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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 12.1
Certification by the Principal Executive Officer Pursuant to
Section 302 of the Sarbanes-Oxley Act of 2002
I, Wei-Wu He, 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 15d-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 | |
/s/ Wei-Wu He | |
Name: Wei-Wu He | |
Title: Chief Executive 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 |