Relypsa Inc - FORM 10-Q/A - January 5, 2016

Attached files

file filename
EX-31.3 - EX-31.3 - Relypsa Incd112340dex313.htm
EX-10.2 - EX-10.2 - Relypsa Incd112340dex102.htm
EX-31.4 - EX-31.4 - Relypsa Incd112340dex314.htm

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 10-Q/A

(Amendment No. 1)

 

 

 

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

For the quarterly period ended September 30, 2015

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: 001-36184

 

 

Relypsa, Inc.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   26-0893742

(State or other jurisdiction of

incorporation or organization)

  

(I.R.S. Employer

Identification No.)

100 Cardinal Way, Redwood City, California 94063

(Address of principal executive offices, including zip code)

(650) 421-9500

(Registrant’s telephone number, including area code)

 

 

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  x    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 during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).    Yes  x    No  ¨

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer or smaller reporting company. See definition 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   x
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 Act).    Yes  ¨    No  x

As of November 1, 2015, the registrant had 41,691,554 shares of common stock outstanding.

 

 

 

EXPLANATORY NOTE

This Amendment No. 1 to the Form 10-Q (this “Amendment”) amends the Quarterly Report on Form 10-Q of Relypsa, Inc. for the period ended September 30, 2015 filed on November 4, 2015 (the “Form 10-Q”) for the sole purpose of refiling Exhibit 10.2 (certain portions of which are omitted pursuant to a confidential treatment request filed with the Securities and Exchange Commission (the “SEC”)) and in connection therewith, to amend Part II, Item 6 of the 10-Q and the Exhibit Index to the 10-Q. In addition, as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended, new certifications by our principal executive officer and principal financial officer are filed as exhibits to this Amendment.

No other changes have been made to the Form 10-Q. This Amendment does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update in any way the disclosures made in the original Form 10-Q.

Item 6. Exhibits

 

Exhibit

Number

         Incorporated by Reference     

Provided

Herewith

   Exhibit Description    Form      Date      Number     

    3.1

    Amended and Restated Certificate of Incorporation.      8-K         11/20/2013         3.1      

    3.2

    Amended and Restated Bylaws.      8-K         6/9/2015         3.1      

    4.1

    Reference is made to Exhibits 3.1 through 3.2.            

    4.2

    Form of Common Stock Certificate.      S-1/A         10/17/2013         4.2      

    4.3

    Warrant to purchase common stock issued to Silicon Valley Bank in connection with the equipment line of credit pursuant to the Loan and Security Agreement, dated as of July 30, 2008, by and between Silicon Valley Bank and Relypsa, Inc.      S-1         9/27/2013         4.4      

    4.4

    Form of warrant to purchase common stock in connection with the Amended and Restated Loan and Security Agreement, dated as of May 30, 2014, by and among Oxford Finance LLC, Silicon Valley Bank and Relypsa, Inc.      8-K         6/2/2014         4.1      

  10.1†

    License Agreement, dated as of August 10, 2015, by and between Vifor Fresenius Medical Care Renal Pharma Ltd. and Relypsa, Inc.      10-Q         11/4/2015         10.1      

  10.2†

    Detailing Agreement, dated as of August 10, 2015, by and between Relypsa, Inc. and Sanofi-Aventis US LLC.             X

  10.3

    Fourth Amendment to Amended and Restated Loan and Security Agreement, dated as of October 1, 2015, by and among Oxford Finance LLC, Silicon Valley Bank and Relypsa, Inc.      10-Q         11/4/2015         10.3      

  10.4

    Fourth Amendment to Loan and Security Agreement, dated as of October 1, 2015, by and between Silicon Valley Bank and Relypsa, Inc.      10-Q         11/4/2015         10.4      

  31.1

    Certification of Chief Executive Officer of Relypsa, Inc., as required by Rule 13a-14(a) or Rule 15d-14(a).      10-Q         11/4/2015         31.1      

  31.2

    Certification of Chief Financial Officer of Relypsa, Inc., as required by Rule 13a-14(a) or Rule 15d-14(a).      10-Q         11/4/2015         31.2      

  31.3

    Certification of Chief Executive Officer of Relypsa, Inc., as required by Rule 13a-14(a) or Rule 15d-14(a).             X

  31.4

    Certification of Chief Financial Officer of Relypsa, Inc., as required by Rule 13a-14(a) or Rule 15d-14(a).             X

  32.1*

    Certification by the Chief Executive Officer and Chief Financial Officer, as required by Rule 13a-14(b) or Rule 15d-14(b) and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. §1350).      10-Q         11/4/2015         32.1      

101.INS

    XBRL Instance Document.      10-Q         11/4/2015         101.INS      

101.SCH

    XBRL Taxonomy Extension Schema Document.      10-Q         11/4/2015         101.SCH      

101.CAL

    XBRL Taxonomy Extension Calculation Linkbase Document.      10-Q         11/4/2015         101.CAL      

101.DEF

    XBRL Taxonomy Extension Definition Linkbase Document.      10-Q         11/4/2015         101.DEF      

101.LAB

    XBRL Taxonomy Extension Labels Linkbase Document.      10-Q         11/4/2015         101.LAB      

101.PRE

    XBRL Taxonomy Extension Presentation Linkbase Document.      10-Q         11/4/2015         101.PRE      

 

† Confidential treatment has been requested for certain information contained in this Exhibit (indicated by asterisks). Such information has been omitted and filed separately with the SEC.
* The certification attached as Exhibit 32.1 that accompanies this Quarterly Report on Form 10-Q/A is not deemed filed with the SEC and is not to be incorporated by reference into any filing of Relypsa, Inc. 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 Form 10-Q/A, irrespective of any general incorporation language contained in such filing.

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.

 

Date: January 5, 2016       Relypsa, Inc.
    By:  

/s/ Kristine M. Ball

      Kristine M. Ball
      Senior Vice President and Chief Financial Officer
      (Principal Financial and Accounting Officer)

Relypsa Inc Reports