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Prospectus Supplement No. 10 (to Prospectus dated October 6, 2009) | Filed pursuant to Rule 424(b)(3) Registration Statement No. 333-160778 |
• | 11,283 shares of 4.25660% Series D Convertible Preferred Stock | ||
• | Warrants to Purchase up to 792,000 shares of Common Stock | ||
• | 3,192,000 shares of Common Stock Underlying the Convertible Preferred Stock and the Warrants |
• | Our Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2010; and | ||
• | Our Current Reports on Form 8-K filed on September 14, October 6 and November 3, 2010. |
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SECURITIES AND EXCHANGE COMMISSION
þ | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
o | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
Delaware | 84-1318182 | |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) | |
6725 Mesa Ridge Road, Suite 100, San Diego, CA | 92121 | |
(Address of principal executive offices) | (Zip Code) |
(Registrant’s telephone number, including area code)
(Former name, former address and former fiscal year, if changed since last report)
Large accelerated filero | Accelerated filero | Non-accelerated filero | Smaller reporting companyþ |
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(A Development Stage Enterprise)
September 30, | December 31, | |||||||
2010 | 2009 | |||||||
(Unaudited) | ||||||||
Assets | ||||||||
Current assets: | ||||||||
Cash | $ | 29,331,773 | $ | 8,667,404 | ||||
Restricted cash | 623,513 | — | ||||||
Interest and other receivables | 12,634 | 14,841 | ||||||
Prepaid expenses | 487,677 | 290,249 | ||||||
Total current assets | 30,455,597 | 8,972,494 | ||||||
Property and equipment, net | 30,744 | 44,210 | ||||||
Other assets | 2,221 | 10,513 | ||||||
Total assets | $ | 30,488,562 | $ | 9,027,217 | ||||
Liabilities and Stockholders’ Equity | ||||||||
Current liabilities: | ||||||||
Accounts payable | $ | 260,067 | $ | 385,358 | ||||
Accrued liabilities | 685,620 | 1,379,010 | ||||||
Preferred stock dividends obligation | 623,513 | — | ||||||
Accrued compensation and payroll taxes | 130,685 | 589,319 | ||||||
Total current liabilities | 1,699,885 | 2,353,687 | ||||||
Stockholders’ equity: | ||||||||
Convertible Preferred Stock, Series A through F, $0.001 par value, 53,776.13 shares authorized; 2,884.57 (all Series F) and 0 shares issued and outstanding at September 30, 2010 and December 31, 2009, respectively (liquidation preference of $3,508,083) | 2,472,161 | — | ||||||
Common stock, $0.001 par value; 500,000,000 shares authorized; 14,701,216 and 8,211,410 shares issued and outstanding at September 30, 2010 and December 31, 2009, respectively | 14,701 | 8,211 | ||||||
Additional paid-in capital | 180,146,429 | 148,703,722 | ||||||
Deficit accumulated during the development stage | (153,844,614 | ) | (142,038,403 | ) | ||||
Total stockholders’ equity | 28,788,677 | 6,673,530 | ||||||
Total liabilities and stockholders’ equity | $ | 30,488,562 | $ | 9,027,217 | ||||
Note: | The balance sheet at December 31, 2009 has been derived from audited financial statements at that date. It does not include, however, all of the information and notes required by accounting principles generally accepted in the United States of America for complete financial statements. |
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(A Development Stage Enterprise)
Inception | ||||||||||||||||||||
(June 12, 1996) | ||||||||||||||||||||
Three months ended September 30, | Nine months ended September 30, | through | ||||||||||||||||||
2010 | 2009 | 2010 | 2009 | September 30, 2010 | ||||||||||||||||
Licensing revenue | $ | — | $ | — | $ | — | $ | 300,000 | $ | 1,300,000 | ||||||||||
Net sales | — | — | — | — | 174,830 | |||||||||||||||
Grant revenue | — | — | — | — | 129,733 | |||||||||||||||
Total net revenue | — | — | — | 300,000 | 1,604,563 | |||||||||||||||
Cost of sales | — | — | — | — | 51,094 | |||||||||||||||
Gross margin | — | — | — | 300,000 | 1,553,469 | |||||||||||||||
Operating expenses: | ||||||||||||||||||||
Research and development | 918,309 | 1,444,038 | 2,791,404 | 4,546,235 | 71,313,609 | |||||||||||||||
