Amended Annual Report (10-k/a)

Date : 04/30/2019 @ 10:06PM
Source : Edgar (US Regulatory)
Stock : AVEO Pharmaceuticals Inc (AVEO)
Quote : 1.08  0.03 (2.86%) @ 3:08PM

Amended Annual Report (10-k/a)

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 10-K/A

Amendment No. 1

 

(Mark One)

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

For the fiscal year ended: December 31, 2018

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: 001-34655

 

AVEO PHARMACEUTICALS, INC.

(Exact Name of Registrant as Specified in Its Charter)

 

 

Delaware

 

04-3581650

(State or Other Jurisdiction of

Incorporation or Organization)

 

(I.R.S. Employer

Identification No.)

One Broadway, 14 th Floor

Cambridge, Massachusetts 02142

(Address of Principal Executive Offices) (zip code)

Registrant’s telephone number, including area code: (617) 588-1960

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class  

 

Name of each exchange on which registered  

Common Stock, $.001 par value

 

Nasdaq Capital Market

Securities registered pursuant to Section 12(g) of the Act:

None

 

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.    Yes  ☐    No  ☒

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act.    Yes  ☐    No  ☒

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 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).    Yes  ☒    No  ☐

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405) 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.  ☒

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or emerging growth company. See 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

 

 

Accelerated filer

 

Non-accelerated filer

 

☐  

 

Smaller reporting company

 

 

 

 

 

Emerging growth company  

 

 

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  ☐    No   ☒

The aggregate market value of the registrant’s common stock, $0.001 par value per share, held by non-affiliates of the registrant, based on the last reported sale price of the common stock on the Nasdaq Capital Market at the close of business on June 29, 2018, was $204,881,812.

The number of shares outstanding of the registrant’s Common Stock as of March 8, 2019 were 139,000,340.

Documents incorporated by reference:

Portions of our definitive proxy statement for our 2019 annual meeting of stockholders are incorporated by reference into Part III of this Annual Report on Form 10-K.

 

 

 


 

  EXPLANATORY NOTE

AVEO Pharmaceuticals, Inc. (the “Company”) is filing this Amendment No. 1 on Form 10-K/A (“Amendment”) to amend its Annual Report on Form 10-K for the fiscal year ended December 31, 2018 (the “Form 10-K”), which was originally filed with the Securities and Exchange Commission (the “SEC”) on March 14, 2019. The purpose of this Amendment is to refile Exhibit 10.36, which was originally filed with the Form 10-K, to transition to the requirements set forth in Item 601(b) of Regulation S-K permitting registrants to omit confidential information from material contracts filed pursuant to Item 601(b)(10) without the need to submit a confidential treatment request to the SEC.

This Amendment speaks as of the original filing date and does not reflect events occurring after the filing of the Form 10-K or modify or update disclosures that may be affected by subsequent events. No revisions are being made to the Company’s financial statements or any other disclosure contained in the Form 10-K.

This Amendment is an exhibit-only filing. Except for the changes to Exhibit 10.36, this Amendment does not otherwise update any exhibits as originally filed or previously amended.

In addition, as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), new certifications by the Company’s principal executive officer and principal financial officer are filed herewith as exhibits to this Amendment pursuant to Rule 13a-14(a) or 15d-14(a) of the Exchange Act. As no financial statements have been included in this Amendment and this Amendment does not contain or amend any disclosure with respect to Items 307 and 308 of Regulation S-K, paragraphs 3, 4, and 5 of the certifications have been omitted. The Company is not including certifications pursuant to Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. 1350) as no financial statements are being filed with this Amendment.

 


 

PART IV

 

ITEM 15. Exhibits, Financial Statement Schedules

 

(a) The following documents are included as part of the Company’s Annual Report on Form 10-K filed with the SEC on March 14, 2019:

 

(1) Financial Statements

 

Report of Independent Registered Public Accounting Firm

Consolidated Balance Sheets

Consolidated Statements of Operations

Consolidated Statements of Comprehensive Loss) Income

Consolidated Statements of Stockholders’ (Deficit) Equity

Consolidated Statements of Cash Flows

Notes to Consolidated Financial Statements

 

(2) Sched ules

 

Schedules have been omitted as all required information has been disclosed in the financial statements and related footnotes.

 

(3) Exhibits

 

(b) The following exhibits are filed herewith or incorporated by reference:

 

EXHIBIT INDEX

 

 

 

 

 

Incorporated by Reference

 

Filed
Herewith

Exhibit
Number

 

Description of Exhibit

 

Form

 

File Number

 

Date of
Filing

 

Exhibit
Number

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Articles of Incorporation and Bylaws

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

    3.1

 

Restated Certificate of Incorporation of the Registrant

 

8-K

 

001-34655

 

03/18/2010

 

3.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

    3.2

 

Certificate of Amendment of Restated Certificate of Incorporation of the Registrant

 

8-K

 

001-34655

 

06/03/2015

 

3.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

    3.3

 

Certificate of Amendment of Restated Certificate of Incorporation of the Registrant

 

