# EDGAR Filing Document

**Accession Number:** 0001528115
**File Stem:** 0001193125-23-002932
**Filing Date:** 2023-1
**Character Count:** 10805
**Document Hash:** 8163bfe58f8122c491b99cc58a123ff2
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-002932.hdr.sgml**: 20230106

**ACCESSION NUMBER**: 0001193125-23-002932

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20230106

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**ITEM INFORMATION**: Regulation FD Disclosure

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230106

**DATE AS OF CHANGE**: 20230106

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Annexon, Inc.
- **CENTRAL INDEX KEY:** 0001528115
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 275414423
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39402
- **FILM NUMBER:** 23513718

**BUSINESS ADDRESS:**
- **STREET 1:** 1400 SIERRA POINT PARKWAY
- **STREET 2:** BLDG C, SUITE 200
- **CITY:** BRISBANE
- **STATE:** CA
- **ZIP:** 94005
- **BUSINESS PHONE:** (650)-822-5500

**MAIL ADDRESS:**
- **STREET 1:** 1400 SIERRA POINT PARKWAY
- **STREET 2:** BLDG C, SUITE 200
- **CITY:** BRISBANE
- **STATE:** CA
- **ZIP:** 94005

?xml version="1.0" encoding="utf-8" ? 8-K

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### UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### Washington, D.C. 20549

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### FORM 8-K

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#### CURRENT REPORT

#### Pursuant to Section 13 OR 15(d)

#### of the Securities Exchange Act of 1934

#### Date of Report (Date of earliest event reported): January 6, 2023

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## ANNEXON, INC.

#### (Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-39402** | **27-5414423** |
| **(State or other jurisdiction** | **(Commission** | **(IRS Employer** |
| **of incorporation)** | **File Number)** | **Identification No.)** |

---

---

| |
|:---|
| **1400 Sierra Point Parkway, Bldg C, Suite 200** |
| **Brisbane, California 94005** |
| **(Address of principal executive offices) (Zip Code)** |

---

#### Registrant's telephone number, including area code: (650) 822-5500

#### Not Applicable

#### (Former name or former address, if changed since last report)

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading<br>Symbol(s)** | **Name of each exchange**<br> **on which registered** |
| Common Stock, par value $0.001 per share | ANNX | The Nasdaq Stock Market |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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| | |
|:---|:---|
| **Item 5.02.** | **Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.**  |

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(b) On January 6, 2023, Annexon, Inc. (the "Company") announced the appointment of Dean Richard Artis, Ph.D. as Chief Scientific Officer of the Company. Dr. Artis is succeeding Larry C. Mattheakis, Ph.D., who is departing from the Company and is no longer serving as Chief Scientific Officer effective as of January 6, 2023.

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| | |
|:---|:---|
| **Item 7.01.** | **Regulation FD Disclosure.**  |

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A copy of the press release, dated January 6, 2023, announcing the appointment of Dr. Artis to his position, is furnished as Exhibit 99.1 hereto and is incorporated by reference herein.

The information in this Item 7.01 of this Current Report on Form 8-K and Exhibit 99.1 attached hereto shall not be deemed to be "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that Section 11 and 12(a)(2) of the Securities Act of 1933, as amended. The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing with the Securities and Exchange Commission made by the Company, whether made before or after the date hereof, regardless of any general incorporation language in such filing.

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| | |
|:---|:---|
| **Item 9.01.** | **Financial Statements and Exhibits.**  |

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(d) Exhibits.

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| | |
|:---|:---|
| Exhibit<br>No. | Description |
| &nbsp;&nbsp;&nbsp;&nbsp;99.1 | [Press Release, dated January 6, 2023, titled "Annexon Appoints Industry Veteran, Dr. Rick Artis, as Chief Scientific Officer to Support the Advancement and Expansion of Complement-focused Portfolio."](d426219dex991.htm) |
| 104.1 | Cover Page Interactive Data File, formatted in inline XBRL. |

---

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#### SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | |
|:---|:---|:---|
| Dated: January 6, 2023 |  | **Annexon, Inc.** |
|  | By: | /s/ Jennifer Lew |
|  |  | Jennifer Lew |
|  |  | Executive Vice President and Chief Financial Officer |