Selling, general and administrative | 944,950 | 893,477 | 3,422,843 | 3,744,470 | 51,390,353 | |||||||||||||||
Depreciation and amortization | 4,879 | 12,350 | 16,526 | 70,431 | 10,894,324 | |||||||||||||||
In-process research and development | — | — | — | — | 10,422,130 | |||||||||||||||
Impairment loss — write off of goodwill | — | — | — | — | 5,702,130 | |||||||||||||||
Equity in loss of investee | — | — | — | — | 178,936 | |||||||||||||||
Total operating expenses | 1,868,138 | 2,349,865 | 6,230,773 | 8,361,136 | 149,901,482 | |||||||||||||||
Loss from operations | (1,868,138 | ) | (2,349,865 | ) | (6,230,773 | ) | (8,061,136 | ) | (148,348,013 | ) | ||||||||||
Loss on fair value of warrants | — | — | — | — | (12,239,688 | ) | ||||||||||||||
Interest income | 26,258 | 40 | 68,006 | 2,432 | 4,657,194 | |||||||||||||||
Interest expense | — | — | (1,629 | ) | — | (180,719 | ) | |||||||||||||
Other income (expense) | (2,019 | ) | (2,761 | ) | (2,019 | ) | (46,434 | ) | 63,826 | |||||||||||
Loss before cumulative effect of change in accounting principle | (1,843,899 | ) | (2,352,586 | ) | (6,166,415 | ) | (8,105,138 | ) | (156,047,400 | ) | ||||||||||
Cumulative effect of change in accounting principle | — | — | — | — | (25,821 | ) | ||||||||||||||
Net loss | (1,843,899 | ) | (2,352,586 | ) | (6,166,415 | ) | (8,105,138 | ) | (156,073,221 | ) | ||||||||||
Preferred stock dividends | — | — | — | — | (621,240 | ) | ||||||||||||||
Deemed dividends on preferred stock | — | (376,089 | ) | (5,639,796 | ) | (1,608,504 | ) | (10,506,683 | ) | |||||||||||
Net loss applicable to common stock | $ | (1,843,899 | ) | $ | (2,728,675 | ) | $ | (11,806,211 | ) | $ | (9,713,642 | ) | $ | (167,201,144 | ) | |||||
Net loss per common share — basic and diluted | $ | (0.13 | ) | $ | (0.57 | ) | $ | (0.94 | ) | $ | (2.40 | ) | ||||||||
Weighted average shares — basic and diluted | 14,701,216 | 4,779,228 | 12,593,971 | 4,046,376 | ||||||||||||||||
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(A Development Stage Enterprise)
�� | Inception | |||||||||||
(June 12, 1996) | ||||||||||||
Nine months ended September 30, | through | |||||||||||
2010 | 2009 | September 30, 2010 | ||||||||||
Cash flows from operating activities: | ||||||||||||
Net loss | $ | (6,166,415 | ) | $ | (8,105,138 | ) | $ | (156,073,221 | ) | |||
Adjustments to reconcile net loss to net cash used in operating activities: | ||||||||||||
Depreciation and amortization | 16,526 | 70,431 | 10,444,325 | |||||||||
Loss on disposals of fixed assets | 2,019 | 59,012 | 57,535 | |||||||||
Loss on fair value of warrants | — | — | 12,239,688 | |||||||||
Expenses related to employee stock options and restricted stock issued | 604,772 | 454,827 | 9,042,771 | |||||||||
Expense related to stock options issued to non-employees | — | — | 204,664 | |||||||||
Expenses paid by issuance of common stock | — | — | 1,341,372 | |||||||||
Expenses paid by issuance of warrants | — | — | 573,357 | |||||||||
Expenses paid by issuance of preferred stock | — | — | 142,501 | |||||||||
Expenses related to stock warrants issued | — | — | 612,000 | |||||||||
Accretion of discount on investments in securities | — | — | (1,604,494 | ) | ||||||||
Amortization of debt discount | — | — | 450,000 | |||||||||
Forgiveness of employee receivable | — | — | 30,036 | |||||||||
Impairment loss — write-off of goodwill | — | — | 5,702,130 | |||||||||
Equity in loss of investee | — | — | 178,936 | |||||||||
In-process research and development | — | — | 10,422,130 | |||||||||
Write-off of license agreement | — | — | 152,866 | |||||||||
Write-off of assets available-for-sale | — | — | 108,000 | |||||||||
Cumulative effect of change in accounting principle | — | — | 25,821 | |||||||||
Changes in assets and liabilities, net of effect of acquisitions: | ||||||||||||
(Increase) decrease in prepaid expenses and other assets | (186,929 | ) | 43,215 | (749,901 | ) | |||||||
Increase (decrease) in accounts payable and accrued liabilities | (1,277,316 | ) | (2,508,501 | ) | 1,253,078 | |||||||
Net cash used in operating activities | (7,007,343 | ) | (9,986,154 | ) | (105,446,406 | ) | ||||||
Cash flows from investing activities: | ||||||||||||