10-Q

 

001-34655

 

08/09/2017

 

3.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

    3.4

 

Second Amended and Restated Bylaws of the Registrant

 

S-1/A

 

333-163778

 

02/08/2010

 

3.5

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Instruments Defining the Rights of Security Holders, Including Indentures

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

    4.1

 

Specimen Stock Certificate evidencing the shares of common stock

 

S-1/A

 

333-163778

 

03/09/2010

 

4.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

    4.2

 

Registration Rights Agreement, dated May 13, 2016, by and among the Company and the Investors named therein

 

8-K

 

001-34655

 

05/13/2016

 

10.3

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

    4.3

 

Warrant Agreement, dated July 16, 2018, by and among the Company and Computershare Inc. and Computershare Trust Company, N.A., acting jointly as Warrant Agent

 

8-K

 

001-34655

 

07/16/2018

 

4.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Material Contracts—Management Contracts and Compensatory Plans

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.1

 

2002 Stock Incentive Plan, as amended

 

S-1/A

 

333-163778

 

02/23/2010

 

10.1

 

 

 


 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.2

 

Form of Incentive Stock Option Agreement under 2002 Stock Incentive Plan

 

S-1

 

333-163778

 

12/16/2009

 

10.2

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.3

 

Form of Nonstatutory Stock Option Agreement under 2002 Stock Incentive Plan

 

S-1

 

333-163778

 

12/16/2009

 

10.3

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.4

 

Form of Restricted Stock Agreement under 2002 Stock Incentive Plan

 

S-1

 

333-163778

 

12/16/2009

 

10.4

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.5

 

Second Amended and Restated 2010 Stock Incentive Plan

 

8-K

 

001-34655

 

06/27/2017

 

99.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.6

 

Form of Incentive Stock Option Agreement under 2010 Stock Incentive Plan

 

S-1/A

 

333-163778

 

02/08/2010

 

10.6

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.7

 

Form of Nonqualified Stock Option Agreement under 2010 Stock Incentive Plan

 

S-1/A

 

333-163778

 

02/08/2010

 

10.7

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.8

 

Form of Restricted Stock Agreement under 2010 Stock Incentive Plan

 

10-K

 

001-34655

 

03/30/2012

 

10.8

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.9

 

Key Employee Change in Control Severance Benefits Plan

 

S-1

 

333-163778

 

12/16/2009

 

10.8

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.10

 

2010 Employee Stock Purchase Plan, as amended

 

S-1/A

 

333-163778

 

02/23/2010

 

10.17

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.11

 

Amendment No. 1 to 2010 Employee Stock Purchase Plan

 

8-K

 

001-34655

 

06/04/2013

 

99.2

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.12

 

Offer Letter by Registrant to Michael Bailey, dated as of January 6, 2015

 

10-Q

 

001-34655

 

05/07/2015

 

10.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.13

 

Severance Agreement, dated September 13, 2010, by and between the Registrant and Michael Bailey

 

10-Q

 

001-34655

 

11/05/2010

 

10.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.14

 

Letter Agreement regarding Retention Bonus Award and Severance Agreement, dated February 3, 2014, by and between the Company and Michael Bailey

 

10-K

 

001-34655

 

3/13/2014

 

10.22

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.15

 

Offer Letter by the Registrant to Michael Needle, dated January 8, 2015

 

10-Q

 

001-34655

 

05/07/2015

 

10.4

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.16

 

Severance and Change in Control Agreement, dated as of January 9, 2015, by and between the Registrant and Michael Needle

 

10-Q

 

001-34655

 

05/07/2015

 

10.2

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.17

 

Offer Letter by and between the Registrant and Matthew Dallas, dated May 8, 2017

 

8-K

 

001-34655

 

05/17/2017

 

10.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.18

 

Severance and Change in Control Agreement, dated November 20, 2017, by and between the Registrant and Matthew Dallas

 

8-K

 

001-34655

 

11/20/2017

 

10.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.19

 

Offer Letter by and between the Registrant and Nikhil Mehta, dated November 10, 2017

 

10-K

 

001-34655

 

3/13/2018

 

10.21

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.20

 

Severance and Change in Control Agreement, dated November 20, 2017, by and between the Registrant and Nikhil Mehta

 

10-K

 

001-34655

 

3/13/2018

 

10.22

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.21

 

Offer Letter by and between the Registrant and Karuna Rubin dated June 16, 2015

 

10-K

 

001-34655

 

3/14/2019 

 

10.21

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.22

 

Severance and Change in Control Agreement, dated March 13, 2019, by and between the Registrant and Karuna Rubin

 

10-K

 

001-34655

 

3/14/2019

 

10.22

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 

  

 

Material Contracts—Financing Agreements

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.23

 

Securities Purchase Agreement, dated May 13, 2016, by and among the Company and the Investors named therein

 

8-K

 

001-34655

 

05/13/2016

 

10.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.24

 

Form of Warrant to Purchase Common Stock

 

8-K

 

001-34655

 

05/13/2016

 

10.2

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.25

 

Amended and Restated Loan and Security Agreement, dated December 28, 2017, by and among the Registrant and the parties named therein.

