UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 10-Q/A
(Amendment No. 1)
| (Mark One) | | |
| þ | | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
| | | For the quarterly period ended June 30, 2011 |
| OR |
| o | | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
Commission File Number 001-33038
ZIOPHARM Oncology, Inc.
(Exact name of registrant as specified in its charter)
| | | |
Delaware (State or other jurisdiction of incorporation or organization) | | 84-1475642 (I.R.S. Employer Identification No.) |
1180 Avenue of the Americas, 19th Floor, New York, NY 10036
(646) 214-0700
(Address, including zip code, and telephone number, including
area code, of registrant’s principal executive offices)
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 than the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes: þ No:
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: þ No:
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer or 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 | Accelerated filer þ | Non-accelerated filer | Smaller reporting company |
| | | (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: No: þ
The number of shares of the registrant’s Common Stock, $.001 par value, outstanding as of July 27, 2011, was 68,402,009 shares.
Explanatory Note
ZIOPHARM Oncology, Inc. is filing this Amendment No. 1 to its Quarterly Report on Form 10-Q for the fiscal quarter ended June 30, 2011 (“Form 10-Q”), which was filed with the Securities and Exchange Commission on August 1, 2011, for the sole purpose of furnishing corrected XBRL Interactive Data Files. Due to a filing error by the third party financial printer, the XBRL Interactive Data Files originally furnished with the Form 10-Q were for the wrong reporting period. No other changes have been made to the Form 10-Q.
Except as specifically described above, this Amendment No. 1 does not reflect events occurring after the filing of the Form 10-Q, does not update disclosures contained in the Form 10-Q and does not modify or amend the Form 10-Q.
Part II - Other Information
Item 6. Exhibits
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| | | |
Exhibit Number | | Description |
| 31.1* | | Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| | | |
| 31.2* | | Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| | | |
| 32.1* | | Certifications pursuant to 18 U.S.C. Section 1350 |
| | | |
| 101.INS** | | XBRL Instance Document |
| | | |
| 101.SCH** | | XBRL Taxonomy Extension Schema Document |
| | | |
| 101.CAL** | | XBRL Taxonomy Extension Calculation Linkbase Document |
| | | |
| 101.DEF** | | XBRL Taxonomy Definition Linkbase Document |
| | | |
| 101.LAB** | | XBRL Taxonomy Extension Label Linkbase Document |
| | | |
| 101.PRE** | | XBRL Taxonomy Extension Presentation Linkbase Document |
* Previously filed as an exhibit to the registrant’s Quarterly Report on Form 10-Q filed August 1, 2011
| ** | Furnished herewith. XBRL (Extensible Business Reporting Language) information is furnished and not filed or a part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, is deemed not filed for purposes of section 18 of the Securities Exchange Act of 1934, and otherwise is not subject to liability under these sections. |
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.
|
Richard E. Bagley President, Chief Operating Officer and Chief Financial Officer |
(Principal Financial and Accounting Officer) |
Dated: August 9, 2011
EXHIBIT INDEX
Exhibit Number | | Description |
| 31.1* | | Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| | | |
| 31.2* | | Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| | | |
| 32.1* | | Certifications pursuant to 18 U.S.C. Section 1350 |
| | | |
| 101.INS** | | XBRL Instance Document |
| | | |
| 101.SCH** | | XBRL Taxonomy Extension Schema Document |
| | | |
| 101.CAL** | | XBRL Taxonomy Extension Calculation Linkbase Document |
| | | |
| 101.DEF** | | XBRL Taxonomy Definition Linkbase Document |
| | | |
| 101.LAB** | | XBRL Taxonomy Extension Label Linkbase Document |
| | | |
| 101.PRE** | | XBRL Taxonomy Extension Presentation Linkbase Document |
* Previously filed as an exhibit to the registrant’s Quarterly Report on Form 10-Q filed August 1, 2011
| ** | Furnished herewith. XBRL (Extensible Business Reporting Language) information is furnished and not filed or a part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, is deemed not filed for purposes of section 18 of the Securities Exchange Act of 1934, and otherwise is not subject to liability under these sections. |
