UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

FORM 10-Q/A

Amendment No. 1

 

(Mark One)

 

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

 

For the quarterly period ended September 30, 2016

 

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 001-35587

 

TESARO, INC.

(Exact Name of Registrant as Specified in Its Charter)

 

Delaware

 

27-2249687

(State or Other Jurisdiction of

 

(I.R.S. Employer

Incorporation or Organization)

 

Identification No.)

 

 

 

1000 Winter Street

 

 

Waltham, Massachusetts

 

02451

(Address of Principal Executive Offices)

 

(Zip Code)

 

(339) 970-0900

(Registrant’s Telephone Number, Including Area Code)

 

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 ☒ No ☐

 

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).  Yes ☒ No ☐

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company.  See the definitions of “large accelerated filer”, “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):

 

Large accelerated filer ☒

 

Accelerated filer ☐

 

 

 

Non-accelerated filer ☐

 

Smaller reporting company ☐

(Do not check if a smaller reporting company)

 

 

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).  Yes ☐ No ☒

 

As of October 31, 2016 there were 51,662,407 shares of the registrant’s Common Stock, par value $0.0001 per share, outstanding.


 

Explanatory Note

 

TESARO, Inc., or the Company, is filing this Amendment No. 1, or this Amendment, to its Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2016, or the Original Form 10-Q, as an exhibit-only filing to re-file Exhibit 10.1 to the Original Form 10-Q, or the Exhibit, in response to comments the Company received from the Securities and Exchange Commission on a confidential treatment request the Company made for certain portions of the Exhibit. 

 

In addition, as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended, new certifications by the Company’s principal executive officer and principal financial officer are filed as exhibits to this Amendment.    

 

Except as described above, this Amendment does not reflect events occurring after the filing of the Original Form 10-Q and no revisions are being made pursuant to this Amendment to the Company’s financial statements or any other disclosure contained in the Original Form 10-Q.  Accordingly, this Amendment should be read in conjunction with the Original Report.

 

2

 


 

SIGNATURE S

 

Pursuant to the requirements of Section 13 or 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.

 

 

 

 

 

TESARO, INC.

 

 

 

 

 

 

 

By:

/s/ Leon O. Moulder, Jr.

 

 

Leon O. Moulder, Jr.

 

 

Chief Executive Officer

 

 

(principal executive officer)

 

 

 

 

Date:

March 22, 2017

 

 

 

 

 

 

 

By:

/s/ Timothy R. Pearson

 

 

Timothy R. Pearson

 

 

Executive Vice President and Chief Financial Officer

 

 

(principal financial officer)

 

 

 

 

Date:

March 22, 2017

 

 

3

 


 

EXHIBIT INDEX

 

Exhibit
Number

 

Exhibit Description

10.1*

 

Collaboration, Development and License Agreement, dated September 28, 2016, by and between the Company and Zai Lab (Shanghai) Co., Ltd.

31.1

 

Certification of principal executive officer pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act of 1934, as amended.

31.2

 

Certification of principal financial officer pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act of 1934, as amended.

32.1**

 

Certification of principal executive officer pursuant to 18 U.S.C. §1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

32.2**

 

Certification of principal financial officer pursuant to 18 U.S.C. §1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

 

 

EX-101.INS***

 

XBRL Instance Document

EX-101.SCH***

 

XBRL Taxonomy Extension Schema Document

EX-101.CAL***

 

XBRL Taxonomy Extension Calculation Linkbase Document

EX-101.DEF***

 

XBRL Taxonomy Extension Definition Linkbase Document

EX-101.LAB***

 

XBRL Taxonomy Extension Label Linkbase Document

EX-101.PRE***

 

XBRL Taxonomy Extension Presentation Linkbase Document


* Confidential Treatment has been requested with respect to certain portions of this exhibit.  Omitted portions have been filed separately with the Securities and Exchange Commission.

** Previously furnished with the Company’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2016, as filed on November 4, 2016.

*** Previously filed with the Company’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2016, as filed on November 4, 2016.

 

4

 


Tesaro, Inc. (NASDAQ:TSRO)
Historical Stock Chart
From Mar 2024 to Apr 2024 Click Here for more Tesaro, Inc. Charts.
Tesaro, Inc. (NASDAQ:TSRO)
Historical Stock Chart
From Apr 2023 to Apr 2024 Click Here for more Tesaro, Inc. Charts.