Seagen Inc. - FORM 10-Q/A - September 15, 2017

Attached files

file filename
EX-31.2 - EX-31.2 - Seagen Inc.d458750dex312.htm
EX-31.1 - EX-31.1 - Seagen Inc.d458750dex311.htm
EX-10.3 - EX-10.3 - Seagen Inc.d458750dex103.htm

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 10-Q/A

(Amendment No. 1)

 

 

(Mark One)

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

For the quarterly period ended March 31, 2017

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 0-32405

 

 

SEATTLE GENETICS, INC.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   91-1874389

(State or other jurisdiction of

incorporation or organization)

  

(I.R.S. Employer

Identification No.)

21823 30th Drive SE

Bothell, Washington 98021

(Address of principal executive offices, including zip code)

(Registrant’s telephone number, including area code): (425) 527-4000

 

 

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 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, smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer   ☒    Accelerated filer   ☐
Non-accelerated filer   ☐  (Do not check if a smaller reporting company)    Smaller reporting company   ☐

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.    ☐

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

As of April 26, 2017, there were 142,716,597 shares of the registrant’s common stock outstanding.

 

 

 

EXPLANATORY NOTE

Seattle Genetics, Inc. (the “Company”) is filing this Amendment No. 1 to Quarterly Report on Form 10-Q/A (this “Amendment”) to amend the Company’s Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2017, as filed with the Securities and Exchange Commission (the “SEC”) on May 1, 2017 (the “10-Q”). This Amendment is being filed solely to re-file Exhibit 10.3 to the 10-Q (the “Exhibit”) and in connection therewith, to amend Part II, Item 6 of the 10-Q. Certain provisions of the Exhibit were redacted in accordance with the Company’s application for confidential treatment with the SEC. In response to SEC comments, the Exhibit, as re-filed, includes certain provisions that had previously been redacted. 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 attempt has been made in this Amendment to modify or update the other disclosures presented in the 10-Q. This Amendment does not reflect events occurring after the filing of the original 10-Q (i.e., those events occurring after May 1, 2017) or modify or update those disclosures that may be affected by subsequent events.

 

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Item 6. Exhibits

 

          Incorporation By Reference

Exhibit

Number

   

Exhibit Description

    Form    SEC File No.    Exhibit    Filing Date
  3.1    Fourth Amended and Restated Certificate of Incorporation of Seattle Genetics, Inc.    10-Q    000-32405    3.1    11/07/2008
  3.2    Certificate of Amendment of Fourth Amended and Restated Certificate of Incorporation of Seattle Genetics, Inc.    8-K    000-32405    3.3    05/26/2011
  3.3    Amended and Restated Bylaws of Seattle Genetics, Inc.    8-K    000-32405    3.1    11/25/2015
  4.1    Specimen Stock Certificate.    S-1/A    333-50266    4.1    02/08/2001
  4.2    Investor Rights Agreement dated July 8, 2003 among Seattle Genetics, Inc. and certain of its stockholders.    10-Q    000-32405    4.3    11/07/2008
  4.3    Registration Rights Agreement, dated September  10, 2015, between Seattle Genetics, Inc. and the persons listed on Schedule A attached thereto.    8-K    000-32405    10.1    09/11/2015
10.1*    Seattle Genetics, Inc. Senior Executive Annual Bonus Plan.    8-K    000-32405    10.1    02/01/2017
10.2*    Compensation Information for Executive Officers and Directors.    10-K    000-32405    10.56    02/21/2017
10.3+†    Development and License Agreement dated February 10, 2017 between Seattle Genetics, Inc. and Immunomedics, Inc.    —    —    —    —
10.4    Stock Purchase Agreement, dated February 10, 2017 between Seattle Genetics, Inc. and Immunomedics, Inc.    10-Q    000-32405    10.4    05/01/2017
10.5    Registration Rights Agreement, dated February 10, 2017 between Seattle Genetics, Inc. and Immunomedics, Inc.    10-Q    000-32405    10.5    05/01/2017
10.6    Immunomedics, Inc. Common Stock Purchase Warrant, dated February 16, 2017.    10-Q    000-32405    10.6    05/01/2017
10.7    Warrant Agreement, dated February  16, 2017, between Immunomedics, Inc. and Broadridge Corporate Issuer Solutions, Inc., as Warrant Agent.    10-Q    000-32405    10.7    05/01/2017
31.1+    Certification of Chief Executive Officer pursuant to Rule 13a-14(a).    —    —    —    —
31.2+    Certification of Chief Financial Officer pursuant to Rule 13a-14(a).    —    —    —    —
32.1    Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350.    10-Q    000-32405    32.1    05/01/2017
32.2    Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350.    10-Q    000-32405    32.2    05/01/2017
101.INS    XBRL Instance Document.    10-Q    000-32405    101.INS    05/01/2017
101.SCH    XBRL Taxonomy Extension Schema Document.    10-Q    000-32405    101.SCH    05/01/2017
101.CAL    XBRL Taxonomy Extension Calculation Linkbase Document.    10-Q    000-32405    101.CAL    05/01/2017
101.DEF    XBRL Taxonomy Extension Definition Linkbase Document.    10-Q    000-32405    101.DEF    05/01/2017
101.LAB    XBRL Taxonomy Extension Labels Linkbase Document.    10-Q    000-32405    101.LAB    05/01/2017
101.PRE    XBRL Taxonomy Extension Presentation Linkbase Document.    10-Q    000-32405    101.PRE    05/01/2017

 

+ Filed herewith.
† 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 required by Rule 24b-2 under the Securities Exchange Act of 1934.
* Indicates a management contract or compensatory plan or arrangement.

 

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SIGNATURE

Pursuant to the requirements of Section 13 or 15(d) 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.

 

SEATTLE GENETICS, INC.
By:   /s/    TODD E. SIMPSON        
 

Todd E. Simpson

Duly Authorized and Chief Financial Officer

(Principal Financial and Accounting Officer)

Date: September 15, 2017

 

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Seagen Inc. Reports