Purchases of short-term investments | — | — | (111,183,884 | ) | ||||||||
Proceeds from sales and maturities of short-term investments | — | — | 112,788,378 | |||||||||
Purchases of property and equipment | (6,780 | ) | — | (1,037,134 | ) | |||||||
Proceeds from sale of property and equipment | 1,700 | 16,000 | 51,606 | |||||||||
Purchase of certificate of deposit | — | — | (1,016,330 | ) | ||||||||
Maturity of certificate of deposit | — | — | 1,016,330 | |||||||||
Payment on obligation under license agreement | — | — | (106,250 | ) | ||||||||
Cash acquired from acquisitions, net of cash paid | — | — | 32,395 | |||||||||
Issuance of note receivable — related party | — | — | (35,000 | ) | ||||||||
Payments on note receivable | — | — | 405,993 | |||||||||
Advance to investee | — | — | (90,475 | ) | ||||||||
Cash transferred in rescission of acquisition | — | — | (19,475 | ) | ||||||||
Cash received in rescission of acquisition | — | — | 230,000 | |||||||||
Net cash provided by (used in) investing activities | (5,080 | ) | 16,000 | 1,036,154 | ||||||||
Cash flows from financing activities: | ||||||||||||
Proceeds from sale of preferred stock | 30,453,227 | 4,276,000 | 44,474,720 | |||||||||
Proceeds of restricted cash for preferred stock dividends | 633,008 | — | 633,008 | |||||||||
Proceeds from sale of common stock | — | — | 84,151,342 | |||||||||
Proceeds from exercise of stock options | — | — | 712,367 | |||||||||
Proceeds from sale or exercise of warrants | 317,444 | — | 14,714,258 | |||||||||
Payment to escrow for preferred stock dividends obligation | (633,008 | ) | — | (633,008 | ) | |||||||
Repurchase of warrants | — | — | (55,279 | ) | ||||||||
Payments for financing and offering costs | (3,093,733 | ) | (996,140 | ) | (10,994,046 | ) | ||||||
Payments on notes payable and long-term debt | — | — | (605,909 | ) | ||||||||
Proceeds from issuance of notes payable and detachable warrants | — | — | 1,344,718 | |||||||||
Cash paid in lieu of fractional shares for reverse stock split | (146 | ) | — | (146 | ) | |||||||
Net cash provided by financing activities | 27,676,792 | 3,279,860 | 133,742,025 | |||||||||
Net increase (decrease) in cash | 20,664,369 | (6,690,294 | ) | 29,331,773 | ||||||||
Cash at beginning of period | 8,667,404 | 9,849,904 | — | |||||||||
Cash at end of period | $ | 29,331,773 | $ | 3,159,610 | $ | 29,331,773 | ||||||
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(A Development Stage Enterprise)
1. | Basis of Presentation |
2. | Use of Estimates |
3. | Share-Based Compensation Expense |
Three months ended September 30, | Nine months ended September 30, | |||||||||||||||
2010 | 2009 | 2010 | 2009 | |||||||||||||
Selling, general and administrative expense | $ | 154,041 | $ | 135,343 | $ | 610,329 | $ | 424,095 | ||||||||
Research and development expense | (1,243 | ) | 14,305 | (5,557 | ) | 30,731 | ||||||||||
Share-based compensation expense before taxes | 152,798 | 149,648 | 604,772 | 454,826 | ||||||||||||
Related income tax benefits | — | — | — | — | ||||||||||||
Share-based compensation expense | $ | 152,798 | $ | 149,648 | $ | 604,772 | $ | 454,826 | ||||||||
Net share-based compensation expense per common share — basic and diluted | $ | 0.01 | $ | 0.03 | $ | 0.05 | $ | 0.11 | ||||||||
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4. | Comprehensive Loss |
5. | Net Loss Per Common Share |
September 30, | ||||||||
2010 | 2009 | |||||||
Options | 421,737 | 234,356 | ||||||
Warrants | 4,055,030 | 826,344 | ||||||
Convertible preferred stock | 779,092 | — | ||||||
5,255,859 | 1,060,700 | |||||||
6. | Recent Accounting Pronouncements |
7. | Licensing Revenue |
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8. | Supplementary Cash Flow Information |
Inception | ||||||||||||
(June 12, 1996) | ||||||||||||
Nine months ended September 30, | through | |||||||||||
2010 | 2009 | September 30, 2010 | ||||||||||
Supplemental disclosures of cash flow information | ||||||||||||
Interest paid | $ | 1,629 | $ | — | $ | 180,719 | ||||||
Income taxes paid | — | — | — | |||||||||
Supplemental disclosures of non-cash investing and financing activities: | ||||||||||||
Issuance of warrants, common stock and preferred stock for: | ||||||||||||
