
                Paid (Details)                                                   
71: R44         Merger Accounting - Summary of Purchase Price       HTML     61K 
                Allocation (Details)                                             
34: R45         Merger Accounting - Supplemental Pro Forma          HTML     37K 
                Information (Details)                                            
88: R46         License, Collaboration, and Funding Agreements -    HTML     56K 
                Genzyme Agreement (Details)                                      
97: R47         License, Collaboration, and Funding Agreements -    HTML     43K 
                Georgetown Agreement (Details)                                   
70: R48         License, Collaboration, and Funding Agreements -    HTML     38K 
                Beth Israel Deaconess Medical Center Agreements                  
                (Details)                                                        
36: R49         License, Collaboration, and Funding Agreements -    HTML     46K 
                Research and Development Incentive Program                       
                (Details)                                                        
41: R50         Fair Value of Financial Assets and Liabilities -    HTML     57K 
                Measured on a Recurring Basis (Details)                          
52: R51         Fair Value of Financial Assets and Liabilities -    HTML     54K 
                Narrative (Details)                                              
104: R52         Fair Value of Financial Assets and Liabilities      HTML     53K  
                -Aggregate Fair Value of Warrant and Derivative                  
                Liabilities (Details)                                            
73: R53         Property and Equipment, Net (Details)               HTML     57K 
42: R54         Accrued Expenses (Details)                          HTML     46K 
53: R55         Long-Term Debt - Schedule of Long-Term Debt         HTML     46K 
                (Details)                                                        
105: R56         Long-Term Debt - SVB Loan Agreement (Details)       HTML     58K  
74: R57         Long-Term Debt - Hercules Loan Agreements           HTML     73K 
                (Details)                                                        
40: R58         Long-Term Debt - 2019 Amended and Restated Loan     HTML    104K 
                Agreement (Details)                                              
54: R59         Long-Term Debt - FFG Loan Agreements (Details)      HTML     58K 
100: R60         Long-Term Debt - Future Principal Payments          HTML     47K  
                (Details)                                                        
92: R61         Leases (Details)                                    HTML     84K 
30: R62         Leases - Schedule of Components of Lease Expense    HTML     53K 
                (Details)                                                        
67: R63         Leases - Schedule of Maturities of Lease            HTML     47K 
                Liabilities (Detail)                                             
101: R64         Leases - Schedule of Lease Liability Not Yet        HTML     51K  
                Commenced (Details)                                              
93: R65         Leases - Future Minimum Lease Payments (Details)    HTML     46K 
31: R66         Commitment and Contingencies (Details)              HTML     61K 
68: R67         Preferred and Common Stock Warrants - Additional    HTML     60K 
                Information (Details)                                            
103: R68         Preferred and Common Stock Warrants - Schedule of   HTML     50K  
                Outstanding Warrants (Detail)                                    
90: R69         Preferred and Common Stock Warrants - Summary of    HTML     97K 
                Outstanding Warrants to Purchase Shares of Common                
                Stock (Details)                                                  
77: R70         Common Stock, Redeemable Common Stock and           HTML     89K 
                Convertible Preferred Stock (converted to Common                 
                Stock) - Additional Information (Details)                        
109: R71         Common Stock, Redeemable Common Stock and           HTML     61K  
                Convertible Preferred Stock (converted to Common                 
                Stock) - Schedule of Preferred Stock (Details)                   
50: R72         Stock-Based Compensation - Additional Information   HTML     87K 
                (Details)                                                        
38: R73         Stock-Based Compensation - Stock Option Valuation   HTML     44K 
                (Details)                                                        
76: R74         Stock-Based Compensation - Summary of Stock Option  HTML     92K 
                Activity (Detail)                                                
108: R75         Stock-Based Compensation - Restricted Stock Units   HTML     44K  
                (Details)                                                        
49: R76         Stock-Based Compensation - Summary of Stock-Based   HTML     41K 
                Compensation Expense Classification (Details)                    
37: R77         Income Taxes - Schedule of Income Loss Before       HTML     40K 
                Income Taxes (Details)                                           
79: R78         Income Taxes - Reconciliation of Effective Income   HTML     63K 
                Tax Rate (Details)                                               
106: R79         Income Taxes - Deferred Income Tax Asset (Details)  HTML     64K  
78: R80         Income Taxes - Narrative (Details)                  HTML     52K 
110: R81         Income Taxes - Deferred Tax Valuation Allowance     HTML     41K  
                (Details)                                                        
51: R82         Net Loss per Share - Summary of Basic and Diluted   HTML     49K 
                Net loss per Share Attributable to Common                        
                Stockholders (Details)                                           
39: R83         Net Loss per Share - Additional Information         HTML     47K 
                (Details)                                                        
75: R84         Net Loss per Share - Schedule of Anti-dilutive      HTML     44K 
                Securities Excluded from Computation of Diluted                  
                Net Loss per Share Attributable to Common                        
                Stockholders (Details)                                           
107: R85         Loss on Transfer of Nonfinancial Assets -           HTML     42K  
                Additional Information (Details)                                 
57: XML         IDEA XML File -- Filing Summary                      XML    195K 
87: XML         XBRL Instance -- xfor-20191231_htm                   XML   2.86M 
59: EXCEL       IDEA Workbook of Financial Reports                  XLSX    128K 
22: EX-101.CAL  XBRL Calculations -- xfor-20191231_cal               XML    277K 
23: EX-101.DEF  XBRL Definitions -- xfor-20191231_def                XML    953K 
24: EX-101.LAB  XBRL Labels -- xfor-20191231_lab                     XML   2.13M 
25: EX-101.PRE  XBRL Presentations -- xfor-20191231_pre              XML   1.37M 
21: EX-101.SCH  XBRL Schema -- xfor-20191231                         XSD    260K 
48: JSON        XBRL Instance as JSON Data -- MetaLinks              421±   672K 
56: ZIP         XBRL Zipped Folder -- 0001628280-20-003484-xbrl      Zip   1.00M 


