10-K/A 1 f17552a1e10vkza.htm AMENDMENT TO FORM 10-K e10vkza
 

 
 
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
Form 10-K/A
Amendment No. 1
     
(Mark One)
   
R
  ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
   
 
  For the fiscal year ended December 31, 2005
 
   
 
  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: 000-24647
 
Dynavax Technologies Corporation
(Exact name of registrant as specified in its charter)
     
Delaware
(State or other jurisdiction of
incorporation or organization)
  33-0728374
(IRS Employer
Identification No.)
2929 Seventh Street, Suite 100
Berkeley, CA 94710-2753
(510) 848-5100

(Address, including Zip Code, and telephone number, including area code, of the registrant’s
principal executive offices)


 
Securities registered pursuant to Section 12(b) of the Act:
     
Title of Each Class:
None
  Name of Each Exchange on Which Registered:
None
Securities Registered Pursuant to Section 12(g) of the Act:
Common Stock, par value $0.001 per share

(Title of Class)
     Indicate by check mark if the registrant is a Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes £     No R
     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 R
     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 R     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 the 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.   R
     Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer. See definition of “accelerated filer and large accelerated filer” in Rule 12b-2 of the Exchange Act. (Check one):
     Large accelerated filer £      Accelerated filer R      Non-accelerated filer £
     Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes £     No R
     The aggregate market value of the voting stock held by non-affiliates of the registrant, based upon the closing sale price of the common stock on June 30, 2005 as reported on the Nasdaq National Market, was approximately $96,686,827. Shares of common stock held by each officer and director and by each person known to the Company who owns 5% or more of the outstanding common stock have been excluded in that such persons may be deemed to be affiliates. This determination of affiliate status is not necessarily a conclusive determination for other purposes.
     As of March 31, 2006, the registrant had outstanding 30,493,501 shares of common stock.
     DOCUMENTS INCORPORATED BY REFERENCE:   Not applicable.
 
 

 


 

EXPLANATORY NOTE
     The purpose of this Amendment No. 1 to our Form 10-K is to correct Exhibits 31.1 and 31.2, which contained inadvertent omissions of a portion of paragraph 4 at the time they were filed with the original Form 10-K on March 16, 2006. No other items of the original Form 10-K are being amended.

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PART IV
ITEM 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES
     (a) Documents filed as part of this report:
          1.    Financial Statements
                   Report of Independent Registered Public Accounting Firm on Internal Control Over Financial Reporting
                   Report of Independent Registered Public Accounting Firm on Consolidated Financial Statements
                   Consolidated Balance Sheets
                   Consolidated Statements of Operations
                   Consolidated Statement of Convertible Preferred Stock and Stockholders’ Equity (Net Capital Deficiency)
                   Consolidated Statements of Cash Flows
                   Notes to Consolidated Financial Statements
          2.    Financial Statement Schedules
                   None, as all required disclosures have been made in the Consolidated Financial Statements and notes thereto.
     (b) Exhibits
     
Exhibit    
Number   Document
3.1*
  Restated Certificate of Incorporation
 
   
3.2*
  Amended and Restated Bylaws
 
   
4.1*
  Specimen Stock Certificate
 
   
10.1*
  Form of Indemnification Agreement between Dynavax Technologies Corporation and each of its executive officers and directors
 
   
10.2*
  1997 Equity Incentive Plan, as amended
 
   
10.3*
  2004 Stock Incentive Plan
 
   
10.4*
  2004 Employee Stock Purchase Plan
 
   
10.5*†
  Development Collaboration Agreement, dated June 10, 2003,between Dynavax Technologies Corporation and BioSeek, Inc.
 
   
10.6*†
  License and Supply Agreement, dated October 28, 2003,between Dynavax Technologies Corporation and Berna Biotech AG
 
   
10.7*†
  Exclusive License Agreement, dated March 26, 1997, between Dynavax Technologies Corporation and the Regents of the University of California, for Method, Composition and Devices for Administration of Naked Nucleotides which Express Biologically Active Peptides and Immunostimulatory Oligonucleotide Conjugates, including three amendments thereof.
 
   
10.8*†
  Exclusive License Agreement, dated October 2, 1998, between Dynavax Technologies Corporation and the Regents of the University of California, for Compounds for Inhibition of Ceramide-Mediated Signal Transduction and New Anti-Inflammatory Inhibitors: Inhibitors of Stress Activated Protein Kinase Pathways, including one amendment thereof.
 
