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EX-32.1 - EXHIBIT 32.1 - RADIENT PHARMACEUTICALS Corpv317969_ex32-1.htm
EX-31.2 - EXHIBIT 31.2 - RADIENT PHARMACEUTICALS Corpv317969_ex31-2.htm
EX-31.1 - EXHIBIT 31.1 - RADIENT PHARMACEUTICALS Corpv317969_ex31-1.htm
EX-32.2 - EXHIBIT 32.2 - RADIENT PHARMACEUTICALS Corpv317969_ex32-2.htm
EXCEL - IDEA: XBRL DOCUMENT - RADIENT PHARMACEUTICALS CorpFinancial_Report.xls

 

 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

 

Washington, D.C. 20549 

Form 10-K/A

Amendment No. 2

S ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIESEXCHANGE ACT OF 1934

 

For the Fiscal year ended December 31, 2011

or

 

£ 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 1-16695

Radient Pharmaceuticals Corporation

(Exact name of registrant as specified in its charter)

 

Delaware   33-0413161

(State or other jurisdiction of

incorporation or organization)

 

(IRS Employer

Identification No.)

     

2492 Walnut Avenue, Suite 100

Tustin, California 92780-7039

(Address of principal executive offices)

 

(714) 505-4460

(Registrant’s telephone number, including area code)

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class   Name of each exchange on which registered
Common Stock, $0.001 par value   OTCQB

 

Securities registered pursuant to Section 12(g) of the Act:

 

Common Stock, $0.001 par value

(Title of class)

 

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act Yes o No x

 

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes o No x

 

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 x

 

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. 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 o
   
Non-accelerated filer o Smaller reporting company x
(Do not check if a smaller reporting company)  

 

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

 

The aggregate market value of common stock held by non-affiliates of the Registrant on June 30, 2011 based on the closing price on that date of $4.88 on the OTC Market was approximately $21.1 million. For the purposes of calculating this amount only, all directors and executive officers of the Registrant have been treated as affiliates. There were 1,347,936,151 shares of the Registrant’s common stock outstanding as of June 15, 2012.

 

Documents Incorporated by Reference

 

None.

 

 
 
 

 

 

 

Explanatory Note:

 

The sole purpose of this Amendment No. 2 to our Annual Report on Form 10-K for the year ended December 31, 2011, is to furnish Exhibit 101 to the Form 10-K in accordance with Rule 405 of Regulation S-T.

 

No other changes have been made to the Form 10-K. This Amendment No. 2 to the Form 10-K speaks as of the original filing date of the Form 10-K, 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 original Form 10-K.

 

 

 

 
 
 

 

 

   

PART IV

Item 15. Exhibits, Financial Statement Schedules

 

The following exhibits are filed with this Quarterly Report on Form 10-Q

 

Exhibit

Number

  Description:

 

     
24.1   Power of Attorney. (Included on signature page.) 

 

31.1   Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. (Filed herewith.)
     
31.2   Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. (Filed herewith.)
32.1   Certification of Chief Executive Officer pursuant to 18 U.S.C. § 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. (Filed herewith.)
     
32.2   Certification of Chief Financial Officer pursuant to 18 U.S.C. § 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. (Filed herewith.)
101   Interactive data (Filed herewith.)
     

 

 
 
 

 

 

  

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, in the City of Tustin, State of California on July 9, 2012.

 

Radient Pharmaceuticals Corporation  
   
By: /s/ Douglas C. MacLellan  
Douglas C. MacLellan,  
Chief Executive Officer     
     

 

POWER OF ATTORNEY

 

ALL MEN BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Douglas C. MacLellan and Akio Ariura, or either of them, as his true and lawful attorneys-in-fact and agents, with full power of substitution and re-substitution, for him and in his name, place and stead, in any and all capacities, to sign any and all amendments to this Annual Report on Form 10-K/A any documents related to this report and filed pursuant to the Securities Exchange Act of 1934, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, full power and authority to do and perform each and every act and thing requisite and necessary to be done in connection therewith as fully to all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or their substitute or substitutes may lawfully do or cause to be done by virtue hereof.

 

Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Registrant in the capacities and on the dates indicated.

 

Signature   Title   Date
         
/s/ Douglas C. MacLellan   President, Chief Executive Officer, and Director   July 9, 2012
DOUGLAS C. MACLELLAN   (Principal Executive Officer)    
         
/s/ Akio Ariura   Chief Operating Officer, Chief Financial Officer   July 9, 2012
AKIO ARIURA   and Secretary (Principal Financial Officer and    
    Principal Accounting Officer)    
         
/s/ Michael Boswell   Director   July 9, 2012
MICHAEL BOSWELL