UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
(Amendment No. 1)
(Mark One)
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QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the quarterly period ended
or
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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:
(Exact name of registrant as specified in its charter)
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(State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification No.) |
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(Address of principal executive offices) |
(Zip Code) |
Registrant’s telephone number, including area code: (
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
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Trading symbol
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Name of each exchange on which registered
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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.
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted 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 such files).
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 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 |
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☐ |
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☒ |
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Non-accelerated filer |
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☐ |
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Smaller reporting company |
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Emerging growth company |
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☐ |
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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.
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes
Number of shares of common stock, $0.001 par value, outstanding as of November 2, 2020:
EXPLANATORY NOTE
On November 6, 2020, Cytokinetics, Incorporated (the “Company”) filed the Company’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2020 (the “Form 10-Q”) with the Securities and Exchange Commission (the “Commission”). This Amendment No. 1 to Form 10-Q (this “Amendment”) is an exhibit-only filing in response to comments received from the Commission in connection with the Company’s omission of portions of Exhibit 10.1 pursuant to Item 601(b)(10)(iv) of Regulation S-K, as originally filed with the Form 10-Q. This Amendment is being filed solely to re-file Exhibit 10.1 based on comments from the Commission.
As required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), the Company has set forth the complete text of Item 6, as amended. This Amendment speaks as of the filing date of the Form 10-Q, does not update information in the Form 10-Q to reflect events that have occurred subsequent to the filing date of the Form 10-Q, and does not modify or update in any way disclosures made in the Form 10-Q. Except as described above, no other amendments are being made to the Form 10-Q. Accordingly, this Amendment should be read in conjunction with the Form 10-Q and the Company’s subsequent filings made with the Securities and Exchange Commission since November 6, 2020. The filing of this Amendment shall not be deemed an admission that the Form 10-Q, when made, included any untrue statement of a material fact or omitted to state a material fact necessary to make a statement not misleading.
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ITEM 6. |
EXHIBITS |
A list of exhibits filed with this Quarterly Report on Form 10-Q or incorporated herein by reference is found in the Index to Exhibits immediately following the signature page of this report and is incorporated into this Item 6 by reference.
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Incorporated by Reference |
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Exhibit No. |
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Exhibits |
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Form |
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File No. |
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Filing Date |
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Exh. No. |
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Filed Herewith |
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3.1 |
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S-3 |
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333-174869 |
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June 13, 2011 |
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3.1 |
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3.2 |
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Certificate of Amendment of Amended and Restated Certificate of Incorporation |
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8-K |
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000-50633 |
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May 20, 2016 |
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3.1 |
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3.3 |
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S-1 |
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333-112261 |
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January 27, 2004 |
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3.2 |
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4.1 |
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10-Q |
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000-50633 |
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May 9, 2007 |
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4.1 |
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10.1# |
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X |
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10.2*+ |
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10-Q |
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000-50633 |
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November 6, 2020
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10.2 |
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10.3*+ |
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10-Q |
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000-50633 |
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November 6, 2020
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10.3 |
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10.4* |
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Form of Common Stock Purchase Agreement, dated July 14, 2020 |
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10-Q |
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000-50633 |
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November 6, 2020
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10.4 |
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10.5+ |
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10-Q |
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000-50633 |
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November 6, 2020
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10.5 |
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31.1 |
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X |
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31.2 |
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X |
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31.3 |
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X |
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32.1 |
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10-Q |
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000-50633 |
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November 6, 2020
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32.1 |
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101.INS |
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Inline XBRL Instance Document (the Instance Document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document) |
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10-Q |
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000-50633 |
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November 6, 2020
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101.INS |
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101.SCH |
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Inline XBRL Taxonomy Extension Schema Document |
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10-Q |
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000-50633 |
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November 6, 2020
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101.SCH |
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101.CAL |
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Inline XBRL Taxonomy Extension Calculation Linkbase Document |
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10-Q |
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000-50633 |
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November 6, 2020
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101.CAL |
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101.DEF |
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Inline XBRL Taxonomy Extension Definition Linkbase Document |
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10-Q |
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000-50633 |
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November 6, 2020
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101.DEF |
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101.LAB |
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Inline XBRL Taxonomy Extension Label Linkbase Document |
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10-Q |
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000-50633 |
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November 6, 2020
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101.LAB |
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3
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Incorporated by Reference |
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Exhibit No. |
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Exhibits |
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Form |
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File No. |
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Filing Date |
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Exh. No. |
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Filed Herewith |
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101.PRE |
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Inline XBRL Taxonomy Extension Presentation Linkbase Document |
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10-Q |
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000-50633 |
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November 6, 2020
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101.PRE |
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104 |
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Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) |
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10-Q |
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000-50633 |
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November 6, 2020
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104 |
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(1) |
This certification accompanies the original Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Registrant 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 the Form 10-Q), irrespective of any general incorporation language contained in such filing. |
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* |
Portions of the publicly filed document have been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K. |
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+ |
Schedules have been omitted pursuant to Item 601(a)(5) of Regulation S-K and will be furnished on a supplemental basis to the Securities and Exchange Commission upon request. |
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# |
The Registrant has requested confidential treatment for portions of this exhibit. Omissions are designated with brackets containing asterisks. As part of our confidential treatment request, a complete version of this exhibit has been filed separately with the Securities and Exchange Commission. |
4
SIGNATURES
Pursuant to the requirements of the Securities Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Dated: March 11, 2021 |
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CYTOKINETICS, INCORPORATED |
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(Registrant) |
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/s/ Robert I. Blum |
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Robert I. Blum |
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President and Chief Executive Officer |
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(Principal Executive Officer) |
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/s/ Ching W. Jaw |
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Ching W. Jaw |
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Senior Vice President, Chief Financial Officer |
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(Principal Financial Officer) |
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/s/ Robert C. Wong |
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Robert C. Wong |
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Vice President, Chief Accounting Officer (Principal Accounting Officer) |
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