SEC Filings

Form 10-K
CHROMADEX CORP. filed this Form 10-K on 03/07/2019
Document Outline
Entire Document (6670.3 KB)
Subdocument 1 - 10-K - ANNUAL REPORT
Page 1 - UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Page 2 - PART I
Page 3 - Item 1.
Page 4 - INGREDIENTS AND ANALYTICAL REFERENCE STANDARDS AND SERVICES BUSINESS SEGMENTS
Page 5 - Company Background
Page 6 - Business Model
Page 7 - Overview of our Products and Services
Page 8 - USA and Canada:
Page 9 - U.S. FDA Regulation
Page 10 - International Regulations
Page 11 - Ingredients Business Segment Competitors
Page 12 - N/A
Page 13 - N/A
Page 14 - Manufacturing
Page 15 - Environmental Compliance
Page 16 - Available Information
Page 17 - Our capital requirements will depend on many factors.
Page 18 - In an effort to promote and better market our consumer products, we have made a strategic decision t
Page 19 - We may need to increase the size of our organization, and we can provide no assurance that we will s
Page 20 - The future growth and profitability of our consumer product business will depend in large part upon
Page 21 - We acquire a significant amount of key ingredients for our products from foreign suppliers, and may
Page 22 - Our operating results may fluctuate significantly as a result of a variety of factors, many of which
Page 23 - Many of our competitors are larger and have greater financial and other resources than we do.
Page 24 - If we fail to maintain adequate quality standards for our products and services, our business may be
Page 25 - The prosecution and enforcement of patents licensed to us by third parties are not within our contro
Page 26 - Our sales and results of operations for our analytical reference standards and services segment depe
Page 27 - We maynot be successful in acquiring complementary businesses or products on favorable terms.
Page 28 - Our business could be negativelyimpacted by cyber security threats.
Page 29 - If we should in the future become required to obtain regulatory approval to market and sell our good
Page 30 - Our shares of common stock may be thinly traded, so you may be unable to sell at or near ask prices
Page 31 - Our ability to use our net operating loss carryforwards and certain other tax attributes may be limi
Page 32 - Item 1B.
Page 33 - inter partesinter partesinter partesinter partesinter partes
Page 34 - N/A
Page 35 - inter partesinter partes
Page 36 - PART II
Page 37 - Item 7.
Page 38 - Results of Operations
Page 39 - Cost of Sales.
Page 40 - Operating Expenses Sales and Marketing.
Page 41 - Operating Expenses General and Administrative.
Page 42 - Operating Expenses Other.
Page 43 - Net cash used in investing activities.
Page 44 - Contract liabilities and customer deposits
Page 45 - Contractual Obligations and Commitments
Page 46 - Item 8.
Page 47 - REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
Page 48 - REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON
Page 49 - ChromaDex Corporation and Subsidiaries
Page 50 - N/A
Page 51 - N/A
Page 52 - N/A
Page 53 - Note 1.
Page 54 - Improvements to Non-employee Share-Based Payment Accounting:
Page 55 - Restricted Cash:
Page 56 - Credit risk
Page 57 - Leasehold improvements and equipment, net
Page 58 - Fair Value Measurement:
Page 59 - Recent accounting standards
Page 60 - Note 4.
Page 61 - Note 6.
Page 62 - N/A
Page 63 - Note 9.
Page 64 - N/A
Page 65 - Note 10.
Page 66 - N/A
Page 67 - Note 12.
Page 68 - N/A
Page 69 - N/A
Page 70 - Restricted Stock Awards
Page 71 - Note 14.
Page 72 - Royalty
Page 73 - inter partesinter partesinter partesinter partesinter partes
Page 74 - inter partesinter partes
Page 75 - Note 16.
Page 76 - N/A
Page 77 - Disaggregation of revenue
Page 78 - Revenues from international sources
Page 79 - Disclosure of major vendors
Page 80 - Item 9.
Page 81 - Internal Control Integrated Framework in 2013
Page 82 - PART III
Page 83 - PART IV
Page 84 - N/A
Page 85 - N/A
Page 86 - N/A
Page 87 - N/A
Page 88 - Item 16.
