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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/28/24 CASI Pharmaceuticals, Inc. 20-F 12/31/23 142:21M Toppan Merrill Bridge/FA |
Document/Exhibit Description Pages Size
1: 20-F Annual or Annual-Transition Report by a Foreign HTML 3.52M
Non-Canadian Issuer
2: EX-1.1 Underwriting Agreement or Conflict Minerals Report HTML 1.36M
3: EX-2.1 Plan of Acquisition, Reorganization, Arrangement, HTML 58K
Liquidation or Succession
4: EX-4.29 Instrument Defining the Rights of Security Holders HTML 230K
5: EX-4.37 Instrument Defining the Rights of Security Holders HTML 1.10M
6: EX-4.38 Instrument Defining the Rights of Security Holders HTML 321K
7: EX-4.39 Instrument Defining the Rights of Security Holders HTML 56K
8: EX-4.40 Instrument Defining the Rights of Security Holders HTML 336K
9: EX-4.41 Instrument Defining the Rights of Security Holders HTML 315K
10: EX-4.42 Instrument Defining the Rights of Security Holders HTML 140K
11: EX-4.43 Instrument Defining the Rights of Security Holders HTML 128K
12: EX-4.44 Instrument Defining the Rights of Security Holders HTML 121K
13: EX-4.45 Instrument Defining the Rights of Security Holders HTML 314K
14: EX-4.46 Instrument Defining the Rights of Security Holders HTML 92K
15: EX-4.47 Instrument Defining the Rights of Security Holders HTML 122K
16: EX-4.48 Instrument Defining the Rights of Security Holders HTML 60K
17: EX-8.1 Opinion of Counsel re: Tax Matters HTML 38K
21: EX-13.1 Annual or Quarterly Report to Security Holders HTML 41K
22: EX-13.2 Annual or Quarterly Report to Security Holders HTML 41K
24: EX-97.1 Clawback Policy re: Recovery of Erroneously HTML 62K
Awarded Compensation
18: EX-11.1 Statement re: the Computation of Earnings Per HTML 67K
Share
19: EX-12.1 Statement re: the Computation of Ratios HTML 44K
20: EX-12.2 Statement re: the Computation of Ratios HTML 44K
23: EX-15.1 Letter re: Unaudited Interim Financial Info HTML 38K
30: R1 Document and Entity Information HTML 115K
31: R2 Consolidated Balance Sheets HTML 147K
32: R3 Consolidated Balance Sheets (Parenthetical) HTML 50K
33: R4 Consolidated Statements of Operations and HTML 185K
Comprehensive Loss
34: R5 Consolidated Statements of Stockholders' Equity HTML 90K
35: R6 Consolidated Statements of Cash Flows HTML 188K
36: R7 Description of Business HTML 87K
37: R8 Summary of Significant Accounting Policies HTML 96K
38: R9 Investment in Equity Securities, at Fair Value and HTML 187K
Long-Term Investments
39: R10 Inventories HTML 41K
40: R11 Leases HTML 89K
41: R12 Property, Plant and Equipment HTML 61K
42: R13 Intangible Assets HTML 111K
43: R14 Accrued and Other Current Liabilities, and Other HTML 76K
Liabilities
44: R15 Short Term Borrowings HTML 43K
45: R16 Notes Payable HTML 45K
46: R17 Grants HTML 42K
47: R18 Redeemable Noncontrolling Interest and Long Term HTML 68K
Borrowing
48: R19 Shareholders' Equity HTML 66K
49: R20 Costs of Revenues HTML 40K
50: R21 Net Loss Per Share HTML 65K
51: R22 Employee Benefit Plan HTML 42K
52: R23 Share-Based Compensation HTML 182K
53: R24 Income Taxes HTML 159K
54: R25 Fair Value Measurements HTML 118K
55: R26 Related Party Transactions HTML 48K
56: R27 Commitments and Contingencies HTML 44K
57: R28 Restricted Net Assets HTML 41K
58: R29 Subsequent Events HTML 41K
59: R30 Condensed Financial Information of Registrant HTML 220K
60: R31 Summary of Significant Accounting Policies HTML 164K
(Policies)
61: R32 Summary of Significant Accounting Policies HTML 50K
(Tables)
62: R33 Investment in Equity Securities, at Fair Value and HTML 170K
Long-Term Investments (Tables)
63: R34 Leases (Tables) HTML 88K
64: R35 Property, Plant and Equipment (Tables) HTML 57K
65: R36 Intangible Assets (Tables) HTML 111K
66: R37 Accrued and Other Current Liabilities, and Other HTML 76K
Liabilities (Tables)
67: R38 Redeemable Noncontrolling Interest (Tables) HTML 61K
68: R39 Shareholders' Equity (Tables) HTML 53K
69: R40 Net Loss Per Share (Tables) HTML 64K
70: R41 Share-Based Compensation (Tables) HTML 180K
71: R42 Income Taxes (Tables) HTML 159K
72: R43 Fair Value Measurements (Tables) HTML 117K
73: R44 Condensed Financial Information of Registrant HTML 222K
(Tables)
74: R45 DESCRIPTION OF BUSINESS - Liquidity and Capital HTML 111K
Resources (Details)
75: R46 DESCRIPTION OF BUSINESS - License and Distribution HTML 51K
Agreements (China Resources Pharmaceutical
Commercial Group International Trading Co., Ltd.)
