-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FypIepuKxtRbTpc6rb70ANs1wjqRMXieRVKU9Bi7cT2xdkNSNR3VAp6SWdxMulZE TUyTz19Bj0SDPiM3x3XmHw== 0000950127-02-000132.txt : 20020414 0000950127-02-000132.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950127-02-000132 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20020208 ITEM INFORMATION: Financial statements and exhibits ITEM INFORMATION: FILED AS OF DATE: 20020211 FILER: COMPANY DATA: COMPANY CONFORMED NAME: APHTON CORP CENTRAL INDEX KEY: 0000840319 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 953640931 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-19122 FILM NUMBER: 02532721 BUSINESS ADDRESS: STREET 1: PO BOX 1049 STREET 2: STE 51-507 CITY: WOODLAND STATE: CA ZIP: 95776 BUSINESS PHONE: 5306616077 MAIL ADDRESS: STREET 1: PO BOX 1049 STREET 2: STE 51-507 CITY: WOODLAND STATE: CA ZIP: 95776 8-K 1 a_860050.txt APHTON CORP._FORM 8-K 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): February 8, 2002 Aphton Corporation ------------------------------------------------------------------------------ (Exact name of registrant as specified in its charter) Delaware 0-19122 95-3640931 --------------------- ------------------------ -------------------------- (State or Other (Commission File Number) (I.R.S. Employer Jurisdiction Identification Number) Incorporation) 444 Brickell Avenue, Suite 51-507, Miami, Florida 33131-2492 - ------------------------------------------------------------------------------- (Address of principal executive offices)(zip code) (305) 374-7338 - ------------------------------------------------------------------------------- (Registrant's telephone number, including area code) - -------------------------------------------------------------------------------- (Former name or former address, if changed since last report) ITEM 7. FINANCIAL STATEMENTS & EXHIBITS. (c) Exhibits. 99.1 Text of Press Release of Aphton Corporation dated February 8, 2002. ITEM 9. REGULATION FD DISCLOSURE On February 8, 2002, a scientific collaborator of Aphton Corporation (the "Company") inadvertently disclosed at a scientific symposium in Europe certain information that could potentially be deemed to be material. This information concerns the interim results of the Company's gastric cancer Phase II clinical trial. As a precaution, the Company is filing this Current Report on Form 8-K to avoid any appearance of selective disclosure. A press release announcing these interim results was issued by the Company on February 8, 2002, and is annexed to this Current Report on Form 8-K as Exhibit 99.1. -2- SIGNATURE Pursuant to the requirements of the Securities and Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. APHTON CORPORATION (Registrant) By: /s/ Frederick W. Jacobs ----------------------------------- Name: Frederick W. Jacobs Title: Vice President, Treasurer and Chief Accounting Officer Dated: February 8, 2002 -3- EX-99 3 a_exhibit99.txt A_EXHIBIT.TXT [EXHIBIT 99.1 NEWS RELEASE Exhibit 99.1 -------------- N E W S R E L E A S E APHTON SCIENTIFIC COLLABORATOR ANNOUNCES INTERIM RESULTS OF GASTRIC CANCER PHASE II CLINICAL TRIAL AT 12TH INTERNATIONAL CONGRESS IN PARIS ON ANTI-CANCER TREATMENT February 8, 2002 Paris, France-Aphton Corporation's (Nasdaq: APHT) scientific collaborator, Dr. J. Ajani, announced today interim results of the gastric cancer Phase II clinical trial with Aphton's immunogen, G17DT, in a symposium titled "G17DT: A NEW APPROACH TO GROWTH FACTOR NEUTRALIZATION" at the 12th International Congress on Anti-Cancer Treatment held this week in Paris, France. The symposium was chaired by Professor J. Ajani of the MD Anderson Cancer Center in Houston, Texas. Dr. Ajani, the principal investigator of Aphton's Phase II clinical trial for patients with metastatic gastric cancer, in which G17DT in combination with chemotherapy (cisplatin plus 5FU/Leucovorin), presented an interim analysis of the first 30 patients on whom results were available. No side effects were attributed to the immunogen. When administered with G17DT the patients completed on average 5.5 cycles of chemotherapy, compared to a normal average of 2.5 cycles completion before side effects force discontinuation. Of the 30 patients, 15 had a partial tumor response (tumor shrinkage by 50% or more) for an overall response rate of 50%. One patient had a complete response (no detectable residual tumor) and 14 had a partial response. These results compare favorably with reported response rates of chemotherapy with cisplatin plus 5 FU/Leucovorin in large, controlled clinical trials for patients with metastatic gastric cancer. Aphton Corporation is a biopharmaceutical company in one Phase III and three Phase II clinical trials developing products using its innovative vaccine-like technology for neutralizing hormones that participate in gastrointestinal system and reproductive system cancer and non-cancer diseases; and for the prevention of pregnancy. Aphton has several strategic alliances including strategic alliances with Aventis Pasteur (NYSE:AVE) and GlaxoSmithKline (NYSE:GSK). Except for the historical information herein, the matters discussed herein are forward-looking statements that involve a number or risks and uncertainties and are not a guarantee of future performance. Future results may vary significantly based on a number of factors including, but not limited to, intellectual property risks, risks in regulatory and market acceptance of new products and continuing demand for same, the impact of competitive products and pricing, changing economic conditions and other risk factors that are inherent in the drug development process and the company's -1- business including those set forth in Aphton's most recent 10-K and other filings with the Securities and Exchange Commission. It is not possible to predict or identify all such risk factors that could cause actual results to differ from expected or historical results. The company's actual results could differ from these forward-looking statements and the company undertakes no obligation to update publicly any forward-looking statement, except as may be required under applicable securities law. Contact: Aphton Corporation; Investor Relations, J.L. Whitmore, 305-374-7338. -2- -----END PRIVACY-ENHANCED MESSAGE-----