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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

Form 10-Q/A

(Amendment No. 1)

 

(Mark One)

 

x

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

 

For the quarterly period ended September 30, 2012

 

OR

 

o

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: 001-35663

 

KYTHERA Biopharmaceuticals, Inc.

(Exact Name of Registrant as Specified in its Charter)

 

Delaware

 

03-0552903

(State or Other Jurisdiction of

 

(I.R.S. Employer

Incorporation or Organization)

 

Identification No.)

 

27200 West Agoura Road, Suite 200

 

 

Calabasas, California

 

91301

(Address of Principal Executive Offices)

 

(Zip Code)

 

(818) 587-4500

(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 o  No x

 

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 during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).  Yes x  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 o

 

 

 

Non-accelerated filer x

 

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 November 5, 2012, the number of outstanding shares of the registrant’s common stock, par value $0.00001 per share, was 18,211,491.

 

 

 



 

Explanatory Note

 

This Form 10-Q/A amends the Quarterly Report on Form 10-Q of KYTHERA Biopharmaceuticals, Inc. for the period ended September 30, 2012 filed on November 13, 2012 (the “Form 10-Q”) for the sole purpose of furnishing the Interactive Data Files as Exhibit 101 in accordance with Rule 405(a)(2) of Regulation S-T.

 

No other changes have been made to the Form 10-Q. This Amendment No. 1 to the Form 10-Q does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update in any way the disclosures made in the original Form 10-Q.

 

Page 2 of 4



 

PART II.  Other Information

 

ITEM 6.  EXHIBITS

 

Exhibit

 

 

 

Incorporated by Reference

 

Filed

Number

 

Exhibit Description

 

Form

 

Date

 

Number

 

Herewith

1.1

 

Form of Underwriting Agreement

 

S-1/A

 

08/31/2012

 

1.1

 

 

3.1

 

Seventh Amended and Restated Certificate of Incorporation of KYTHERA Biopharmaceuticals, Inc.

 

8-K

 

10/16/2012

 

3.1

 

 

3.2

 

Amended and Restated Bylaws of KYTHERA Biopharmaceuticals, Inc.

 

8-K

 

10/16/2012

 

3.2

 

 

4.1

 

Reference is made to exhibits 3.1 and 3.2.

 

 

 

 

 

 

 

 

4.2

 

Specimen Common Stock Certificate.

 

S-1/A

 

08/31/2012

 

4.2

 

 

4.3

 

Form of warrant issued to security holders in connection with a convertible note financing.

 

S-1/A

 

05/17/2012

 

4.3

 

 

4.4

 

Warrant issued to Lighthouse Capital Partners VI, L.P., as amended.

 

S-1/A

 

05/17/2012

 

4.4

 

 

4.5(a)

 

Warrant issued to Lighthouse Capital Partners VI, L.P.

 

S-1/A

 

05/17/2012

 

4.5(a)

 

 

4.5(b)

 

Amendment No. 01 to warrant issued to Lighthouse Capital Partners VI, L.P.

 

S-1/A

 

08/31/2012

 

4.5(b)

 

 

10.1

 

Form of Indemnity Agreement for directors and officers.

 

S-1/A

 

05/17/2012

 

10.2

 

 

10.2

 

Amendment No. 2, dated July 23, 2012, to that certain Loan and Security Agreement No. 1991, dated as of March 21, 2011, by and between Lighthouse Capital Partners VI, L.P. and KYTHERA Biopharmaceuticals, Inc.

 

S-1/A

 

08/31/2012

 

10.3(c)

 

 

10.3(a)*

 

KYTHERA Biopharmaceuticals, Inc. 2012 Equity Incentive Award Plan.

 

10-Q

 

11/13/2012

 

10.3(a)

 

 

10.3(b)

 

Form of Stock Option Grant Notice and Stock Option Agreement under the 2012 Equity Incentive Award Plan.

 

S-1/A

 

05/17/2012

 

10.11(b)

 

 

10.3(c)

 

Form of Restricted Stock Award Agreement and Restricted Stock Unit Award Grant Notice under the 2012 Equity Incentive Award Plan.

 

S-1/A

 

05/17/2012

 

10.11(c)

 

 

31.1*

 

Certification of Chief Executive Officer of KYTHERA Biopharmaceuticals, Inc., as required by Rule 13a-14(a) or Rule 15d-14(a).

 

10-Q

 

11/13/2012

 

31.1

 

 

31.2*

 

Certification of Chief Financial Officer of KYTHERA Biopharmaceuticals, Inc., as required by Rule 13a-14(a) or Rule 15d-14(a).

 

10-Q

 

11/13/2012

 

31.2

 

 

32.1*

 

Certification by the Chief Executive Officer and Chief Financial Officer, as required by Rule 13a-14(b) or Rule 15d-14(b) and Section 1350 of Chapter 36 of Title 18 of the United States Code (18 U.S.C. §1350).**

 

10-Q

 

11/13/2012

 

32.1

 

 

101.INS#

 

XBRL Instance Document

 

 

 

 

 

 

 

X

101.SCH#

 

XBRL Taxonomy Extension Schema Document

 

 

 

 

 

 

 

X

101.CAL#

 

XBRL Taxonomy Extension Calculation Linkbase Document

 

 

 

 

 

 

 

X

101.DEF#

 

XBRL Taxonomy Extension Definition Linkbase Document

 

 

 

 

 

 

 

X

101.LAB#

 

XBRL Taxonomy Extension Labels Linkbase Document

 

 

 

 

 

 

 

X

101.PRE#

 

XBRL Taxonomy Extension Presentation Linkbase Document

 

 

 

 

 

 

 

X

 


*                 Previously filed November 13, 2012 as an exhibit with the Quarterly Report on Form 10-Q of KYTHERA Biopharmaceuticals, Inc. for the period ended September 30, 2012.

 

**          The certifications attached as Exhibit 32.1 that accompany this Quarterly Report on Form 10-Q are not deemed filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of KYTHERA Biopharmaceuticals, Inc. under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Form 10-Q, irrespective of any general incorporation language contained in such filing.

 

#                 Pursuant to Rule 406T of Regulation S-T, the XBRL files on Exhibit 101 hereto are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, are deemed not filed for purposes of Section 18 of the Securities and Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections.

 

Page 3 of 4



 

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.

 

 

KYTHERA BIOPHARMACEUTICALS, INC.

 

 

 

 

 

 

December 3, 2012

By:

/s/ John W. Smither

 

 

John W. Smither

 

 

Chief Financial Officer (Principal Financial and
Accounting Officer)

 

Page 4 of 4