10-Q/A
Table of Contents

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 10-Q/A

(Amendment No. 2)

 

 

(Mark One)

QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the quarterly period ended September 30, 2016

or

 

TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the transition period from                      to                     

Commission file number: 000-50633

 

 

CYTOKINETICS, INCORPORATED

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   94-3291317

(State or other jurisdiction of

incorporation or organization)

 

(I.R.S. Employer

Identification No.)

280 East Grand Avenue

South San Francisco, California

  94080
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code: (650) 624-3000

 

 

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.    Yes  ☒    No  ☐

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).    Yes  ☒    No  ☐

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):

 

Large accelerated filer

 

  

Accelerated filer

 

Non-accelerated filer

 

☐  (Do not check if a smaller reporting company)

  

Smaller reporting company

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).    Yes  ☐    No  ☒

Number of shares of common stock, $0.001 par value, outstanding as of October 27, 2016: 40,516,892

 

 

 


Table of Contents

EXPLANATORY NOTE

Cytokinetics, Incorporated (the “Company”) is filing this Amendment No. 2 on Form 10-Q/A (this “Amendment”) to amend the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2016, originally filed with the U.S. Securities and Exchange Commission (the “SEC”) on November 3, 2016 (the “Original Filing”). This Amendment is being filed solely to re-file Exhibit 10.42 to the Original Filing in response to comments received from the staff of the SEC relating to a confidential treatment request that the Company submitted with respect to Exhibit 10.42 to the Original Filing, and in connection therewith, to amend Part II, Item 6, of the Original Filing and the Exhibit Index to the Original Filing. In addition, as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended, new certifications by the Company’s principal executive officer and principal financial officer are filed as exhibits to this Amendment.

No attempt has been made in this Amendment to modify or update the other disclosures presented in the Original Filing. This Amendment does not reflect events occurring after the filing of the Original Filing (i.e., those events occurring after November 3, 2016) or modify or update those disclosures that may be affected by subsequent events.


Table of Contents

CYTOKINETICS, INCORPORATED

TABLE OF CONTENTS FOR FORM 10-Q/A

FOR THE QUARTER ENDED SEPTEMBER 30, 2016

 

     Page  

PART II. OTHER INFORMATION

  

Item 6. Exhibits

     4   

SIGNATURES

     5   

EXHIBIT INDEX

     6   


Table of Contents
ITEM 6. EXHIBITS

A list of exhibits filed with this Quarterly Report on Form 10-Q/A or incorporated herein by reference is found in the Index to Exhibits immediately following the signature page of this report and is incorporated into this Item 6 by reference.

 

4


Table of Contents

SIGNATURES

Pursuant to the requirements of the Securities Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

Dated: January 20, 2017

     

CYTOKINETICS, INCORPORATED

     

(Registrant)

     

/s/ Robert I. Blum

     

Robert I. Blum

     

President and Chief Executive Officer

     

(Principal Executive Officer)

     

/s/ Sharon A. Barbari

     

Sharon A. Barbari

     

Executive Vice President, Finance and

     

Chief Financial Officer

     

(Principal Financial Officer)

 

5


Table of Contents

EXHIBIT INDEX

 

          Incorporated by Reference  

Exhibit

No.

  

Exhibit

  

Form

  

File No.

  

Filing Date

  

Exh.

No.

  

Filed

Herewith

 
    3.1    Amended and Restated Certificate of Incorporation.    S-3    333-174869    June 13, 2011    3.1   
    3.2    Certificate of Amendment of Amended and Restated Certificate of Incorporation.    10-Q    000-50633    August 4, 2011    3.2   
    3.3    Certificate of Amendment of Amended and Restated Certificate of Incorporation.    8-K    000-50633    June 25, 2013    5.1   
    3.4    Certificate of Amendment of Amended and Restated Certificate of Incorporation.    8-K    000-50633    May 20, 2016    3.1   
    3.5    Amended and Restated Bylaws.    S-1    333-112261    April 29, 2004    3.2   
    4.1    Specimen Common Stock Certificate.    10-Q    000-50633    May 9, 2007    4.1   
    4.2    Registration Rights Agreement, dated as of December 29, 2006, by and between the Company and Amgen Inc.    8-K    000-50633    January 3, 2007    10.7   
    4.3    Form of Warrant    10-Q    000-50633    August 6, 2012    4.6   
    4.4    Form of Common Stock Warrant and Warrant Certificate    S-3    333-192125    November 6, 2013    4.4   
    4.5    Form of Preferred Stock Warrant and Warrant Certificate    S-3    333-192125    November 6, 2013    4.5   
    4.6    Form of Common Stock Warrant Issued Pursuant to that certain Loan and Security Agreement, dated as of October 19, 2015, by and among the Company, Oxford Finance LLC and Silicon Valley Bank    10-K    000-50633    March 3, 2016    4.6   
*10.42    Amendment to the Amended and Restated License and Collaboration Agreement between the Company and Astellas Pharma Inc., dated July 27, 2016                  X   
*10.43    Letter of Agreement by and between the Company and Amgen Inc. and Les Laboratories Servier and Institut de Recherches Internationales Servier, dated August 29, 2016    10-Q    000-50633    November 3, 2016    10.43   
  31.1    Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.                  X   
  31.2    Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.                  X   
  32.1    Certifications of the Chief Executive Officer and the Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (18 U.S.C. Section 1350) (1).    10-Q/A    000-50633    December 15, 2016    32.1   
101.INS    XBRL Instance Document.    10-Q/A    000-50633    December 15, 2016    EX-101.INS   
101.SCH    XBRL Taxonomy Extension Schema Document.    10-Q/A    000-50633    December 15, 2016    EX-101.SCH   
101.CAL    XBRL Taxonomy Extension Calculation Linkbase Document.    10-Q/A    000-50633    December 15, 2016    EX-101.CAL   
101.DEF    XBRL Taxonomy Extension Definition Linkbase Document.    10-Q/A    000-50633    December 15, 2016    EX-101.DEF   
101.LAB    XBRL Taxonomy Extension Label Linkbase Document    10-Q/A    000-50633    December 15, 2016    EX-101.LAB   
101.PRE    XBRL Taxonomy Extension Presentation Linkbase Document.    10-Q/A    000-50633    December 15, 2016    EX-101.PRE   

 

* Pursuant to a request for confidential treatment, portions of this Exhibit have been redacted from the publicly filed document and have been furnished separately to the Securities and Exchange Commission as requested by Rule 406 under the Securities Act or Rule 24b-2 under the Exchange Act, as applicable.
(1) This certification accompanies the Form 10-Q/A filed on December 15, 2016 to which it relates, is not deemed filed with the Securities and Exchange Commission and is 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 the Form 10-Q/A filed on December 15, 2016), irrespective of any general incorporation language contained in such filing.

 

6