Conversion of notes payable and accrued interest | — | — | 1,213,988 | |||||||||
Prepaid services to consultants | — | — | 1,482,781 | |||||||||
Conversion of preferred stock | 54,260 | 34,632 | 151,597 | |||||||||
Acquisitions | — | — | 24,781,555 | |||||||||
Payment of dividends | — | — | 213,000 | |||||||||
Financial advisor services in connection with private placements | 724,286 | 240,012 | 2,553,554 | |||||||||
Acquisition of treasury stock in settlement of a claim | — | — | 34,747 | |||||||||
Cancellation of treasury stock | — | — | (34,747 | ) | ||||||||
Assumptions of liabilities in acquisitions | — | — | 1,235,907 | |||||||||
Acquisition of license agreement for long-term debt | — | — | 161,180 | |||||||||
Cashless exercise of warrants | — | — | 4,312 | |||||||||
Dividends accrued | — | — | 621,040 | |||||||||
Trade asset converted to available-for-sale asset | — | — | 108,000 | |||||||||
Dividends extinguished | — | — | 408,240 | |||||||||
Trade payable converted to note payable | — | — | 83,948 | |||||||||
Issuance of warrants for return of common stock | — | — | 50,852 | |||||||||
Detachable warrants issued with notes payable | — | — | 450,000 | |||||||||
Cumulative preferred stock dividends | 7,140,389 | 455,500 | 12,878,889 |
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9. | Severance Related Expenses |
10. | Stockholders’ Equity |
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11. | Subsequent Events |
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• | the number and location of sites included in trials and the rate of site approval for the trial; | ||
• | the rates of patient recruitment and enrollment; | ||
• | the ratio of randomized to evaluable patients; | ||
• | the availability and cost of reference product in the jurisdiction of each site; | ||
• | the time and cost of process development activities related to our product candidates; | ||
• | the costs of manufacturing our product candidates; | ||
• | the time and cost of stability studies, including the need to identify critical parameters, methods to evaluate and test these parameters and validation of such methods and tests; and | ||
• | the costs, requirements, timing of and the ability to secure regulatory approvals. |
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January 1, 2005 | ||||||||||||
through | ||||||||||||
Three months ended September 30, | September 30, | |||||||||||
2010 | 2009 | 2010 | ||||||||||
External bioequivalence and clinical trial fees and expenses | $ | (61,074 | ) | $ | 28,583 | $ | 23,787,613 | |||||
External nonclinical study fees and expenses (1) | 920,232 | 1,372,543 | 26,689,440 | |||||||||
Personnel costs | 60,394 | 28,607 | 10,442,130 | |||||||||
Stock-based compensation expense | (1,243 | ) | 14,305 | 2,920,173 | ||||||||
Total | $ | 918,309 | $ | 1,444,038 | $ | 63,839,356 | ||||||
(1) | External nonclinical study fees and expenses include preclinical, research-related manufacturing, quality assurance and regulatory expenses. |
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Nine months ended September 30, | ||||||||
2010 | 2009 | |||||||
External bioequivalence and clinical trial fees and expenses | $ | (14,963 | ) | $ | 563,433 | |||
External nonclinical study fees and expenses (1) | 2,660,492 | 3,168,153 | ||||||
Personnel costs | 151,432 | 783,918 | ||||||
Stock-based compensation expense | (5,557 | ) | 30,731 | |||||
Total | $ | 2,791,404 | $ | 4,546,235 | ||||
(1) | External nonclinical study fees and expenses include preclinical, research-related manufacturing, quality assurance and regulatory expenses. |
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• | the extent to which we acquire new technologies, product candidates, products or businesses and our ability to integrate them successfully into our operations; | ||
• | the potential that we may enter into a merger or other business combination whereby the stockholders who own the majority of our voting securities prior to the transaction own less than a majority after the transaction; | ||
• | our or a future partner’s ability to obtain regulatory approval for our product candidates and, if approved, to successfully commercialize them in the U.S. and/or elsewhere; | ||
