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EX-10.1 - EXHIBIT 10.1 - NAVIDEA BIOPHARMACEUTICALS, INC.v421893_ex10-1.htm




Washington, D.C. 20549





Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934


Date of Report (Date of earliest event reported) May 11, 2015


(Exact name of registrant as specified in its charter)


Delaware   001-35076   31-1080091
(State or other jurisdiction   (Commission   (IRS Employer
of incorporation)   File Number)   Identification No.)


5600 Blazer Parkway, Suite 200, Dublin, Ohio   43017
(Address of principal executive offices)   (Zip Code)


Registrant's telephone number, including area code      (614) 793-7500



(Former name or former address, if changed since last report.)


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 (see General Instruction A.2. below):


¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))







This amendment to current report on Form 8-K/A (the “Second Amendment’) amends the current report on Form 8-K, dated May 11, 2015, filed by Navidea Biopharmaceuticals, Inc. with the U.S. Securities and Exchange Commission on May 15, 2015 (the “Original Form 8-K”), as amended by the amendment filed May 21, 2015 (the “Amendment”). The sole purpose of this Second Amendment is to file as an Exhibit a corrected version of Exhibit 10.1 submitted with the Second Amendment. The corrected Exhibit is hereby incorporated by reference into the Original Form 8-K. No other changes are being made to the Original Form 8-K or the Amendment.


Item 9.01Financial Statements and Exhibits.


(d) Exhibits.


Number   Exhibit Description
10.1   Term Loan Agreement, dated as of May 8, 2015, by and among  Navidea Biopharmaceuticals, Inc., as borrower, Macrophage Therapeutics, Inc. as guarantor, and Capital Royalty Partners II L.P., Capital Royalty Partners II – Parallel Fund “A” L.P. and Parallel Investment Opportunities Partners II L.P., as lenders (filed herewith).




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.


   Navidea Biopharmaceuticals, Inc.
Date: October 9, 2015 By: /s/ Brent L. Larson

Brent L. Larson, Executive Vice President and

Chief Financial Officer