Page 89 - SIGNATURES
Subdocument 2 - EX-4.5 - FORM OF STOCK CERTIFICATE
Page 1 - N/A
Subdocument 3 - EX-10.50 - LEASE
Page 1 - Exhibit 10.50
Page 2 - TABLE OF CONTENTS
Page 3 - N/A
Page 4 - N/A
Page 5 - N/A
Page 6 - LEASE
Page 7 - All capitalized terms used in this Lease without definition are defined in Exhibit B.
Page 8 - Section 2.3Payment of Rent
Page 9 - ARTICLE 3
Page 10 - Section 5.2Manner and Quality of Alterations
Page 11 - Section 5.7Tenant s EquipmentEquipment
Page 12 - Section 6.3Reserved RightsWork of Improvement
Page 13 - N/A
Page 14 - Section 7.2Tenant s Tax Payment
Page 15 - Section 7.3Tenant s Operating Payment
Page 16 - Section 7.4Non-Waiver; Disputes
Page 17 - Section 7.8Intentionally Deleted
Page 18 - ARTICLE 8
Page 19 - Section 8.2Fire and Life Safety
Page 20 - ARTICLE 9
Page 21 - Section 9.2Mortgage or Superior Lease Defaults
Page 22 - Section 10.3Elevators
Page 23 - Section 10.7Water
Page 24 - Section 10.12Supplemental HVACSupplemental HVAC System
Page 25 - ARTICLE 11
Page 26 - Section 11.2Waiver of Subrogation
Page 27 - Section 11.3Restoration
Page 28 - Section 11.5Tenant s Termination RightRestoration NoticeTermination Notice
Page 29 - Section 12.2Awards
Page 30 - Section 13.2Tenant s NoticeTransferTransfer NoticeTenant s Asking RateIntention to Transfer NoticeRe
Page 31 - THIS IS A REQUEST FOR LANDLORD'S CONSENT PURSUANT TO THE TERMS OF SECTION 13.4: IF LANDLORD FAILS TO
Page 32 - Section 13.5Binding on Tenant; Indemnification of Landlord
Page 33 - Transfer Premium
Page 34 - Section 13.9Assumption of Obligations
Page 35 - ARTICLE 14
Page 36 - Section 15.2Landlord s Remedies
Page 37 - Section 15.3Recovering Rent as It Comes Due
Page 38 - Section 15.6Interest
Page 39 - ARTICLE 17
Page 40 - ARTICLE 19
Page 41 - ARTICLE 22
Page 42 - Section 25.2Tenant s Indemnity
Page 43 - Section 26.3Limitation on LiabilityLease DocumentsParties
Page 44 - Section 26.10Estoppel
Page 45 - Section 26.17Inability to Perform
Page 46 - Section 26.21Tax Status of Beneficial OwnerAdverse Event
Page 47 - ARTICLE 27
Page 48 - ARTICLE 28
Page 49 - EXHIBIT A
Page 50 - EXHIBIT B
Page 51 - Excluded ExpensesPre-Existing Hazardous Materials
Page 52 - Lease Year
Page 53 - Rules and RegulationsExhibit F
Page 54 - EXHIBIT C
Page 55 - SCHEDULE 1
Page 56 - TENANT IMPROVEMENT ESTIMATE
Page 57 - EXHIBIT D
Page 58 - EXHIBIT E
Page 59 - EXHIBIT F
Page 60 - N/A
Page 61 - EXHIBIT G
Page 62 - N/A
Subdocument 4 - EX-10.51 - MATERIAL CONTRACTS
Page 1 - Exhibit 10.51
Page 2 - Expansion TermExpansion TermLease Expiration Date
Page 3 - Condition of Premises; Expansion Premises Tenant Improvement Allowance
Page 4 - Monthly DisbursementsSubmittal DateFinal Retention
Page 5 - CASpCASp Reports
Page 6 - 9.Signage.