• | the potential that we may enter into one or more commercial partnerships or other strategic transactions relating to Exelbine and/or ANX-514, and the terms of any such transactions; | ||
• | our ability to obtain stockholder approval to complete a product pipeline expansion transaction, if necessary, on a timely basis, or at all; | ||
• | our ability to obtain additional funding on a timely basis or on acceptable terms, or at all; | ||
• | the extent to which we rebuild our workforce and our ability to attract and retain qualified personnel and manage growth; | ||
• | delays in the commencement or completion of nonclinical testing, bioequivalence or clinical trials of or manufacturing, regulatory or launch activities related to our product candidates; | ||
• | the success of future bioequivalence or clinical trials; | ||
• | our ability to develop sales, marketing and distribution capabilities, if we determine to commercialize any of our product candidates for which we obtain regulatory approval without a partner; | ||
• | whether any of our product candidates for which we receive regulatory approval, if any, achieve broad market acceptance; | ||
• | our ability to maintain our relationships with the single source manufacturers and suppliers for certain of our product candidates and their component materials and the ability of such manufacturers and suppliers to successfully and consistently manufacture and supply, as applicable, our products and their component materials on a commercial scale, if we receive regulatory approval to commercialize our product candidates; | ||
• | the satisfactory performance of third parties on whom we rely significantly to conduct our nonclinical testing and bioequivalence and clinical studies and other aspects of our development programs; | ||
• | undesirable side effects that our product candidates may cause; | ||
• | our ability to protect our intellectual rights with respect to our product candidates and proprietary technology; | ||
• | claims against us for infringing the proprietary rights of third parties; | ||
• | competition in the marketplace for our products, if any are approved; |
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• | healthcare reform measures and reimbursement policies that, if not favorable to our products, could hinder or prevent our products’ commercial success; | ||
• | potential product liability exposure and, if successful claims are brought against us, liability for a product or product candidate; | ||
• | our ability to maintain compliance with NYSE Amex continued listing standards and maintain the listing of our common stock on the NYSE Amex or another national securities exchange; and | ||
• | the other factors that are described in the section entitled “Risk Factors,” in Item 1A of Part I of our annual report on Form 10-K for the year ended December 31, 2009. |
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ADVENTRX Pharmaceuticals, Inc. | ||||
Date: November 8, 2010 | By: | /s/ Brian M. Culley | ||
Brian M. Culley | ||||
Chief Executive Officer (Principal Executive Officer) | ||||
By: | /s/ Patrick L. Keran | |||
Patrick L. Keran | ||||
President and Chief Operating Officer (Principal Financial and Accounting Officer) |
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Exhibit | Description | |||
31.1 | Certification of principal executive officer pursuant to Rules 13a-14(a)/15d-14(a) | |||
31.2 | Certification of principal financial officer pursuant to Rules 13a-14(a)/15d-14(a) | |||
32.1 | * | Certification of principal executive officer and principal financial officer pursuant to 18 U.S.C. 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
* | This certification is being furnished solely to accompany this report pursuant to 18 U.S.C. 1350, and is not being filed for purposes of Section 18 of the Securities Exchange Act of 1934 and is not to be incorporated by reference into any filing of the registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing. |
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of Earliest Event Reported): | September 14, 2010 |
ADVENTRX Pharmaceuticals, Inc.