‘EX-10.39’   —   Material Contract


This Exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]



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Exhibit 10.39
AMENDMENT NO. 1 TO MASTER SERVICES AGREEMENT


This amendment (the "Amendment") to the Master Services Agreement by and between X4 Pharmaceuticals, Inc., a Delaware corporation with a business address at 784 Memorial Drive, Suite 140, Cambridge, MA 02139 ("X4"), and Aptuit (Oxford) Limited, incorporated in England and Wales, having an address at 111 Innovation Drive, Milton Park, Abingdon, Oxfordshire, OX14 4RZ, England (the "Company"), dated February 19, 2016 (the "Agreement"), incorporated by reference herein, is effective on 23rd November 2016 (the "Effective Date").

RECITALS

WHEREAS, X4 and Company wish to add the Affiliates of Company (as listed in Annex A hereto) to the Agreement such that they can provide Services under the Agreement, effective 23rd November 2016; and

WHEREAS, this Amendment sets out and/or refers to the additional terms and conditions upon which such change shall be undertaken.

Now, THEREFORE, in consideration of the foregoing and the mutual covenants and promises contained in this Amendment, the parties hereto agree as follows:

1.  Defined terms in the Agreement shall have the same meaning in this Amendment.

2. With X4's prior written consent, the Company may use the Services of its corporate Affiliates to fulfil Aptuit's obligations under the Agreement. Any Affiliate so used shall be subject to all of the terms and conditions applicable to the Company under the Agreement and entitled to all rights and protections afforded to the Company under the Agreement. For the avoidance of doubt, a fully executed Statement of Work clearly stating the intention to use Company's Affiliates shall suffice for the aforementioned prior written consent.

3. Save as otherwise expressly referred to in this Amendment the terms and conditions of the Agreement shall apply in all other respects and remain in full force and effect.


[Remainder of Page Intentionally Left Blank]






IN WITNESS WHEREOF, the parties hereto have executed this AMENDMENT on the Effective Date.


X4 PHARMACEUTICALS, INC.
APTUIT (OXFORD) LIMITED
By: /s/ John CelebiBy: /s/ Petra Dieterich
Printed Name: John CelebiPrinted Name: Petra Dieterich
Title: Chief Operating OfficerTitle: Senior Director API, Head of Site



Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-K’ Filing    Date    Other Filings
Filed on:3/12/208-K
For Period end:12/31/19
2/19/16
 List all Filings 


10 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/21/24  X4 Pharmaceuticals, Inc.          10-K       12/31/23   93:9.5M                                   Workiva Inc Wde… FA01/FA
 3/21/23  X4 Pharmaceuticals, Inc.          10-K       12/31/22   96:34M                                    Workiva Inc Wde… FA01/FA
12/09/22  X4 Pharmaceuticals, Inc.          424B5      12/08/22    1:643K                                   Donnelley … Solutions/FA
12/07/22  X4 Pharmaceuticals, Inc.          424B5                  1:645K                                   Donnelley … Solutions/FA
 3/17/22  X4 Pharmaceuticals, Inc.          10-K       12/31/21  100:10M                                    Workiva Inc Wde… FA01/FA
 1/14/22  X4 Pharmaceuticals, Inc.          424B5                  1:569K                                   Donnelley … Solutions/FA
 3/19/21  X4 Pharmaceuticals, Inc.          10-K       12/31/20  100:12M                                    Workiva Inc Wde… FA01/FA
10/19/20  X4 Pharmaceuticals, Inc.          S-3                    7:1M                                     Donnelley … Solutions/FA
10/16/20  X4 Pharmaceuticals, Inc.          424B5                  1:539K                                   Donnelley … Solutions/FA
 8/07/20  X4 Pharmaceuticals, Inc.          S-3                    8:1.3M                                   Donnelley … Solutions/FA
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Filing Submission 0001628280-20-003484   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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