UNITED STATES
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): November 5, 2009
MIDDLEBROOK PHARMACEUTICALS, INC.
(Exact name of registrant as specified in its charter)
|
|
|
|
|
Delaware
|
|
000-50414
|
|
52-2208264
|
(State or other Jurisdiction of Incorporation)
|
|
(Commission File Number)
|
|
(IRS Employer Identification No.)
|
|
|
|
7 Village Circle, Suite 100, Westlake, Texas
|
|
76262
|
(Address of Principal Executive Offices)
|
|
(Zip Code)
|
Registrants telephone number, including area code:
(817) 837-1200
|
N/A
|
(Former name or former address if changed since last report.)
|
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions:
o
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
1
Item 2.02. Results of Operations and Financial Condition.
On November 5, 2009, MiddleBrook Pharmaceuticals, Inc. (MiddleBrook) issued a press release announcing its
financial results for the third quarter ended September 30, 2009. A copy of the press release is furnished as Exhibit
99.1 to this Current Report on Form 8-K and is incorporated herein by reference.
On November 5, 2009, MiddleBrook will conduct a conference call to review its sales and earnings results for the
third quarter ended September 30, 2009. A live audio webcast of the conference call will include a slide presentation
that contains, among other things, forward-looking information about MiddleBrook and its business. The slides that
MiddleBrook will use in this presentation are furnished as Exhibit 99.2 to this Current Report on Form 8-K and are
incorporated herein by reference.
Certain statements in the slide presentation constitute forward-looking statements within the meaning of the
Private Securities Litigation Reform Act of 1995, such as statements about MiddleBrooks strategies for the
commercialization of MOXATAG, MOXATAGs expected growth and market position, the impact of MiddleBrooks sales force
realignment and reduction in headcount, the success and financial impact of the $20 Max Copay Program, expansion of
coverage of Moxatag under managed care and Medicaid plans, MiddleBrooks growth strategies and future financial
performance, and MiddleBrooks need for additional capital. Words such as continue, will, believe, intend,
expect, anticipate, plan, potential, estimate, may, should, could, would, and similar expressions
identify forward-looking statements. Such forward-looking statements represent MiddleBrooks expectations and beliefs
and involve a number of known and unknown risks, uncertainties and other factors that may cause actual results to
differ materially from those expressed or implied by such forward-looking statements. These factors include, among
others, the failure to obtain market acceptance of or to successfully commercialize MOXATAG, the effectiveness of the
PULSYS technology, the severity of the strep throat season, the effectiveness of MiddleBrooks sales and marketing
infrastructure, and other risks set forth in Part I, Item 1A. Risk Factors in MiddleBrooks Annual Report on Form 10-K
for the year ended December 31, 2008 and in Part II, Item 1A. Risk Factors in MiddleBrooks Quarterly Report on Form
10-Q for the quarter ended June 30, 2009. You are cautioned not to place undue reliance on these forward-looking
statements, which speak only as of the date the slide presentation. Except to the extent required by applicable
securities laws, MiddleBrook undertakes no obligation to update any forward-looking statement contained in the slide
presentation, whether as a result of new information, future events, or otherwise.
The information furnished pursuant to Item 2.02 of this Current Report on Form 8-K and Exhibits 99.1 and 99.2
attached hereto shall not be deemed filed for the purposes of Section 18 of the Securities Exchange Act of 1934, as
amended (the Exchange Act), or otherwise subject to the liabilities of that section. The information in this Current
Report on Form 8-K and Exhibits 99.1 and 99.2 attached hereto shall not be deemed incorporated by reference into any filing under
the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific
reference in such filing.
Item 9.01 Financial Statements and Exhibits.
The
following exhibits are furnished with this Current Report on Form 8-K:
|
|
|
|
|
|
Exhibit
|
|
Description
|
|
|
|
99.1
|
|
Press Release issued November 5, 2009
|
99.2
|
|
Slide presentation to accompany the
November 5, 2009 conference call
|
2
2