__________________________________________
(Exact name of registrant as specified in its charter)
Delaware | 001-32157 | 84-1318182 |
_____________________ (State or other jurisdiction | _____________ (Commission | ______________ (I.R.S. Employer |
of incorporation) | File Number) | Identification No.) |
6725 Mesa Ridge Road, Suite 100, San Diego, California | 92121 | |
_________________________________ (Address of principal executive offices) | ___________ (Zip Code) |
Registrant’s telephone number, including area code: | 858-552-0866 |
Not Applicable
______________________________________________
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:
[ ] 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))
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Item 8.01 Other Events.
On September 14, 2010, ADVENTRX Pharmaceuticals, Inc. issued a press release announcing the results of stability tests performed on samples of ANX-530 (vinorelbine injectable emulsion), or ExelbineTM, manufactured at ADVENTRX’s intended commercial manufacturing site. The 12-month stability data are consistent with the stability data collected at 6 and 9 months. The press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.
The list of exhibits called for by this Item is incorporated by reference to the Exhibit Index filed with this report.
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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 hereunto duly authorized.
ADVENTRX Pharmaceuticals, Inc. | ||||
September 14, 2010 | By: | /s/ Patrick L. Keran | ||
Name: Patrick L. Keran | ||||
Title: President and Chief Operating Officer |
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Exhibit Index
Exhibit No. | Description | |
99.1 | Press release, dated September 14, 2010 |
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of Earliest Event Reported): | October 6, 2010 |
ADVENTRX Pharmaceuticals, Inc.
__________________________________________
(Exact name of registrant as specified in its charter)
Delaware | 001-32157 | 84-1318182 |
_____________________ (State or other jurisdiction | _____________ (Commission | ______________ (I.R.S. Employer |
of incorporation) | File Number) | Identification No.) |
6725 Mesa Ridge Road, Suite 100, San Diego, California | 92121 | |
_________________________________ (Address of principal executive offices) | ___________ (Zip Code) |
Registrant’s telephone number, including area code: | 858-552-0866 |
Not Applicable
______________________________________________
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:
[ ] 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))
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Item 8.01 Other Events.
On October 6, 2010, ADVENTRX Pharmaceuticals, Inc. issued a press release announcing that it has received a Notice of Allowance from the United States Patent and Trademark Office for its U.S. Patent Application No. 10/889,226, entitled "Compositions for Delivering Highly Water Soluble Drugs." The press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.
The list of exhibits called for by this Item is incorporated by reference to the Exhibit Index filed with this report.
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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 hereunto duly authorized.
ADVENTRX Pharmaceuticals, Inc. | ||||
October 6, 2010 | By: | /s/ Patrick L. Keran | ||
Name: Patrick L. Keran | ||||
Title: President and Chief Operating Officer |
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Exhibit Index
Exhibit No. | Description | |
99.1 | Press release, dated October 6, 2010 |
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of Earliest Event Reported): | November 3, 2010 |
ADVENTRX Pharmaceuticals, Inc.
__________________________________________
(Exact name of registrant as specified in its charter)
Delaware | 001-32157 | 84-1318182 |
_____________________ (State or other jurisdiction | _____________ (Commission | ______________ (I.R.S. Employer |
of incorporation) | File Number) | Identification No.) |
6725 Mesa Ridge Road, Suite 100, San Diego, California | 92121 | |
_________________________________ (Address of principal executive offices) | ___________ (Zip Code) |
Registrant’s telephone number, including area code: | 858-552-0866 |
Not Applicable
______________________________________________
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:
[ ] 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))
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Item 8.01 Other Events.
On November 3, 2010, ADVENTRX Pharmaceuticals, Inc. issued a press release announcing that it has submitted a New Drug Application (NDA) to the U.S. Food and Drug Administration (FDA) for its product candidate ANX-530 (vinorelbine injectable emulsion), or Exelbine(TM). The press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.
The list of exhibits called for by this Item is incorporated by reference to the Exhibit Index filed with this report.
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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 hereunto duly authorized.
ADVENTRX Pharmaceuticals, Inc. | ||||
November 3, 2010 | By: | /s/ Patrick L. Keran | ||
Name: Patrick L. Keran | ||||
Title: President and Chief Operating Officer |
Table of Contents
Exhibit Index
Exhibit No. | Description | |
99.1 | Press release, dated November 3, 2010 |