 

8-K

 

001-34655

 

01/02/2018

 

10.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.26

 

Sales Agreement dated February 16, 2018, by and between the Company and Leerink Partners LLC

 

8-K

 

001-34655

 

02/16/2018

 

1.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Material Contracts—License and Strategic Partnership Agreements

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.27†

 

License Agreement, dated as of December 21, 2006, by and between the Registrant and Kirin Brewery Co. Ltd.

 

S-1

 

333-163778

 

12/16/2009

 

10.22

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.28†

 

Option and License Agreement, dated as of March 18, 2009, by and between the Registrant and Biogen Idec International GmbH

 

S-1

 

333-163778

 

12/16/2009

 

10.26

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.29†

 

Amendment No. 1 to Option and License Agreement, dated as of March 18, 2014 by and between the Registrant and Biogen Idec MA Inc.

 

10-Q

 

001-34655

 

05/07/2014

 

10.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.30†

 

Co-Development and Collaboration Agreement, dated as of April 9, 2014 by and between the Registrant and Biodesix Inc.

 

10-Q

 

001-34655

 

05/07/2014

 

10.2

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.31†

 

License Agreement, dated August 13, 2015, by and between the Registrant and Novartis International Pharmaceutical Ltd.

 

10-Q

 

001-34655

 

11/09/2015

 

10.2

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.32†

 

Amended and Restated License Agreement, dated August 13, 2015, by and between the Registrant and St. Vincent’s Hospital Sydney Limited

 

10-Q

 

001-34655

 

11/09/2015

 

10.3

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.33†

 

License Agreement, dated December 18, 2015, by and between the Registrant and EUSA Pharma (UK) Limited

 

10-K

 

001-34655

 

03/15/2016

 

10.42

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.34†

 

Collaboration and License Agreement, dated March 17, 2016, by and between the Registrant and CANbridge Life Sciences Ltd.

 

10-Q

 

001-34655

 

05/10/2016

 

10.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.35†

 

First Amendment, dated October 14, 2016, to Co-Development and Collaboration Agreement, dated April 9, 2014, by and between the Company and Biodesix, Inc.

 

10-Q

 

001-34655

 

11/04/2016

 

10.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.36††

 

Agreement, dated December 18, 2018, by and between the Registrant and Novartis International Pharmaceutical Ltd.

 

 

 

 

 

 

 

 

 

X

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Additional Exhibits

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  10.37

 

Memorandum of Understanding, dated December 26, 2017, by and among the Company and the parties named therein

 

8-K

 

001-34655

 

12/26/2017

 

10.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 

  10.38

 

Stipulation of Settlement, dated January 29, 2018, by and among the Company and the parties named therein

 

10-Q

 

001-34655

 

5/8/2018

 

10.2

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  21.1

 

Subsidiaries of the Registrant

 

10-K 

 

001-34655

 

3/14/2019

 

21.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  23.1

 

Consent of Ernst & Young LLP

 

10-K 

 

001-34655

 

3/14/2019

 

23.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  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.

 

10-K 

 

001-34655

 

3/14/2019

 

31.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  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.

 

10-K 

 

001-34655

 

3/14/2019

 

31.2

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  31.3

 

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

 

 

 

 

 

 

 

 

 

X

 

 

 

 

 

 

 

 

 

 

 

 

 

  31.4

 

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

 

 

 

 

 

 

 

 

 

X

 

 

 

 

 

 

 

 

 

 

 

 

 

  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.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

101.INS

 

XBRL Instance Document.

 

10-K 

 

001-34655

 

3/14/2019

 

101.INS

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

101.SCH

 

XBRL Taxonomy Extension Schema Document.

 

10-K 

 

001-34655

 

3/14/2019

 

101.SCH

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

101.CAL

 

XBRL Taxonomy Calculation Linkbase Document.

 

10-K 

 

001-34655

 

3/14/2019

 

101.CAL

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

101DEF

 

XBRL Taxonomy Extension Definition Linkbase Document.

 

10-K 

 

001-34655

 

3/14/2019

 

101DEF

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

101.LAB

 

XBRL Taxonomy Label Linkbase Document.

 

10-K 

 

001-34655

 

3/14/2019

 

101.LAB

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

101.PRE

 

XBRL Taxonomy Presentation Linkbase Document.

 

10-K 

 

001-34655

 

3/14/2019

 

101.PRE

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Confidential treatment has been granted as to certain portions, which portions have been omitted and separately filed with the SEC.

 

†† Certain portions of this exhibit are subject to confidential treatment.

 

* Furnished as an exhibit to the Company’s Annual Report on Form 10-K for the fiscal year ended December 31, 2018.

 

 


 

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 to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

AVEO PHARMACEUTICALS, INC.

 

 

 

Date: April 30, 2019

By:

/s/    MICHAEL BAILEY

 

 

Michael Bailey

 

 

President & Chief Executive Officer

 

 

(Principal Executive Officer)

 

 

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