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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported)
November 7, 2006 (November 7, 2006)
Introgen Therapeutics, Inc.
(Exact name of registrant as specified in its charter)
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Delaware
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0-21291
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74-2704230 |
(State or other jurisdiction of
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(Commission File Number)
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(IRS Employer |
incorporation)
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Identification No.) |
301 Congress Avenue, Suite 1850
Austin, Texas 78701
(Address of principal executive offices, including zip code)
(512) 708-9310
(Registrants telephone number, including area code)
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the
filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 1.01. Entry into a Material Definitive Agreement.
On November 7, 2006, Introgen Therapeutics, Inc. (the Company) entered into a Placement
Agent Agreement with Mulier Capital Limited in connection with the registered direct offering of up
to 1,326,086 shares of the Companys common stock (the Shares). The sale of the Shares is being
made pursuant to the Companys Registration Statement on Form S-3 (File No. 333-107799), as
amended, which was declared effective by the Securities and Exchange Commission on August 25, 2003
(the Shelf Registration Statement).
The Placement Agent Agreement is being filed as Exhibit 10.1 to this Current Report on Form
8-K and incorporated herein and incorporated by reference into the Shelf Registration Statement.
The related opinion of Wilson Sonsini Goodrich & Rosati, Professional Corporation, is being filed
as Exhibit 5.1 to this Current Report on Form 8-K and incorporated herein and incorporated by
reference into the Shelf Registration Statement.
On November 7, 2006, the Company issued a press release announcing the sale and issuance of
the Shares to a certain investor at a purchase price of $4.60 per Share, resulting in gross
proceeds to the Company of $6,099,995.60. The press release is being filed as Exhibit 99.1 to this
Current Report on Form 8-K and incorporated herein and incorporated by reference into the shelf
registration statement.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
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Exhibit No. |
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Description |
5.1
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Legal Opinion of Wilson Sonsini Goodrich & Rosati, Professional Corporation, dated November 7, 2006. |
10.1
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Placement Agent Agreement dated November 7, 2006. |
23.1
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Consent of Wilson Sonsini Goodrich
& Rosati, Professional Corporation, included in Exhibit 5.1. |
99.1
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Press Release dated November 7, 2006. |
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 hereunto duly authorized.
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INTROGEN THERAPEUTICS, INC.
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By: |
/s/ James W. Albrecht, Jr.
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James W. Albrecht, Jr. |
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Chief Financial Officer |
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Date: November 7, 2006
EXHIBIT INDEX
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Exhibit No. |
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Description |
5.1
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Legal Opinion of Wilson Sonsini Goodrich & Rosati, Professional Corporation, dated November 7, 2006. |
10.1
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Placement Agent Agreement dated November 7, 2006. |
23.1
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Consent of Wilson Sonsini Goodrich
& Rosati, Professional Corporation, included in Exhibit 5.1. |
99.1
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Press Release dated November 7, 2006. |