(Details)
76: R47 DESCRIPTION OF BUSINESS - License and Distribution HTML 50K
Agreements (Precision Autoimmune Therapeutics Co.,
Ltd) (Details)
77: R48 DESCRIPTION OF BUSINESS - License and Distribution HTML 47K
Agreements (Juventas Cell Therapy Ltd.) (Details)
78: R49 DESCRIPTION OF BUSINESS - License and Distribution HTML 72K
Agreements (BioInvent International AB) (Details)
79: R50 DESCRIPTION OF BUSINESS - License and Distribution HTML 54K
Agreements (Black Belt Therapeutics Limited)
(Details)
80: R51 DESCRIPTION OF BUSINESS - License and Distribution HTML 56K
Agreements (Cleave Therapeutics, Inc.) (Details)
81: R52 DESCRIPTION OF BUSINESS - License and Distribution HTML 48K
Agreements (Pharmathen Global BV) (Details)
82: R53 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - HTML 41K
Consolidation (Details)
83: R54 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - HTML 40K
Segment Reporting (Details)
84: R55 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - Cash HTML 47K
and Cash Equivalents (Details)
85: R56 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - HTML 46K
Aggregate Cost And Fair Value (Details)
86: R57 Summary of Significant Accounting Policies - Ppe HTML 48K
(Details)
87: R58 INVESTMENT IN EQUITY SECURITIES, AT FAIR VALUE AND HTML 66K
LONG-TERM INVESTMENTS - Investment in equity
securities, at fair value-MaxCyte Inc. (Details)
88: R59 INVESTMENT IN EQUITY SECURITIES, AT FAIR VALUE AND HTML 94K
LONG-TERM INVESTMENTS - Investment in equity
securities, at fair value-BioInvent International
AB ordinary shares and warrants (Details)
89: R60 INVESTMENT IN EQUITY SECURITIES, AT FAIR VALUE AND HTML 71K
LONG-TERM INVESTMENTS - BioInvent International AB
- Summary of Investments (Details)
90: R61 INVESTMENT IN EQUITY SECURITIES, AT FAIR VALUE AND HTML 66K
LONG-TERM INVESTMENTS - Summary of Long-term
investments (Details)
91: R62 INVESTMENT IN EQUITY SECURITIES, AT FAIR VALUE AND HTML 86K
LONG-TERM INVESTMENTS - Investment in equity
securities, at fair value-Juventas Cell Therapy
Ltd. (Details)
92: R63 INVESTMENT IN EQUITY SECURITIES, AT FAIR VALUE AND HTML 89K
LONG-TERM INVESTMENTS - Investment in equity
securities, at fair value-Alesta Therapeutics B.V.
(Details)
93: R64 INVESTMENT IN EQUITY SECURITIES, AT FAIR VALUE AND HTML 78K
LONG-TERM INVESTMENTS - Investment in equity
securities, at fair value-Cleave Therapeutics,
Inc. (Details)
94: R65 INVESTMENT IN EQUITY SECURITIES, AT FAIR VALUE AND HTML 75K
LONG-TERM INVESTMENTS - Investment in Precision
Autoimmune Therapeutics Co Ltd (Pat) (Details)
95: R66 Inventories (Details) HTML 43K
96: R67 Leases - (Details) HTML 57K
97: R68 Leases - Right of Use Assets and Liabilities HTML 51K
(Details)
98: R69 LEASES - Supplemental Cash Flow (Details) HTML 45K
99: R70 LEASES - Future Undiscounted Cash Flows (Details) HTML 61K
100: R71 PROPERTY, PLANT AND EQUIPMENT - Narratives HTML 50K
(Details)
101: R72 PROPERTY, PLANT AND EQUIPMENT - By type (Details) HTML 55K
102: R73 INTANGIBLE ASSETS - Narratives (Details) HTML 72K
103: R74 INTANGIBLE ASSETS - Net Definite-lived Intangible HTML 59K
Assets (Details)
104: R75 INTANGIBLE ASSETS - Intangible Assets Rollforward HTML 50K
(Details)
105: R76 INTANGIBLE ASSETS - Expected Future Amortization HTML 52K
Expense (Details)
106: R77 Accrued and Other Current Liabilities, and Other HTML 73K
Liabilities (Details)
107: R78 Short Term Borrowings (Details) HTML 63K
108: R79 Notes Payable (Details) HTML 50K
109: R80 Grants (Details) HTML 51K
110: R81 Redeemable Noncontrolling Interest and Long Term HTML 96K
Borrowing (Details)
111: R82 Redeemable Noncontrolling Interest and Long Term HTML 51K
Borrowing - Changes in Redeemable Noncontrolling
Interest (Details)
112: R83 Shareholders' Equity (Details) HTML 83K
113: R84 Shareholders' Equity - Warrants Activity (Details) HTML 52K
114: R85 Costs of Revenues (Details) HTML 42K
115: R86 Net Loss Per Share (Details) HTML 43K
116: R87 Net Loss Per Share - Basic and diluted net loss HTML 70K
per share computation (Details)
117: R88 Employee Benefit Plan (Details) HTML 44K
