-----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, UklAWwmhbo+ONRGhFBZLVYZFCnO7Z3r3PCSIuNxfbSJC2JW9R9O33J1L6n5hiWHt CvOsZfsiD2nNu2eftG4BKw== 0000950149-97-001826.txt : 19971009 0000950149-97-001826.hdr.sgml : 19971009 ACCESSION NUMBER: 0000950149-97-001826 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970630 FILED AS OF DATE: 19971008 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: AVIGEN INC \DE CENTRAL INDEX KEY: 0000932903 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 133647113 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: SEC FILE NUMBER: 000-28272 FILM NUMBER: 97692298 BUSINESS ADDRESS: STREET 1: 1201 HARBOR BAY PARKWAY STREET 2: SUITE 1000 CITY: ALAMEDA STATE: CA ZIP: 94501 BUSINESS PHONE: 5107487150 MAIL ADDRESS: STREET 1: 1201 HARBOR BAY PARKWAY #1000 CITY: ALAMEDA STATE: CA ZIP: 94502 10-K/A 1 AMENDMENT NUMBER 1 TO FORM 10-K 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (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, 1997. OR [ ] 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 0-28272 AVIGEN, INC. (Exact name of registrant as specified in its charter)
DELAWARE 13-3647113 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer identification No.)
1201 HARBOR BAY PARKWAY, SUITE 1000, ALAMEDA, CALIFORNIA 94502 (Address of principal executive offices and zip code) (510) 748-7150 (Registrant's telephone number, including area code) Securities registered pursuant to Section 12(b) of the Act: Title of each class Name of each exchange on which registered None Securities registered pursuant to Section 12(g) of the Act: Common Stock, $.001 par value - -------------------------------------------------------------------------------- (Title of class) Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Sections 13 of 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 amendments to this Form 10-K. [X] The aggregate market value of the voting stock held by nonaffiliates of the registrant as of September 22, 1997, was approximately $32,798,610 based upon the closing sale price of the registrant's Common Stock as reported on the NASDAQ National Market System on such date. The number of outstanding shares of the Registrant's Common Stock as of September 22, 1997 was 7,288,580. DOCUMENTS INCORPORATED BY REFERENCE Parts of the following documents are incorporated by reference into Parts III and IV of this Form 10-K Report: The definitive Proxy Statement for the Registrant's Annual Meeting of Stockholders scheduled to be held on November 21, 1997. 2 SIGNATURES Pursuant to the requirements of Section 13 of 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. Dated: September 27, 1996 AVIGEN, INC. By: /s/ JOHN MONAHAN, PH.D. ------------------------------------ John Monahan, Ph.D. President, Chief Executive Officer and Director POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints John Monahan and Philip J. Whitcome, and each or any one of them, his true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for him and in his name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Report, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in connection therewith, as fully to all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, or their or his substitutes or substitute, may lawfully do or cause to be done by virtue hereof. PURSUANT TO THE REQUIREMENTS OF THE SECURITIES EXCHANGE ACT OF 1934, THIS REPORT HAS BEEN SIGNED BELOW BY THE FOLLOWING PERSONS ON BEHALF OF THE REGISTRANT AND IN THE CAPACITIES AND ON THE DATES INDICATED.
SIGNATURE TITLE DATE - ----------------------------------------------- ------------------------- ------------------- /s/ JOHN MONAHAN, PH.D. President, Chief September 27, 1997 - ----------------------------------------------- Executive Officer and John Monahan, Ph.D. Director (Principal Executive Officer) * Chief Financial Officer September 27, 1997 - ----------------------------------------------- Thomas J. Paulson * Controller (Principal September 27, 1997 - ----------------------------------------------- Accounting Officer) Glenn Bauer * Chairman of the Board September 27, 1997 - ----------------------------------------------- Philip J. Whitcome, Ph.D. * Director September 27, 1997 - ----------------------------------------------- Zola Horovitz, Ph.D. * Director September 27, 1997 - ----------------------------------------------- Yuichi Iwaki, M.D., Ph.D. * Director September 27, 1997 - ----------------------------------------------- Richard T. Pratt
28 3
SIGNATURE TITLE DATE - ----------------------------------------------- ------------------------- ------------------- * Director September 27, 1997 - ----------------------------------------------- John K.A. Prendergast, Ph.D. * Director September 27, 1997 - ----------------------------------------------- Lindsay A. Rosenwald, M.D. * Director September 27, 1997 - ----------------------------------------------- Leonard P. Shaykin *By: /s/ JOHN MONAHAN, PH.D. - ----------------------------------------------- John Monahan, Ph.D. Attorney-in-Fact
29 -----END PRIVACY-ENHANCED MESSAGE-----