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Item 15. EXHIBIT AND FINANCIAL STATEMENT SCHEDULES

10K characters. Original on sec.gov · Markdown

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 I convertible preferred stock lead investor IPO warrant.S-1333-2484134.6August 25, 2020
4.4Form of Series I convertible preferred stock IPO warrant.S-1333-2484134.7August 25, 2020
4.5*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
10.1+Form of Indemnification Agreement between the registrant and each of its directors and executive officers.S-1333-24841310.1September 9, 2020
Incorporated by Reference
Exhibit NumberDescriptionFormFile No.ExhibitFiling Date
10.2Amendment No. 11 to Revolving Credit Agreement and Incremental Agreement, dated as of April 1, 2021, among the registrant, Palantir USG, Inc., the lenders party thereto, and Morgan Stanley Senior Funding, Inc., as Administrative Agent (including the Credit Agreement, dated as of October 7, 2014, and the Pledge and Security Agreement, dated as of December 20, 2019, each as amended and restated, and each among the registrant, Morgan Stanley Senior Funding, Inc., and the other parties thereto).8-K001-3954010.1April 2, 2021
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+Palantir Technologies Inc. 2020 Executive Equity Incentive Plan.S-1/A333-24841310.7September 9, 2020
10.6+Palantir Technologies Inc. Outside Director Compensation Policy.S-1/A333-24841310.8September 14, 2020
10.7+Employee Incentive Compensation Plan.S-1/A333-24841310.9September 14, 2020
10.8+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.
Incorporated by Reference
Exhibit NumberDescriptionFormFile No.ExhibitFiling Date
101.INSInline XBRL Instance Document.
101.SCHInline XBRL Taxonomy Extension Schema Document.
101.CALInline XBRL Taxonomy Extension Calculation Linkbase Document.
101.DEFInline XBRL Taxonomy Extension Definition Linkbase Document.
101.LABInlline XBRL Taxonomy Extension Label Linkbase Document.
101.PREInline XBRL Taxonomy Extension Presentation Linkbase Document.
104Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)
*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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