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## Exhibit 99.1

**Exhibit 99.1**![LOGO](g426219g0105234939682.jpg)

**Annexon Appoints Industry Veteran, Dr. Rick Artis, as Chief Scientific Officer to Support the Advancement and Expansion of Complement-focused Portfolio** 

**BRISBANE, Calif., Jan. 6, 2023** – <u>Annexon, Inc.</u> (Nasdaq: ANNX), a clinical-stage biopharmaceutical company developing a new class of complement medicines for patients with classical complement-mediated autoimmune, neurodegenerative and ophthalmic disorders, today announced that Dean "Rick" Artis, Ph.D., has been appointed as chief scientific officer (CSO), succeeding Larry C. Mattheakis, Ph.D. Dr. Artis most recently served as CSO at Octant Bio and earlier, led efforts at Annexon for the discovery of the company's small molecule classical complement inhibitors, including ANX1502.

"Since our founding, we have been focused on delivering game-changing treatments to patients suffering from complement-mediated diseases. I'm proud of the progress we've made to-date and want to thank Larry for his contributions and leadership to help bring us to this point," said Douglas Love, president and chief executive officer of Annexon. "The next few years are poised to be transformational for our company as we advance our extensive complement pipeline, with several mid-to-late-stage trials underway. It's a pleasure to welcome Rick back to the Annexon team to lead our research efforts as CSO. He is a seasoned executive across computational and structure-based drug design, medicinal chemistry and translational clinical development efforts, and his discovery of our first-in-kind small molecule, ANX1502, was a landmark moment for our company. He brings with him a proven track record of success that will help us further expand the potential of our science and work towards our mission of bringing novel therapies to patients in need."

As CSO of Annexon, Dr. Artis will be responsible for leading all research efforts, with a particular emphasis on the expansion of small molecule research and the further building of the company's robust pipeline. Prior to his most recent role as CSO at Octant, Dr. Artis served as senior vice president, chemistry at Annexon, senior vice president, research at Elan Pharmaceuticals, vice president, lead generation at Plexxikon and held positions of increasing responsibility at Genentech and Syntex. He has been responsible for efforts from target validation and screening to early development and has discovery-to-clinic experience in several therapeutic areas, including neurodegenerative and metabolic diseases and oncology. He has led efforts at the forefront of fragment-based drug discovery and is a co-inventor of the first drug derived from these approaches, vemurafenib for the treatment of metastatic melanoma. He has co-authored over 45 papers, been recognized as a co-inventor on 45 issued U.S. patents and made direct contributions to seven molecules that have reached various stages of clinical development, including two that have received marketing approval. He received a B.S. in chemistry from the University of California, Berkeley and a Ph.D. in organic chemistry from Yale University.

"Annexon has built an impressive pipeline of classical complement inhibitors for the body, brain and eye," said Dr. Artis. "This is an exciting time for the company as we expand into late-stage and pivotal development with many of our programs and advance a number of exciting earlier stage opportunities with significant potential. I am thrilled to partner with the team to continue building upon the pioneering research at Annexon to address complement-mediated diseases."

**About Annexon** 

Annexon (Nasdaq: ANNX) is a clinical-stage biopharmaceutical company seeking to bring game-changing medicines to patients with classical complement-mediated diseases of the body, brain and eye. The classical complement cascade is a seminal pathway within the immune system that anchors and drives a host of autoimmune, neurodegenerative and ophthalmic diseases. Annexon is advancing a new class of complement medicines targeting the early classical cascade and all downstream pathway components that contribute to disease, while selectively preserving the beneficial immune functions of other complement pathways. Annexon is rigorously developing a pipeline of diversified product candidates across multiple mid- to late-stage clinical trials, with clinical data readouts anticipated throughout 2023 and beyond.

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![LOGO](g426219g0105234939682.jpg)

**Investor Contact:** 

Chelcie Lister

THRUST Strategic Communications

<u>chelcie@thrustsc.com</u> 

**Media Contact:** 

Sheryl Seapy

Real Chemistry

949-903-4750

<u>sseapy@realchemistry.com</u>