Attached files
| file | filename |
|---|---|
| EX-31.2 - EXHIBIT 31.2 - XOMA Corp | ex31_2.htm |
| EX-32.2 - EXHIBIT 32.2 - XOMA Corp | ex32_2.htm |
| EX-32.1 - EXHIBIT 32.1 - XOMA Corp | ex32_1.htm |
| EX-31.1 - EXHIBIT 31.1 - XOMA Corp | ex31_1.htm |
| EX-10.35 - EXHIBIT 10.35 - XOMA Corp | ex10_35.htm |
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
10-Q/A
(Amendment
No. 1)
|
x
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QUARTERLY
REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF
1934
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For
the quarterly period ended September 30, 2009
or
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o
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TRANSITION
REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF
1934
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For the transition period from __________
to __________
Commission
File No. 0-14710
XOMA
Ltd.
(Exact
name of registrant as specified in its charter)
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Bermuda
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52-2154066
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|
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(State
or other jurisdiction of
incorporation
or organization)
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(I.R.S.
Employer
Identification
No.)
|
|
|
2910
Seventh Street, Berkeley,
California
94710
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(510)
204-7200
|
|
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(Address
of principal executive offices,
including
zip code)
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(Telephone
Number)
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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, or 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
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Accelerated
filer x
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Non-accelerated
filer o
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Smaller
reporting company o
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|||
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(Do
not check if a smaller reporting company)
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Indicate
by check mark whether the registrant is a shell company (as defined in Rule
12b-2 of the Exchange Act of
1934). Yes __ No x
Indicate
the number of shares outstanding of each of the issuer’s classes of common
stock, as of the latest practicable date.
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Class
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Outstanding
at November 5, 2009
|
|
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Common
Shares, U.S. $0.0005 par value
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198,937,455
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Explanatory
Note
We are
filing this Amendment No. 1 (this “Amendment”) to our Quarterly Report on
Form 10-Q for the quarterly period ended September 30, 2009 (the “Form 10-Q”)
for the sole purpose of re-filing Exhibit 10.35 thereto in order to respond to
comments received from the staff of the Securities and Exchange Commission
regarding a request for confidential treatment of certain portions of Exhibit
10.35. In addition, as required by Rule 12b-15 under the Securities
Exchange Act of 1934, as amended, new certifications by our principal executive
officer and principal financial officer are being filed as exhibits to the Form
10-Q, and the Exhibit Index included in the Form 10-Q is being amended to
reflect certain technical corrections.
Except as
described above, no other changes have been made to the Form
10-Q. This Amendment does not modify or update the disclosures or
financial statements in the Form 10-Q or otherwise reflect any events occurring
after the original filing of the Form 10-Q. As a result, this
Amendment should be read in conjunction with the Form 10-Q.
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ITEM
6.
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EXHIBITS
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(a)
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Exhibits
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Exhibit
Number
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10.18A
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Agreement
related to LUCENTIS License Agreement and RAPTIVA Collaboration Agreement
dated September 9, 2009, by and between XOMA (Bermuda) Ltd., XOMA (US) LLC
and Genentech, Inc. (with certain confidential information omitted, which
omitted information is the subject of a confidential treatment request and
has been filed separately with the Securities and Exchange Commission)
(previously filed)
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|
10.35
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Discovery
Collaboration Agreement dated September 9, 2009, by and between XOMA
Development Corporation and Arana Therapeutics Limited (with certain
confidential information omitted, which omitted information is the subject
of a confidential treatment request and has been filed separately with the
Securities and Exchange Commission)
|
|
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10.36
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At
Market Issuance Sales Agreement dated July 14, 2009, by and between XOMA
Ltd. and Wm Smith & Co. (previously filed)
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|
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31.1
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Certification
of Steven B. Engle, filed pursuant to Section 302 of the Sarbanes-Oxley
Act of 2002
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31.2
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Certification
of Fred Kurland, filed pursuant to Section 302 of the Sarbanes-Oxley Act
of 2002
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32.1
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Certification
of Steven B. Engle, furnished pursuant to Section 906 of the
Sarbanes-Oxley Act of 2002
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32.2
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Certification
of Fred Kurland, furnished pursuant to Section 906 of the Sarbanes-Oxley
Act of 2002
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99.1
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Press
Release dated November 9, 2009 (previously
furnished)
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XOMA
Ltd.
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.
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XOMA
Ltd.
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||||||
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Date:
March 5, 2010
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By:
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/s/
STEVEN B. ENGLE
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|||
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Steven
B. Engle
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||||
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Chairman
of the Board, Chief Executive Officer and President
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||||
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Date:
March 5, 2010
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By:
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/s/
FRED KURLAND
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|||
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Fred
Kurland
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||||
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Vice
President, Finance and Chief Financial Officer
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||||