8-K 1 ai907159.htm

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC  20549


FORM 8-K

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

Date of report (Date of earliest event reported):  October 27, 2004

AVIGEN, INC.
(Exact name of registrant as specified in charter)

Delaware

 

000-28272

 

13-3647113

(State or other jurisdiction
of incorporation)

 

(Commission File Number)

 

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

1301 Harbor Bay Parkway
Alameda, California  94502
(Address of principal executive offices and zip code)

Registrant’s telephone number, including area code:  (510) 748-7150


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

o  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))



Item 2.02.  Results of Operations and Financial Condition.

          On October 27, 2004, Avigen, Inc. issued a press release announcing its financial results for the quarter and nine months ended September 30, 2004.  A copy of the press release is attached as Exhibit 99.1 to this current report and is incorporated herein by reference.

          The information in the report, including the exhibit hereto, shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that Section or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended.  The information contained herein and in the accompanying exhibit shall not be incorporated by reference into any filing with the U.S. Securities and Exchange Commission made by Avigen, whether made before or after the date hereof, regardless of any general incorporation language in such filing.

Item 9.01 Financial Statements and Exhibits.

 

Exhibit
Number

 

Description

 


 


 

99.1

 

Press release of Avigen, Inc. issued October 27, 2004, announcing its financial results for the quarter and nine months ended September 30, 2004.


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, hereunto duly authorized.

 

AVIGEN, INC.

 

 

 

Dated:  October 27, 2004

By:

/s/ THOMAS J. PAULSON

 

 


 

 

Thomas J. Paulson

 

 

Vice President, Finance and

 

 

Chief Financial Officer


INDEX TO EXHIBITS

99.1

Press release of Avigen, Inc. issued October 27, 2004, announcing its financial results for the quarter and nine months ended September 30, 2004.