UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
(Amendment No. 1)
(Mark one)
x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended June 30, 2018.
or
o 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: 0-12104
IMMUNOMEDICS, INC.
(Exact name of registrant as specified in its charter)
Delaware |
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61-1009366 |
(State of incorporation) |
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(I.R.S. Employer Identification No.) |
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300 The American Road, Morris Plains, New Jersey |
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07950 |
(Address of principal executive offices) |
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(Zip Code) |
Registrants telephone number, including area code: (973) 605-8200
Securities registered pursuant to Section 12(b) of the Act:
Title of each class |
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Name of each exchange on which registered |
Common Stock, $0.01 par value |
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Nasdaq Stock Market LLC |
Securities registered pursuant to Section 12(g) of the Act:
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes x No o
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes o No x
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 requirement for the past 90 days. Yes x No o
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Website, 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 x No o
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§299.405 of this chapter) is not contained herein, and will not be contained, to the best of the registrants knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See definitions of large accelerated filer, accelerated filer, smaller reporting company and emerging growth company in Rule 12b-2 of the Exchange Act. (Check one):
Large Accelerated Filer x |
Accelerated Filer o |
Non-Accelerated Filer o |
Smaller Reporting Company o |
Emerging Growth Company o |
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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. o
Indicate by check mark whether the registrant is a shell company (as defined in Exchange Act Rule 12b-2 of the Act). Yes o No x
The aggregate market value of the registrants common stock held by non-affiliates computed by reference to the price at which the common stock was last sold as of December 31, 2017 was $2,606,095,987. The number of shares of the registrants common stock outstanding as of August 20, 2018 was 186,832,011.
Documents Incorporated by Reference:
Certain information required in Part III of this Annual Report on Form 10-K will be set forth in, and incorporated from the registrants definitive proxy statement for the 2018 annual meeting of stockholders, or an amendment to this Annual Report on Form 10-K, which will be filed by the registrant with the Securities and Exchange Commission not later than 120 days after the end of the registrants fiscal year ended at June 30, 2018.
EXPLANATORY NOTE
The signed consent of KPMG LLP, the Companys independent registered public accounting firm, was delivered prior to the filing of the Form 10-K for the year ended June 30, 2018, originally filed on August 23, 2018 (the Original Filing); however, the conformed signature was inadvertently omitted from the version of the consent filed via EDGAR. This amendment is being filed to include the conformed signature.
Pursuant to Rule 12b-15 under the Securities Exchange Act of 1934, as amended, this Form 10-K/A also contains new certifications pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, which are attached hereto. Because no financial statements have been included in this Form 10-K/A and this Form 10-K/A does not contain or amend any disclosure with respect to Items 307 and 308 of Regulation S-K, paragraphs 3, 4, and 5 of the certifications have been omitted.
Except as expressly set forth in this Amendment No. 1, no other changes have been made to the Original Filing, and this Form 10-K/A does not modify, amend or update in any way any of the financial or other information contained in the Original Filing. This Form 10-K/A does not reflect events that may have occurred subsequent to the filing date of the Original Filing.