Page 7 - N/A
Page 8 - EXHIBIT A
Subdocument 5 - EX-10.52 - SECOND AMENDMENT TO LEASE
Page 1 - Exhibit 10.52
Page 2 - Other Terms
Page 3 - Limitation on LiabilityLease DocumentsParties
Page 4 - LANDLORD:
Page 5 - EXHIBIT A
Subdocument 6 - EX-10.53 - THIRD AMENDMENT TO LEASE
Page 1 - Exhibit 10.53
Page 2 - Expansion of Existing Premises
Page 3 - Abated Fixed RentFixed Rent Abatement PeriodFixed Rent Abatement Right
Page 4 - Final Retention
Page 5 - Letter of Credit
Page 6 - Maintenance of Letter of Credit by Tenant
Page 7 - Letter of Credit Not a Security DepositSecurity Deposit Laws
Page 8 - Required Disclosures Related to Accessibility StandardsCASp Reports
Page 9 - Tax Status of Beneficial OwnerAdverse Event
Page 10 - LANDLORD:
Page 11 - EXHIBIT A
Page 12 - EXHIBIT B
Page 13 - //SAMPLE//.
Page 14 - N/A
Page 15 - ANNEX I
Page 16 - TRANSFER OF LETTER OF CREDIT IN ITS ENTIRETY
Subdocument 7 - EX-10.58 - EXECUTIVE EMPLOYMENT AGREEMENT
Page 1 - Exhibit 10.58
Page 2 - 2.3Annual Bonus.Performance Bonus
Page 3 - 5.2Third-Party Agreements and Information.
Page 4 - 7.2.2Health Care Continuation Coverage Payments
Page 5 - 7.3Termination for Cause; Resignation Without Good Reason; Death or Disability.
Page 6 - 11.Section 280G; Limitations on Payment
Page 7 - 12.Definitions
Page 8 - 14.General Provisions
Page 9 - 14.8Tax Withholding.
Subdocument 8 - EX-10.59 - SEPARATION AND RELEASE AGREEMENT
Page 1 - Exhibit 10.59
Page 2 - 4.Employee Release.
Page 3 - JordanG@chromadex.com
Page 4 - 6.Non-disparagement
Page 5 - 12.Non-Assignment
Subdocument 9 - EX-10.60 - CONSULTANT AGREEMENT
Page 1 - Exhibit 10.60
Page 2 - Insurance and Taxes.The Consultant, as an independent agent, agrees that he/she will not to be entit
Page 3 - Rights in Inventions
Page 4 - Injunctive Relief; Other Remedies
Page 5 - Action on Termination
Page 6 - Exhibit A: Scope of Work
Subdocument 10 - EX-10.61 - EMPLOYMENT OFFER LETTER
Page 1 - N/A
Subdocument 11 - EX-10.62 - SUPPLY AGREEMENT
Page 1 - Exhibit 10.62
Page 2 - EXECUTION COPY
Page 3 - EXECUTION COPY
Page 4 - EXECUTION COPY
Page 5 - EXECUTION COPY
Page 6 - EXECUTION COPY
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Page 24 - EXECUTION COPY
Page 25 - EXECUTION COPY
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Page 27 - EXECUTION COPY
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Page 31 - EXECUTION COPY
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Page 48 - EXECUTION COPY
Page 49 - EXECUTION COPY
Page 50 - EXECUTION COPY
Subdocument 12 - EX-21.1 - SUBSIDIARIES
Page 1 - N/A
Subdocument 13 - EX-23.1 - CONSENT OF MARCUM LLP
Page 1 - N/A
Subdocument 14 - EX-31.1 - CERTIFICATION PURSUANT TO RULE 13A-14(A)/15D-14(A) CERTIFICATIONS SECTION 302 OF THE SARBANES-OXLY ACT OF 2002
Page 1 - N/A
Subdocument 15 - EX-31.2 - CERTIFICATION PURSUANT TO RULE 13A-14(A)/15D-14(A) CERTIFICATIONS SECTION 302 OF THE SARBANES-OXLY ACT OF 2002
Page 1 - N/A
Subdocument 16 - EX-32.1 - CERTIFICATE PURSUANT TO SECTION 18 U.S.C. PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002
Page 1 - N/A
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