   

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10.9*
  Management Continuity Agreement, dated as of October 15,2003, between Dynavax Technologies Corporation and Dino Dina
 
   
10.10*
  Management Continuity Agreement, dated as of September 2,2003, between Dynavax Technologies Corporation and Daniel Levitt
 
   
10.11*
  Management Continuity and Severance Agreement, dated as of August 1, 2003, between Dynavax Technologies Corporation and William J. Dawson
 
   
10.12*
  Management Continuity and Severance Agreement, dated as of August 1, 2003, between Dynavax Technologies Corporation and Stephen Tuck
 
   
10.13*
  Management Continuity and Severance Agreement, dated as of August 1, 2003, between Dynavax Technologies Corporation and Robert Lee Coffman
 
   
10.14*
  Management Continuity and Severance Agreement, dated as of August 1, 2003, between Dynavax Technologies Corporation and Gary Van Nest
 
   
10.15*
  Lease, dated as of January 7, 2004, between Dynavax Technologies Corporation and 2929 Seventh Street, L.L.C.
 
   
10.16*
  License and Development Agreement, dated February 5, 2004,between Dynavax Technologies Corporation and UCB Farchim, SA
 
   
10.17**
  Management Continuity and Severance Agreement, dated as of August 27, 2004, between Dynavax Technologies Corporation and Timothy Henn
 
   
10.18**
  Management Continuity and Severance Agreement, dated as of January 4, 2005, between Dynavax Technologies Corporation and Deborah A. Smeltzer
 
   
21.1***
  Subsidiaries of Dynavax Technologies Corporation
 
   
23.1***
  Consent of Ernst & Young LLP, Independent Registered Public Accounting Firm
 
   
31.1
  Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
 
   
31.2
  Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
 
   
32.1***
  Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
 
   
32.2***
  Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
 
     
*
  Incorporated by reference to our Registration Statement on Form S-1 (File No. 333-109965) and amendments thereto
 
   
**
  Incorporated by reference to our Reports on Form 8-K, dated August 23, 2004 and January 5, 2005
 
   
***
  Previously filed with our Annual Report on Form 10-K filed on March 16, 2006
 
   
  We have been granted confidential treatment with respect to certain portions of this agreement. Omitted portions have been filed separately with the Securities and Exchange Commission

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SIGNATURES
     Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has caused this report to be signed on its behalf by the undersigned, thereunto due authorized, in the City of Berkeley, State of California.
         
  DYNAVAX TECHNOLOGIES CORPORATION
 
 
  By:   /s/ Dino Dina, M.D.    
    Dino Dina, M.D.   
    President, Chief Executive Officer and Director
(Principal Executive Officer) 
 
 
         
     
Date: April 7, 2006  By:   /s/ Deborah A. Smeltzer    
    Deborah A. Smeltzer   
    Vice President, Operations and
Chief Financial Officer
(Principal Financial Officer) 
 
 
         
     
Date: April 7, 2006  By:   /s/ Timothy G. Henn    
    Timothy G. Henn   
    Vice President, Finance and Administration and
Chief Accounting Officer
(Principal Accounting Officer) 
 
 
Date: April 7, 2006
         
Signature   Title   Date
         
/s/ Dino Dina, M.D.
 
Dino Dina, M.D.
  President, Chief Executive Officer
and Director
(Principal Executive Officer)
  April 7, 2006
         
/s/ Deborah a. Smeltzer
 
Deborah A. Smeltzer
  Vice President, Operations and
Chief Financial Officer
(Principal Financial Officer)
  April 7, 2006
         
/s/ Timothy G. Henn
 
Timothy G. Henn
  Vice President, Finance &
Administration and Chief
Accounting Officer
(Principal Accounting Officer)
  April 7, 2006
         
/s/ Arnold Oronsky, PH.D.*   Chairman of the Board   April 7, 2006
         
Arnold Oronsky, Ph.D.        
         
/s/ Nancy L. Buc*   Director   April 7, 2006
         
Nancy L. Buc        
         
/s/ Dennis Carson, M.D.*   Director   April 7, 2006
         
Dennis Carson, M.D.        
         
/s/ Daniel S. Janney*   Director   April 7, 2006
         
Daniel S. Janney        
         
/s/ Jan Leschly*   Director   April 7, 2006
         
Jan Leschly        
         
/s/ Denise M. Gilbert, Ph.D.*   Director   April 7, 2006
         
Denise M. Gilbert, Ph.D.        
         
/s/ Stanley A. Plotkin, M.D.*   Director   April 7, 2006
         
Stanley A. Plotkin, M.D.        
         
     
  By:   * /s/ Deborah A. Smeltzer    
    Deborah A. Smeltzer   
    Attorney-in-Fact   

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