-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, T57+nw7238+yKZ99zChGrH9cW3dvFW99u010CRKQrmjChbrN5Mr4z8gr0PmzGJtp 5fhRRE4JSYt4h4tlvRXALQ== 0000884939-02-000022.txt : 20021114 0000884939-02-000022.hdr.sgml : 20021114 20021114103427 ACCESSION NUMBER: 0000884939-02-000022 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SYNAPTIC PHARMACEUTICAL CORP CENTRAL INDEX KEY: 0000884939 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 222859704 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-27324 FILM NUMBER: 02822390 BUSINESS ADDRESS: STREET 1: 215 COLLEGE RD CITY: PARAMUS STATE: NJ ZIP: 07652 BUSINESS PHONE: 2012611331 10-Q/A 1 qa32002.txt BODY SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q/A Mark One: [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarter ended September 30, 2002 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 0-27324 SYNAPTIC PHARMACEUTICAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 22-2859704 (State or other jurisdiction (I.R.S. Employer Identification No.) of incorporation or organization) 215 College Road 07652 Paramus, NJ (Zip Code) (Address of principal executive offices) (201) 261-1331 (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, as amended, 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 As of November 1, 2002, there were 10,977,790 shares of the registrant's Common Stock outstanding. EXPLANATORY NOTE This Form 10-K/A is being filed solely for the purpose of replacing Exhibit 99.1 to the Quarterly Report on Form 10-Q for the fiscal quarter ended September 30, 2002. SYNAPTIC PHARMACEUTICAL CORPORATION INDEX TO REPORT ON FORM 10-K/A FOR FISCAL QUARTRT ENDED SEPTEMBER 30, 2002 Part II Item 6. Exhibits and Reports on Form 8-K.................................1 (i) Item 6. Exhibits and Reports on Form 8-K (a) Exhibits 10.1 Employment agreement, dated as of September 9, 2002,between the Company and Dr. Errol B. De Souza, previously filed 10.2 Incentive Stock Option Agreement, dated as of September 9, 2002,between the Company and Dr. Errol B. De Souza, previously filed 10.3 Nonqualified Stock Option Agreement, dated as of September 9, 2002, between the Company and Dr. Errol B. De Souza, previously filed 10.4 Nonqualified Stock Option Agreement relating to non-plan options, dated as of September 9, 2002, between the Company and Dr. Errol B. De Souza, previously filed 99.1 Certification Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 (b) Reports on Form 8-K The Company filed a Current Report on Form 8-K during the fiscal quarter ended September 30, 2002 relating to a Certification Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 certifying information in the June 30, 2002 10-Q. EX-99.1 4 qa32002ex99p1.txt 906 CERTIFICATION Exhibit 99.1 ------------ Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (Subsections (a) and (b) of Section 1350, Chapter 63 of Title 18, United States Code) Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (subsections (a) and (b) of section 1350, chapter 63 of title 18, United States Code), each of the undersigned officers of Synaptic Pharmaceutical Corporation, a Delaware corporation (the "Company"), does hereby certify, to such officer's knowledge, that: The Quarterly Report on Form 10-Q for the quarter ended September 30, 2002 (the "Form 10-Q") of the Company fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934 and information contained in the Form 10-Q fairly presents, in all material respects, the financial condition and results of operations of the Company. November 14, 2002 /s/ Errol B. De Souza ----------------------------------- Name: Errol B. De Souza Title: President and Chief Executive Officer November 14, 2002 /s/ Edmund M. Caviasco ----------------------------------- Name: Edmund M. Caviasco Title: Controller and Principal Accounting Officer The foregoing certification is being furnished solely pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (subsections (a) and (b) of section 1350, chapter 63 of title 18, United States Code). -----END PRIVACY-ENHANCED MESSAGE-----