UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
(Amendment No. 1)
| [X] | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 | |
| For the fiscal year ended December 31, 2001 | ||
| 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: 0-23317
GENE LOGIC INC.
(Exact name of registrant as specified in its charter)
| Delaware | 06-1411336 | |
| (State or other jurisdiction of | (I.R.S. Employer | |
| incorporation or organization) | Identification No.) | |
| 708 Quince Orchard Road | ||
| Gaithersburg, Maryland | 20878 | |
| (Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number, including area code:(301) 987-1700
Securities registered pursuant to Section 12(b) of the Act:None
Securities registered pursuant to section 12(g) of the Act:Common Stock, $0.01 par value
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.
[X] Yes [ ] No
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§ 229.405 of this chapter) 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 an accelerated filer (as defined in Rule 12b-2 of the Act). Yes [ ]... No [X]
The aggregate market value of the voting stock (which consists solely of shares of Common Stock) held by non-affiliates of the Registrant as of March 1, 2002 was approximately $372,142,000, based on the closing price on that date of Common Stock on the Nasdaq National Stock Market.*
The number of shares outstanding of the Registrant’s Common Stock, $.01 par value, was 26,870,709 as of March 1, 2002.
DOCUMENTS INCORPORATED BY REFERENCE
The Registrant’s Definitive Proxy Statement to be filed with the Securities and Exchange Commission (the “Commission”) pursuant to Regulation 14A in connection with the 2002 Annual Meeting of Stockholders to be held on June 6, 2002 is incorporated by reference into Part III of this Annual Report on Form 10-K to the extent stated herein.
| * | Excludes 4,343,948 shares of Common Stock held by directors and executive officers and stockholders whose beneficial ownership exceeds 10% of the shares outstanding on March 1, 2002. Exclusion of shares held by any person should not be construed to indicate that such person possesses the power, direct or indirect, to direct or cause the direction of the management or policies of the Registrant, or that such person is controlled by or under common control with the Registrant. |
PART IV
Item 14.Exhibits, Financial Statement Schedules, and Reports on Form 8-K.
(a)3. Index to Exhibits.The exhibit listed below is filed with this Amendment No. 1 to Form 10-K for the fiscal year ended March 31, 2002.
| 10.50 | Agreement, effective January 1, 2002, between Registrant and Affymetrix, Inc.(1) | |
| (1) | Confidential treatment has been requested with respect to certain portions of this exhibit. Omitted portions have been filed separately with the Securities and Exchange Commission. |
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.
| GENE LOGIC INC |
| By: /s/ MARK D. GESSLER Mark D. Gessler Chairman of the Board, Chief Executive Officer and President |
| Date: December 6, 2002 |
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.
| Name | Position | Date | ||
| /s/ MARK D. GESSLER (Mark D. Gessler) | Chairman of the Board, Chief Executive Officer and President (Principal Executive Officer) | December 6, 2002 | ||
| /s/ PHILIP L. ROHRER, JR. (Philip L. Rohrer, Jr.) | Chief Financial Officer (Principal Financial and Accounting Officer) | December 6, 2002 | ||
| /s/ JULES BLAKE (Jules Blake, Ph.D.) | Director | December 6, 2002 | ||
| /s/ MICHAEL J. BRENNAN (Michael J. Brennan, M.D., Ph.D.) | Director | December 6, 2002 | ||
| /s/ CHARLES L. DIMMLER, III (Charles L. Dimmler III) | Director | December 6, 2002 | ||
| /s/ G. ANTHONY GORRY (G. Anthony Gorry, Ph.D.) | Director | December 6, 2002 | ||
| /s/ J. STARK THOMPSON (J. Stark Thompson, Ph.D.) | Director | December 6, 2002 |
CERTIFICATIONS
I, Mark D. Gessler, certify that:
1. I have reviewed this Amendment No. 1 to annual report on Form 10-K of Gene Logic Inc.;
2. Based on my knowledge, this Amendment No. 1 to annual report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this annual report;
Date: December 6, 2002
| /s/ Mark D. Gessler Mark D. Gessler Chief Executive Officer |
I, Philip L. Rohrer, Jr., certify that:
1. I have reviewed this Amendment No. 1 to annual report on Form 10-K of Gene Logic Inc.;
2. Based on my knowledge, this Amendment No. 1 to annual report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this annual report;
Date: December 6, 2002
| /s/ Philip L. Rohrer, Jr. Philip L. Rohrer, Jr. Chief Financial Officer |
