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Item 15. EXHIBIT AND FINANCIAL STATEMENT SCHEDULES

12K characters. Original on sec.gov ·

Item 15. EXHIBIT AND FINANCIAL STATEMENT SCHEDULES

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(a) We have filed the following documents as part of this Annual Report on Form 10-K:

  1. Financial Statements

See Index under Part II, Item 8 of this Annual Report on Form 10-K.

  1. Financial Statement Schedules

Schedules not listed above have been omitted because they are not required, because they are not applicable, or because the required information is otherwise included.

  1. Exhibits

The exhibits listed below are filed as part of this Annual Report on Form 10-K or are incorporated herein by reference, in each case as indicated below.

Incorporated by Reference
Exhibit NumberDescriptionFormFile No.ExhibitFiling Date
3.1Amended and restated certificate of incorporation of the registrant.10-Q001-395403.1November 13, 2020
3.2Amended and restated bylaws of the registrant.10-Q001-395403.2November 13, 2020
4.1Form of Class A common stock certificate of the registrant.S-1333-2484134.1August 25, 2020
4.2Amended and Restated Investors’ Rights Agreement among the registrant and certain holders of its capital stock, dated as of August 24, 2020.S-1/A333-2484134.2September 14, 2020
4.3Form of Series D convertible preferred stock warrant.S-1333-2484134.3August 25, 2020
4.4Form of Series H redeemable convertible preferred stock venture warrant.S-1333-2484134.4August 25, 2020
4.5Form of Series I convertible preferred stock lead investor warrant.S-1333-2484134.5August 25, 2020
4.6Form of Series I convertible preferred stock lead investor IPO warrant.S-1333-2484134.6August 25, 2020
4.7Form of Series I convertible preferred stock IPO warrant.S-1333-2484134.7August 25, 2020
4.8*Description of Capital Stock of Palantir Technologies Inc.
9.1Founder Voting Agreement.S-1/A333-2484139.1September 21, 2020
9.2Founder Voting Trust Agreement.S-1/A333-2484139.2September 18, 2020
Table of Contents
Incorporated by Reference
Exhibit NumberDescriptionFormFile No.ExhibitFiling Date
10.1+Form of Indemnification Agreement between the registrant and each of its directors and executive officers.S-1/A333-24841310.1September 9, 2020
10.2Credit Agreement among the registrant, the lenders party thereto, and Morgan Stanley Senior Funding, Inc., as Administrative Agent, dated as of October 7, 2014, as amended.S-1333-24841310.2August 25, 2020
10.3+Palantir Technologies Inc. 2020 Equity Incentive Plan and related form agreements.S-1/A333-24841310.3September 9, 2020
10.4+Palantir Technologies Inc. Amended 2010 Equity Incentive Plan and related form agreements.S-1/A333-24841310.4September 3, 2020
10.5+Notice of Stock Option Grant and Stock Option Agreement (Non-Plan Option) between the registrant and Alexander Karp, dated as of September 22, 2009.S-1/A333-24841310.5September 3, 2020
10.6+Notice of Stock Option Grant and Stock Option Agreement (Non-Plan Option) between the registrant and Alexander Karp, dated as of January 24, 2011.S-1/A333-24841310.6September 3, 2020
10.7+Palantir Technologies Inc. 2020 Executive Equity Incentive Plan.S-1/A333-24841310.7September 9, 2020
10.8+Palantir Technologies Inc. Outside Director Compensation Policy.S-1/A333-24841310.8September 14, 2020
10.9+Employee Incentive Compensation Plan.S-1/A333-24841310.9September 14, 2020
10.10+Security Program Continuation Agreement between the registrant and Alexander Karp dated June 5, 2019.S-1/A333-24841310.10September 14, 2020
21.1*List of subsidiaries of Palantir Technologies Inc.
23.1*Consent of Independent Registered Public Accounting Firm.
31.1*Certification of the Chief Executive Officer pursuant to Exchange Act Rule 13a-14 as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2*Certification of the Chief Financial Officer pursuant to Exchange Act Rule 13a-14 as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1†Certification of the Chief Executive Officer and Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
Table of Contents
Incorporated by Reference
Exhibit NumberDescriptionFormFile No.ExhibitFiling Date
101.INSXBRL Instance Document.
101.SCHXBRL Taxonomy Extension Schema Document.
101.CALXBRL Taxonomy Extension Calculation Linkbase Document.
101.DEFXBRL Taxonomy Extension Definition Linkbase Document.
101.LABXBRL Taxonomy Extension Label Linkbase Document.
101.PREXBRL Taxonomy Extension Presentation Linkbase Document.
*Filed Herewith
+Indicates a management contract or compensatory plan or arrangement
†The certifications attached as Exhibit 32.1 that accompany this Annual Report on Form 10-K are not deemed filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of the Registrant under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Annual Report on Form 10-K, irrespective of any general incorporation language contained in such filing.

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