10-Q/A 1 a10-22104_110qa.htm 10-Q/A

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 


 

FORM 10-Q/A

 

Amendment No. 1

 

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

 

For the quarterly period ended September 30, 2010

 

OR

 

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

 

Commission File Number:  0-15006

 

CELLDEX THERAPEUTICS, INC.

(Exact name of registrant as specified in its charter)

 

Delaware

 

No. 13-3191702

(State or other jurisdiction of incorporation or
organization)

 

(I.R.S. Employer Identification No.)

 

119 Fourth Avenue, Needham, Massachusetts 02494

(Address of principal executive offices) (Zip Code)

 

(781) 433-0771

(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 o 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. (Check one):

 

Large accelerated filer o

 

Accelerated filer x

 

 

 

Non-accelerated filer o

 

Smaller reporting company o

(Do not check if a 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 o No x

 

As of December 17, 2010, 32,054,238 shares of common stock, $.001 par value per share, were outstanding.

 

 

 



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CELLDEX THERAPEUTICS, INC.

FORM 10-Q

QUARTER ENDED SEPTEMBER 30, 2010

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Page

Explanatory Note

 

3

Part II

 

 

 

Item 6.

Exhibits, Financial Statement Schedules

 

4

Signatures

 

5

 



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EXPLANATORY NOTE

 

This Amendment No. 1 on Form 10-Q/A (the “Amendment”) amends the Form 10-Q of Celldex Therapeutics, Inc. (the “Company”, “our” or “we”) for the quarter ended September 30, 2010 that was originally filed with the Securities and Exchange Commission on November 4, 2010 is being filed to provide updated information required by Item 6 of Part II.  This Amendment does not otherwise modify or update disclosures in the original filing or change our previously reported financial statements and other financial disclosure.

 

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PART II

 

Item 6.  EXHIBITS

 

The following documents are filed as part of this Form 10-Q/A:

 

 

 

 

 

Incorporated by Reference to

No.

 

Description

 

Form and
SEC File No.

 

Exhibit
No.

 

SEC
Filing Date

10.1

 

First Amendment to Lease between Phillipsburg Associates, L.P. and the Company dated October 11, 2010

 

Filed herewith

 

 

 

 

10.2

 

Subordination, Non-Disturbance and Attornment Agreement between Bank of America and the Company dated October 11, 2010

 

Filed herewith

 

 

 

 

*10.3

 

License Agreement between Medarex and Company dated September 17, 2010

 

Filed herewith

 

 

 

 

31.1

 

Certification of President and Chief Executive Officer

 

Filed herewith

 

 

 

 

31.2

 

Certification of Senior Vice President and Chief Financial Officer

 

Filed herewith

 

 

 

 

32.1

 

Section 1350 Certification of President and Chief Executive Officer

 

Filed herewith

 

 

 

 

32.2

 

Section 1350 Certification of Senior Vice President and Chief Financial Officer

 

Filed herewith

 

 

 

 

 


*                                         Confidential treatment has been requested for certain provisions of this Exhibit pursuant to Rule 24b-2 promulgated under the Securities Exchange Act of 1934, as amended.

 

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

 

 

CELLDEX THERAPEUTICS, INC.

Date

By:

/s/ AVERY W. CATLIN

December 23, 2010

 

 

 

 

Avery W. Catlin

 

 

Senior Vice President and

 

 

Chief Financial Officer

 

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