APLS 2017 Annual Report

107 10.11 Summary of Non-Employee Director Compensation Program S-1/A 333-220941 10/30/2017 10.11 10.12 Consulting Agreement, dated as of September 10, 2015, by and between the Registrant and Danforth Advisors, LLC, as amended S-1 333-220941 10/13/2017 10.12 10.13 Lease, dated as of April 27, 2017, by and between the Registrant and NWALP PHOP Property Owner, LLC S-1 333-220941 10/13/2017 10.13 10.14+ Offer Letter, dated as of March 7, 2017, by and between the Registrant and Steven Axon S-1 333-220941 10/13/2017 10.14 10.15+ 2017 Employee Stock Purchase Plan S-1/A 333-220941 10/30/2017 10.15 10.16+ Offer Letter, dated as of October 9, 2017, by and between the Registrant and Timothy Sullivan S-1/A 333-220941 10/20/2017 10.16 10.17 Warrant to purchase shares of common stock issued to Golda Darty Partners S.A. S-1/A 333-220941 10/20/2017 10.17 10.18 Warrant to purchase shares of common stock issued to Silicon Valley Bank S-1/A 333-220941 10/20/2017 10.18 10.19 Loan and Security Agreement, dated as of October 20, 2017, between the Registrant and Silicon Valley Bank S-1/A 333-220941 10/20/2017 10.19 21.2 Subsidiaries of the Registrant S-1 333-220941 10/13/2017 21.2 23.1 Consent of Ernst & Young LLP X 31.1* Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. X 31.2* Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. X 32.1* Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. X 32.2* Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. X 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 * Pursuant to Item 601(b)(2) of Regulation S-K, the Registrant agrees to furnish supplementally a copy of any omitted schedule or exhibit to the Asset Purchase Agreement to the Securities and Exchange Commission upon request. † Confidential treatment has been granted as to certain portions, which portions have been omitted and separately filed with the Securities and Exchange Commission. + Management contract or compensatory plan or arrangement filed in response to Item 15(a)(3) of the Instructions to the Annual Report on Form 10-K. Filed herewith. Item 16. Form 10-K Summary. Not applicable