PART IV
Item 15. Exhibits, Financial Statement Schedules
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(a) Documents filed as part of this Amendment: | |
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Consolidated Financial Statements: |
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The following documents were previously filed with the SEC on August 23, 2018 as part of our Annual Report on Form 10-K for the fiscal year ended June 30, 2018, which is being hereby amended. |
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Consolidated Balance Sheets June 30, 2018 and 2017 |
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Consolidated Statements of Comprehensive Loss for the years ended June 30, 2018, 2017 and 2016 |
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Consolidated Statements of Changes in Stockholders Equity (Deficit) for the years ended June 30, 2018, 2017 and 2016 |
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Consolidated Statements of Cash Flows for the years ended June 30, 2018, 2017 and 2016 |
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Notes to Consolidated Financial Statements |
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Reports of Independent Registered Public Accounting Firm KPMG LLP |
2. |
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Financial Statement Schedule: |
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The following documents were previously filed with the SEC on August 23, 2018 as part of our Annual Report on Form 10-K for the fiscal year ended June 30, 2018, which is being hereby amended. |
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Schedule II Valuation and Qualifying Reserves |
3. |
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List of Exhibits |
Exhibit No. |
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Description |
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3.(i).1 |
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3.(i).2 |
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3.(iii).1 |
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3.(iii).2 |
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3.(iii).3 |
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4.1 |
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4.2 |
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4.3 |
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4.4 |
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4.5 |
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10.1 |
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Amended and Restated License Agreement among the Company, David M. Goldenberg and the Center for Molecular Medicine and Immunology, Inc., dated December 11, 1990, incorporated by reference from the Exhibits to the Companys Registration Statement on Form S-2 effective July 24, 1991 (Commission File No. 33-41053). (P) |
10.2 |
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Amendment, dated March 13, 1995, to the Amended and Restated License Agreement among the Company, David M. Goldenberg and the Center for Molecular Medicine and Immunology, Inc., dated December 11, 1990, incorporated by reference from the Exhibits to the Companys Annual Report on Form 10-K for the fiscal year ended June 30, 1995. |
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10.3 |
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10.4 |
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10.5 |
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10.6 |
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Lease Agreement with Baker Properties Limited Partnership, dated January 16, 1992, incorporated by reference from the Exhibits to the Companys Registration Statement on Form S-2 (Commission File No. 33-44750), effective January 30, 1992. (P) |
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10.7 |
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10.8 |
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10.9 |
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10.10 |
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10.11 |
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10.12 |
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10.13# |
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10.14# |
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10.15# |
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10.16# |
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10.17# |
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10.18# |
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10.19# |
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10.20# |
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10.21# |
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10.22# |
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10.23# |
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10.24# |
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10.25# |
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10.26# |
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10.27# |
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10.28# |
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10.29# |
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10.30# |
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10.31# |
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10.32# |
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10.33 |
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10.34 |
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10.35 |
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10.36 |
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10.37 |
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10.38 |
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10.39 |
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10.40 |
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10.41 |
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10.42 |
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10.43 |
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10.44 # |
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10.45 # |
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10.46 # |
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10.47 # |
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10.48 # |
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10.49 |
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10.50 |
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10.51 # |
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10.52 # |
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10.53 # |
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10.54 # |
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10.55 ±** |
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10.56 ±** |
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21.1** |
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23.1* |
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Consent of Independent Registered Public Accounting Firm KPMG LLP. |
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31.1** |
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31.2** |
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31.3* |
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31.4* |
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32.1** |
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32.2** |
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101** |
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The following financial information from the Annual Report on Form 10-K for the fiscal year ended June 30, 2018 filed with the SEC on August 23, 2018, formatted in XBRL (eXtensible Business Reporting Language) and furnished electronically herewith: (i) the Consolidated Balance Sheets; (ii) the Consolidated Statements of Comprehensive Loss; (iii) the Consolidated Statements of Changes in Stockholders Equity (Deficit); (iv) the Consolidated Statements of Cash Flows; and (v) the Notes to Consolidated Financial Statements. |
* Filed herewith.
** Previously filed with the Original Filing.
# Management contract or compensatory plan or arrangement required to be filed as an exhibit to this Form 10-K pursuant to Item 15(a)(3) of Form 10-K.
Confidential treatment has been granted for certain portions of this exhibit.
± Confidential treatment has been requested for certain portions of this exhibit. The confidential portions of this exhibit have been omitted and filed separately with the Securities and Exchange Commission.
P Paper copy only.
(Exhibits available upon request)
SIGNATURES
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.
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IMMUNOMEDICS, INC. | |
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Date: August 24, 2018 |
By: |
/s/ MICHAEL PEHL |
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Michael Pehl |
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Chief Executive Officer (Principal Executive Officer) |