118: R89 SHARE-BASED COMPENSATION - Compensation Expense HTML 55K
(Details)
119: R90 SHARE-BASED COMPENSATION - Weighted-Average HTML 55K
Assumptions (Details)
120: R91 SHARE-BASED COMPENSATION - Options Outstanding HTML 95K
(Details)
121: R92 SHARE-BASED COMPENSATION - Stock Option HTML 70K
Outstanding (Details)
122: R93 Share-Based Compensation (Details) HTML 86K
123: R94 INCOME TAXES - Loss Before Income Taxes (Details) HTML 50K
124: R95 INCOME TAXES - Deferred Income Tax Assets And HTML 72K
Liabilities (Details)
125: R96 INCOME TAXES - Reconciliation Of The Provision For HTML 65K
Income Taxes (Details)
126: R97 INCOME TAXES - Valuation allowance (Details) HTML 47K
127: R98 INCOME TAXES - Gross Unrecognized Tax Benefits HTML 45K
(Details)
128: R99 Income Taxes (Details) HTML 77K
129: R100 FAIR VALUE MEASUREMENTS - Financial and HTML 67K
Non-Financial Assets and Liabilities (Details)
130: R101 FAIR VALUE MEASUREMENTS - Quantitative Information HTML 50K
about Level 3 Fair Value Measurements (Details)
131: R102 Fair Value Measurements (Details) HTML 62K
132: R103 Related Party Transactions (Details) HTML 83K
133: R104 Commitments and Contingencies (Details) HTML 58K
134: R105 Restricted Net Assets (Details) HTML 40K
135: R106 CONDENSED FINANCIAL INFORMATION OF REGISTRANT - HTML 150K
Condensed Balance Sheets (Details)
136: R107 CONDENSED FINANCIAL INFORMATION OF REGISTRANT - HTML 108K
Condensed Statements of Operations and
Comprehensive Loss (Details)
137: R108 CONDENSED FINANCIAL INFORMATION OF REGISTRANT - HTML 108K
Condensed Statements of Cash Flows (Details)
139: XML IDEA XML File -- Filing Summary XML 243K
142: XML XBRL Instance -- casi-20231231x20f_htm XML 3.57M
138: EXCEL IDEA Workbook of Financial Report Info XLSX 249K
26: EX-101.CAL XBRL Calculations -- casi-20231231_cal XML 267K
27: EX-101.DEF XBRL Definitions -- casi-20231231_def XML 1.32M
28: EX-101.LAB XBRL Labels -- casi-20231231_lab XML 1.83M
29: EX-101.PRE XBRL Presentations -- casi-20231231_pre XML 1.74M
25: EX-101.SCH XBRL Schema -- casi-20231231 XSD 324K
140: JSON XBRL Instance as JSON Data -- MetaLinks 668± 1.06M
141: ZIP XBRL Zipped Folder -- 0001558370-24-004190-xbrl Zip 1.32M
Exhibit 12.2
Certification by the Principal Financial Officer Pursuant to
Section 302 of the Sarbanes-Oxley Act of 2002
I, Wei (Larry) Zhang, certify that:
1. | I have reviewed this Annual Report on Form 20-F of CASI Pharmaceuticals, Inc.; |
2. | Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; |
3. | Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the Company as of, and for, the period presented in this report; |
4. | The Company’s other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the Company and have: |
a. | Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the Company, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; |
b. | Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles; |
c. | Evaluated the effectiveness of the Company’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and |
d. | Disclosed in this report any change in the Company’s internal control over financial reporting that occurred during the period covered by the annual report that has materially affected, or is reasonably likely to materially affect, the Company’s internal control over financial reporting; and |
5. | The Company’s other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the Company’s auditors and the audit committee of the Company’s board of directors (or persons performing the equivalent functions): |
a. | All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the Company’s ability to record, process, summarize and report financial information; and |
b. | Any fraud, whether or not material, that involves management or other employees who have a significant role in the Company’s internal control over financial reporting. |
| |
Date: March 28, 2024 | |
| |
| |
Name: Wei (Larry) Zhang | |
Title: President and Principal Financial Officer | |
| This ‘20-F’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 3/28/24 | None on these Dates | ||
| For Period end: | 12/31/23 | |||
| List all Filings | ||||