UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM 10-Q/A
(Amendment No. 1)
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(Mark One)
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QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the quarterly period ended September 30, 2012
or
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£
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the transition period from __________ to __________
Commission file number 000-23776
DARA BIOSCIENCES, INC.
(Exact name of registrant as specified in its charter)
| Delaware | 04-3216862 | |
| (State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
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8601 Six Forks Road, Suite 160
Raleigh, North Carolina
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27615 | |
| (Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number, including area code: (919) 872-5578
_______________________
(Former Name, Former Address and Former Fiscal Year, if Changed Since Last Report)
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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 R 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 R 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 definition of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.
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Large accelerated filer £
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Accelerated filer £
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Non-accelerated filer £
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Smaller reporting company R
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(Do not check if a smaller reporting company)
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Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes £ No R
The number of shares outstanding of the Registrant’s common stock as of November 12, 2012 was approximately 18,697,094.
EXPLANATORY NOTE
DARA BioSciences, Inc. is filing this Amendment No. 1 to its Quarterly Report on Form 10-Q for the quarter ended September 30, 2012 (the “Form 10-Q”), as filed with the Securities and Exchange Commission on November 14, 2012, solely to amend Item 6, “Exhibits,” of the Form 10-Q. This Amendment No. 1 to the Form 10-Q contains only the cover page, this Explanatory Note, Item 6, the Signature Page and the amended Exhibit Index. No other changes have been made to the Form 10-Q. This Amendment No. 1 to the Form 10-Q speaks as of the original filing date of the Form 10-Q, does not reflect events that may have occurred subsequent to the original filing date, and, except as set forth herein, does not modify or update in any way disclosures made in the original Form 10-Q.
PART II – OTHER INFORMATION
Item 6. Exhibits
The exhibits required to be filed as a part of this report are listed in the Exhibit Index.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized, on February 22, 2013.
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DARA BIOSCIENCES, INC.
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Date: February 22, 2013
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By:
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/s/ David J. Drutz, M.D. | |
| David J. Drutz, M.D. | |||
| Chief Executive Officer | |||
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Date: February 22, 2013
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By:
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/s/ David L. Tousley | |
| David L. Tousley | |||
| Acting Chief Financial Officer | |||
EXHIBIT INDEX
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Exhibit No.
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Description
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Incorporated by Reference to
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| 31.1* | Certification of David J. Drutz, M.D.. pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, dated November 14, 2012 | |||
| 31.2* | Certification of David L. Tousley pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, dated November14, 2012 | |||
| 32* | Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, dated November14, 2012 |
* Previously filed.