Attached files

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EX-32.2 - EXHIBIT 32.2 - ALBANY MOLECULAR RESEARCH INCv351425_ex32-2.htm
EX-32.1 - EXHIBIT 32.1 - ALBANY MOLECULAR RESEARCH INCv351425_ex32-1.htm
EX-10.15 - EXHIBIT 10.15 - ALBANY MOLECULAR RESEARCH INCv351425_ex10-15.htm

 

 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549


FORM 10-K/A

Amendment No. 1


(Mark One) 

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

 

For the fiscal year ended December 31, 2012

 

or

 

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

 

For the transition period from                   to                  

 

Commission file number 001-35622


 

Albany Molecular Research, Inc.

(Exact name of registrant as specified in its charter)

 

Delaware   14-1742717
(State or other jurisdiction of   (I.R.S. Employer
incorporation or organization)   Identification No.)
26 Corporate Circle    
Albany, New York   12203
(Address of principal executive offices)   (zip code)

 

(518) 512-2000

(Registrant’s telephone number, including area code)

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

 

Title of each class   Name of exchange on which registered
Common Stock, par value $.01 per share   The NASDAQ Stock Market LLC
Preferred Stock Purchase Rights    

 

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

None

(Title of Each 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 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 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. x

 

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 definitions of “large accelerated filer”, “accelerated filer” and “smaller reporting company” in 12b-2 of the Exchange Act

 

o Large accelerated filer   x Accelerated filer   o Non-accelerated filer   o Smaller reporting company

  

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

 

The aggregate market value of the Registrant’s Common Stock held by non-affiliates of the Registrant on June 30, 2012 was approximately $58 million based upon the closing price per share of the Registrant’s Common Stock as reported on the Nasdaq Global Market on June 30, 2012. Shares of Common Stock held by each officer and director and by each person who owns 10% or more of the outstanding Common Stock have been excluded in that such persons may be deemed to be affiliates. This determination of affiliate status is not necessarily a conclusive determination for other purposes. As of February 28, 2013, there were 31,337,423 outstanding shares of the Registrant’s Common Stock, excluding treasury shares of 5,411,372.

 

 

  

 
 

 

 

 

DOCUMENTS INCORPORATED BY REFERENCE

 

The information required pursuant to Part III of this report is incorporated by reference from the Company’s definitive proxy statement, relating to the annual meeting of stockholders held on June 5, 2013, pursuant to Regulation 14A, filed with the Securities and Exchange Commission.

 

 

  

 
 

  

EXPLANATORY NOTE

 

Albany Molecular Research, Inc. (the “Company”) is filing this Amendment No. 1 (this “Amendment”) to its Annual Report on Form 10-K for the fiscal year ended December 31, 2012 (the “Form 10-K”), originally filed on March 18, 2013, as an exhibit-only filing in response to comments received from the Securities and Exchange Commission regarding a request for confidential treatment of certain portions of Exhibit 10.15 originally filed with the Form 10-K. This Amendment is being filed solely to re-file Exhibit 10.15. 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 filed as exhibits to this Amendment.

 

This Amendment is limited in scope to the items identified above and should be read in conjunction with the Form 10-K. This Amendment does not reflect events occurring after the filing of the Form 10-K and no revisions are being made to the Company’s financial statements pursuant to this Amendment. Other than the filing of the information identified above, this Amendment does not modify or update the disclosure in the Form 10-K in any way.

 

 
 

 

ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES

 

EXHIBIT INDEX

 

 

Exhibit

Number   

Description

 

10.15Supply Agreement, effective as of January 1, 2012, between AMRI Rensselaer, Inc. and GE Healthcare AS (filed herein with certain information omitted pursuant to a request for confidential treatment and filed separately with the Securities and Exchange Commission).

 

32.1Certification of principal executive officer pursuant to Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended (filed herein).

 

32.2Certification of principal financial officer pursuant to Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended (filed herein).

 

 
 

 

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.

 

Dated: August 27, 2013 Albany Molecular Research, Inc.
  By:

/s/ Thomas E. D’Ambra

    Thomas E. D’Ambra, Ph.D.
    President and Chief Executive Officer

  

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 and in the capacities and on the dates indicated.

 

  Signature       Title       Date  
/s/ Thomas E. D’Ambra   President, Chief Executive Officer and Director   August 27, 2013
Thomas E. D’Ambra, Ph.D.    (Principal Executive Officer)    

 

 

 /s/ Michael M. Nolan

 

 

 

Vice President, Chief Financial Officer and Treasurer

  August 27, 2013
Michael M. Nolan   (Principal Financial and Accounting Officer)    
/s/ Veronica G.H. Jordan   Director   August 27, 2013
Veronica G.H. Jordan, Ph.D.        
/s/ Gabriel Leung   Director   August 27, 2013
Gabriel Leung        
/s/ William Marth   Chairman of the Board   August 27, 2013
William Marth        
/s/ Kevin O’Connor   Director   August 27, 2013
Kevin O’Connor        
/s/ Arthur J. Roth   Director   August 27, 2013
Arthur J. Roth        
/s/ Una S. Ryan   Director   August 27, 2013
Una S. Ryan, Ph.D., O.B.E.