Attached files

file filename
EX-31.2 - EX-31.2 - Aegerion Pharmaceuticals, Inc.a16-6090_1ex31d2.htm
EX-31.1 - EX-31.1 - Aegerion Pharmaceuticals, Inc.a16-6090_1ex31d1.htm
EX-32.1 - EX-32.1 - Aegerion Pharmaceuticals, Inc.a16-6090_1ex32d1.htm

 

 

U.S. SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

 


 

FORM 10-K/A

 

Amendment No. 2

 


 

(Mark One)

 

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

 

For the fiscal year ended December 31, 2014

 

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: 001-34921

 


 

AEGERION PHARMACEUTICALS, INC.

(Exact Name of Registrant as Specified in Its Charter)

 


 

Delaware

 

20-2960116

(State or Other Jurisdiction of
Incorporation or Organization)

 

(IRS Employer
Identification Number)

 

One Main Street, Suite 800, Cambridge, Massachusetts 02142

(Address of Principal Executive Offices, including Zip Code)

 

617-500-7867

(Registrant’s telephone number, including area code)

 


 

SECURITIES REGISTERED PURSUANT TO SECTION 12(b) OF THE ACT:

 

Common Stock, $0.001 Par Value

 

The NASDAQ Global Select Market

 

SECURITIES REGISTERED PURSUANT TO SECTION 12(g) OF THE ACT:

 

None

(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  x    No  o

 

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 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 Website, 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.  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 definitions of “large accelerated filer,” “accelerated filer,” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer

x

 

Accelerated filer

o

Non-accelerated filer

o  (Do not check if a smaller reporting company)

 

Smaller reporting company

o

 

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

 

The aggregate market value of the voting and non-voting common equity held by non-affiliates of the registrant as of June 30, 2014 was approximately $915,210,330, based upon the closing price on the NASDAQ Global Select Market reported for such date.

 

As of February 17, 2015, 28,539,381 shares of the registrant’s common stock were outstanding.

 

 

 



 

EXPLANATORY NOTE

 

Due to an administrative error, the Annual Report on Form 10-K that was filed by Aegerion Pharmaceuticals, Inc. (the “Company”) with the Securities and Exchange Commission on March 2, 2015, as amended on July 7, 2015 (the “Original Form 10-K”), included a reference to an incorrect fiscal year within Exhibit 32.1. Therefore, the Company is filing this Amendment No. 2 to the Original Form 10-K solely for the purpose of filing an amended and restated Exhibit 32.1.  No other changes have been made to the Original Form 10-K.

 

This Amendment No. 2 to Form 10-K speaks as of the original filing date of the Original 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, except to re-file the exhibit referred to above.

 

PART IV

 

Item 15.                          Exhibits, Financial Statement Schedules.

 

The following exhibits are filed herewith:

 

Exhibit
Number

 

Description of Document

 

 

 

* 31.1

 

Certification of Mary T. Szela, Chief Executive Officer of the Company, filed pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

 

 

 

*31.2

 

Certification of Gregory D. Perry, Chief Financial and Administrative Officer of the Company, filed pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

 

 

 

*32.1

 

Certifications of Mary T. Szela, Chief Executive Officer of the Company, and Gregory D. Perry, Chief Financial and Administrative Officer of the Company, filed pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (18 U.S.C. 1350)

 


*Filed herewith.

 

2



 

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.

 

 

AEGERION PHARMACEUTICALS, INC.

 

 

Date: March 10, 2016

By:

/s/ Mary T. Szela

 

 

Mary T. Szela

 

 

Chief Executive Officer

 

 

 

 

 

3



 

EXHIBIT INDEX

 

Exhibit
Number

 

Description of Document

 

 

 

*31.1

 

Certification of Mary T. Szela, Chief Executive Officer of the Company, filed pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

 

 

 

*31.2

 

Certification of Gregory D. Perry, Chief Financial and Administrative Officer of the Company, filed pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

 

 

 

* 32.1

 

Certifications of Mary T. Szela, Chief Executive Officer of the Company, and Gregory D. Perry, Chief Financial and Administrative Officer of the Company, filed pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (18 U.S.C. 1350)

 


* Filed herewith.

 

4