0001104659-14-080982.txt : 20141114 0001104659-14-080982.hdr.sgml : 20141114 20141114161341 ACCESSION NUMBER: 0001104659-14-080982 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141114 DATE AS OF CHANGE: 20141114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Karyopharm Therapeutics Inc. CENTRAL INDEX KEY: 0001503802 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 263931704 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36167 FILM NUMBER: 141224294 BUSINESS ADDRESS: STREET 1: 85 WELLS AVENUE STREET 2: SECOND FLOOR CITY: NEWTON STATE: MA ZIP: 02459 BUSINESS PHONE: 617-658-0600 MAIL ADDRESS: STREET 1: 85 WELLS AVENUE STREET 2: SECOND FLOOR CITY: NEWTON STATE: MA ZIP: 02459 10-Q/A 1 a14-24505_110qa.htm 10-Q/A

 

 

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, 2014

 

OR

 

o  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: 001-36167

 

Karyopharm Therapeutics Inc.

(Exact name of registrant as specified in its charter)

 

Delaware

 

26-3931704

(State or other jurisdiction of
incorporation or organization)

 

(I.R.S. Employer
Identification Number)

 

85 Wells Avenue, 2nd Floor

Newton, MA

 

02459

(Address of principal executive offices)

 

(Zip Code)

 

(617) 658-0600

(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 x  No o

 

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 (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes x  No o

 

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 o

 

Accelerated filer o

 

 

 

Non-accelerated filer x
(Do not check if a smaller reporting company)

 

Smaller reporting company o

 

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

 

As of November 4, 2014 there were 32,700,563 shares of Common Stock, $0.0001 par value per share, outstanding.

 

 

 



 

Explanatory Note

 

The purpose of this Amendment No. 1 to Karyopharm Therapeutics Inc.’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2014, filed with the Securities and Exchange Commission on November 10, 2014 (the “Form 10-Q”), is solely to add references to Exhibit Nos. 10.1, 10.2 and 10.3 that were inadvertently omitted from the Form 10-Q.  Pursuant to Rule 12b-15 under the Securities Exchange Act of 1934, new certifications of our principal executive officer and principal financial officer are being filed as exhibits to this Form 10-Q/A.

 

No other changes have been made to the Form 10-Q. This Amendment No. 1 to the Form 10-Q speaks as of the original filing date of the Form 10-Q, does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update in any way disclosures made in the Form 10-Q.

 

2



 

EXHIBIT INDEX

 

Exhibit

 

 

 

Incorporated by Reference

 

Filed

Number

 

Description of Exhibit

 

Form

 

File Number

 

Data of Filing

 

Exhibit Number

 

Herewith

 

 

 

 

 

 

 

 

 

 

 

 

 

10.1

 

Offer Letter, dated July 7, 2014, between Karyopharm Therapeutics Inc. and Mr. Justin Renz.

 

8-K

 

001-36167

 

August 8, 2014

 

10.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10.2

 

Consulting Agreement, dated August 7, 2014, between Karyopharm Therapeutics Inc. and Mr. Paul Brannelly.

 

8-K

 

001-36167

 

August 8, 2014

 

10.2

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10.3

 

Separation Agreement, dated August 7, 2014, between Karyopharm Therapeutics Inc. and Mr. Paul Brannelly.

 

8-K

 

001-36167

 

August 8, 2014

 

10.3

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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.

 

 

 

 

 

 

 

 

 

X

 

 

 

 

 

 

 

 

 

 

 

 

 

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.

 

 

 

 

 

 

 

 

 

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.

 

10-Q

 

001-36167

 

November 10, 2014

 

32.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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.

 

10-Q

 

001-36167

 

November 10, 2014

 

32.2

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

101.INS†

 

Instance Document

 

 

 

 

 

 

 

 

 

 

101.SCH†

 

Scheme Document

 

 

 

 

 

 

 

 

 

 

101.CAL†

 

Calculation Linkbase Document

 

 

 

 

 

 

 

 

 

 

101.DEF†

 

Definition Linkbase Document

 

 

 

 

 

 

 

 

 

 

101.LAB†

 

Labels Linkbase Document

 

 

 

 

 

 

 

 

 

 

101.PRE†

 

Presentation Linkbase Document

 

 

 

 

 

 

 

 

 

 

 


†XBRL information previously furnished on Karyopharm Therapeutics Inc’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2014, filed with the Securities and Exchange Commission on November 10, 2014.

 

3



 

SIGNATURES

 

Pursuant to the requirements 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.

 

 

KARYOPHARM THERAPEUTICS INC.

 

 

 

 

Date: November 14, 2014

By:

/s/ Michael Kauffman, M.D., Ph.D.

 

Michael Kauffman, M.D., Ph.D.

 

Chief Executive Officer

 

(Principal executive officer)

 

 

 

 

Date: November 14, 2014

By:

/s/ Justin A. Renz

 

Justin A. Renz

 

Executive Vice President and Chief Financial Officer

 

(Principal financial and accounting officer)

 

4


EX-31.1 2 a14-24505_1ex31d1.htm EX-31.1

Exhibit 31.1

 

CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER PURSUANT TO RULE 13a-14(a)/15d-14(a) PROMULGATED UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED

 

I, Michael Kauffman, M.D., Ph.D., certify that:

 

1.             I have reviewed this Quarterly Report on Form 10-Q/A (Amendment No. 1) of Karyopharm Therapeutics Inc.;

 

2.             Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report.

 

 

/s/ Michael Kauffman, M.D., Ph.D.

 

Michael Kauffman, M.D., Ph.D.

 

Chief Executive Officer

 

(Principal executive officer)

 

Date: November 14, 2014

 


EX-31.2 3 a14-24505_1ex31d2.htm EX-31.2

Exhibit 31.2

 

CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO RULE 13a-14(a)/15d-14(a) PROMULGATED UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED

 

I, Justin A. Renz, certify that:

 

1.             I have reviewed this Quarterly Report on Form 10-Q/A (Amendment No. 1) of Karyopharm Therapeutics Inc.;

 

2.             Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report.

 

 

/s/ Justin A. Renz

 

Justin A. Renz

 

Executive Vice President and Chief Financial Officer

 

(Principal financial and accounting officer)

 

Date: November 14, 2014