10-Q/A 1 q32015form10-q_a.htm 10-Q/A 10-Q



 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 

FORM 10-Q/A
(Amendment No. 1)
 

(Mark One)
x
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended September 30, 2015
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 No. 001-36296
 

Eleven Biotherapeutics, Inc.
(Exact name of registrant as specified in its charter)
 

 
 
 
DELAWARE
26-2025616
(State or other jurisdiction of
incorporation or organization)
(I.R.S. Employer
Identification No.)
 
 
 
215 First Street, Suite 400
Cambridge, MA
02142
(Address of principal executive offices)
(Zip code)
Registrant’s telephone number, including area code: (617) 871-9911
 


Securities registered pursuant to Section 12(b) of the Act:
 
Title of each class
Name of each exchange on which registered
Common Stock, par value $0.001 per share
NASDAQ Global Market

Securities registered pursuant to Section 12(g) of the Act:
None






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.    x  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).    x  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.
 
 
 
 
 
Large Accelerated filer
¨
Accelerated filer
¨
 
 
 
 
Non-accelerated filer
x  (Do not check if a smaller reporting company)
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    x  No
Number of outstanding shares of Common Stock as of October 31, 2015: 19,587,277

 
 






 
Explanatory Note

The sole purpose of this Amendment No. 1 to Eleven Biotherapeutics, Inc.’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2015, as originally filed with the Securities and Exchange Commission on November 4, 2015 (the “Form 10-Q”), is to add reference to Exhibit No. 10.1, which was inadvertently omitted from Part II, Item 6 of the Form 10-Q, and to file Exhibit No. 10.1 herewith. In addition, in accordance with applicable Securities and Exchange Commission rules, new certifications of our principal executive officer and principal financial officer are being filed as Exhibits 31.3 and 31.4, respectively, to this Amendment No. 1 to the Form 10-Q.

This Amendment No. 1 to the Form 10-Q does not change the previously reported financial statements or any of the other disclosure contained in the Form 10-Q.







PART II—OTHER INFORMATION
 
Item 6.    EXHIBITS
 
The exhibits filed as part of this Amendment No. 1 to the Form 10-Q are set forth on the Exhibit Index immediately preceding such exhibits, and are incorporated by reference herein.     






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.
 
 
 
ELEVEN BIOTHERAPEUTICS, INC.
 
 
By:
/s/    John J. McCabe        
 
 
 
John J. McCabe
 
 
Senior Vice President of Finance
(Principal Financial and Accounting Officer)
November 6, 2015







EXHIBIT INDEX
 
 
 
Exhibit
No.
 
Description
 
  10.1*
Second Amendment to Lease, dated August 18, 2015, by and between the Registrant and ARE-MA Region No. 38, LLC

  31.1
Rule 13a-14(a) Certification of Principal Executive Officer
  31.2
Rule 13a-14(a) Certification of Principal Financial Officer
  31.3*
Rule 13a-14(a) Certification of Principal Executive Officer

  31.4*
Rule 13a-14(a) Certification of Principal Financial Officer
  32.1
Certification of Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. §1350
101.INS
XBRL Instance Document
101.SCH
XBRL Taxonomy Extension Schema Document
101.CAL
XBRL Taxonomy Extension Calculation Linkbase Document
101.DEF
XBRL Taxonomy Extension Definition Linkbase Document
101.LAB
XBRL Taxonomy Extension Label Linkbase Document
101.PRE
XBRL Taxonomy Extension Presentation Linkbase Document
     

*    Filed herewith
†    XBRL information previously filed with Eleven Biotherapeutics, Inc.’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2015, filed with the Securities and Exchange Commission on November 4, 2015.