10-K/A 1 a2045485z10-ka.htm 10-K/A Prepared by MERRILL CORPORATION
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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 December 31, 2000
or

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

Commission file number 0-29889


RIGEL PHARMACEUTICALS, INC.

(Exact name of registrant as specified in its charter)

Delaware   94-3248524
(State or other jurisdiction of
incorporation or organization)
  (IRS Employer Identification Number)

240 East Grand Avenue
South San Francisco, California

 


94080
(Address of principal executive offices)   (Zip Code)

(650) 624-1100
(Registrant's telephone number, including area code)

Securities registered pursuant to Section 12(b) of the Act:
None

Securities registered pursuant to Section 12(g) of the Act:
Common Stock, par value $.001 per share
(Title of Class)


    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 if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's 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. /x/

    The approximate aggregate market value of the Common Stock held by non-affiliates of the registrant, based upon the closing price of the Common Stock as reported on the Nasdaq National Market on March 15, 2001, was $74,954,000.

    As of March 15, 2001, there were 36,907,352 shares of the registrant's Common Stock outstanding.




EXPLANATORY NOTE

    We are filing this amendment to our Annual Report on Form 10-K, originally filed with the Securities and Exchange Commission on March 30, 2001, for the sole purpose of providing information required by Part III, Item 10 of Form 10-K, and Item 405 of Regulation S-K, under the caption, "Compliance with Section 16(a) of the Exchange Act." This information is set forth below.

Compliance with Section 16(a) of the Exchange Act

    Section 16(a) of the Securities Exchange Act of 1934 requires the Company's directors and executive officers, and persons who own more than ten percent of a registered class of the Company's equity securities, to file with the SEC initial reports of ownership and reports of changes in ownership of Common Stock and other equity securities of the Company. Officers, directors and greater than ten percent stockholders are required by SEC regulation to furnish the Company with copies of all Section 16(a) forms they file.

    To the Company's knowledge, based solely on a review of the copies of such reports furnished to the Company and written representations that no other reports were required, during the fiscal year ended December 31, 2000, all Section 16(a) filing requirements applicable to its officers, directors and greater than ten percent beneficial owners were complied with.



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 on Form 10-K/A to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of South San Francisco, State of California, on April 24, 2001.

    RIGEL PHARMACEUTICALS, INC.

 

 

By:

/s/ 
JAMES M. GOWER   
James M. Gower
Chief Executive Officer

    Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.

Signature
  Title
  Date

 

 

 

 

 
/s/ JAMES M. GOWER   
James M. Gower
  President, Chief Executive Officer
and Director
(Principal Executive Officer)
  April 24, 2001

*

Brian C. Cunningham

 

Senior Vice President, Chief Financial Officer, Chief Operating Officer
and Secretary
(Principal Finance and
Accounting Officer)

 

April 24, 2001

*

Donald G. Payan

 

Executive Vice President,
Chief Scientific Officer
and Director

 

April 24, 2001

*

Jean Deleage

 

Director

 

April 24, 2001

*

Alan D. Frazier

 

Director

 

April 24, 2001

*

Walter H. Moos

 

Director

 

April 24, 2001

*

Stephen A. Sherwin

 

Director

 

April 24, 2001

*

Thomas S. Volpe

 

Director

 

April 24, 2001

*By James M. Gower as Attorney-in-Fact

65




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SIGNATURES