UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-K/A
(Amendment No. 2)
[X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
FOR THE FISCAL YEAR ENDED DECEMBER 31, 2019
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 001-38552
PROVENTION BIO, INC.
(Exact name of registrant as specified in its charter)
| Delaware | | 81-5245912 |
(State or other jurisdiction of incorporation or organization) | | (I.R.S. Employer Identification No.) |
P.O. Box 666 Oldwick, New Jersey 08858
(Address of registrant’s principal executive offices)
(908) 336-0360
(Registrant’s telephone number, including area code)
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | | Trading Symbol(s) | | Name of each exchange on which registered |
| Common Shares, $0.001 par value | | PRVB | | The Nasdaq Global Select Market |
Securities registered pursuant to Section 12(g) of the Act:
None
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes [ ] No [X].
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes [ ] 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 [ ].
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files).Yes [X]. No [ ].
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See definition of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act:
| | Large accelerated filer [ ] | | Accelerated filer [X] | |
| | Non-accelerated filer [ ] | | Smaller reporting company [X] | |
| | | | Emerging growth company [X] | |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [ ]
Indicate by check mark whether the registrant is a shell company (as defined in 12b-2 of the Act). Yes [ ] No [X].
The aggregate market value of the common stock held by non-affiliates of the Registrant as of June 28, 2019, the last business day of the Registrant’s last completed second quarter, based upon the closing price of the common stock as reported by The Nasdaq Capital Market on such date was approximately $387.8 million.
On April 1, 2020, there were 47,712,636 shares of the registrant’s common stock, $0.0001 par value, outstanding.
DOCUMENTS INCORPORATED BY REFERENCE:
None.
EXPLANATORY NOTE
This Amendment No. 2 on Form 10-K/A (this “Amendment No. 2”) amends the Annual Report on Form 10-K for the fiscal year ended December 31, 2019 (the “2019 Annual Report”) of Provention Bio, Inc. filed with the Securities and Exchange Commission (“SEC”) on March 12, 2020, as amended by Amendment No. 1 to the 2019 Annual Report filed with the SEC on April 8, 2020. In this Amendment No. 2, unless the context indicates otherwise, the designations “Provention Bio,” the “Company,” “we,” “us” or “our” refer to Provention Bio, Inc.
This Amendment No. 2 is being filed solely to include revised Exhibits 31.1 and 31.2, which replace the previously filed versions of those exhibits, to include certain statements required by Item 601(b)(31) of Regulation S-K in the introductory portion of paragraph 4, inadvertently omitted by the Company when previously filed. This Amendment consists solely of the preceding cover page, this explanatory note, the exhibit index, signature page and paragraphs 1, 2, 4 and 5 of each of the revised certifications filed as exhibits to this Amendment No. 2. Because no financial statements are included with this Amendment, paragraph 3 of such certifications has been omitted.
Except as described above, no other amendments are being made to the Annual Report. This Amendment No. 2 does not reflect events occurring after the March 12, 2020 filing of the 2019 Annual Report or modify or update the disclosure contained in the 2019 Annual Report in any way other than as required to reflect the amendments discussed above and reflected below. Accordingly, this Amendment No. 2 should be read in conjunction with the 2019 Annual Report and our other filings with the SEC.
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.
| | Registrant: |
| | |
| | Provention Bio, Inc. |
| | |
| Date: August 6, 2020 | By: | /s/ Andrew Drechsler |
| | Andrew Drechsler |
| | Chief Financial Officer (Authorized Officer and Principal Financial Officer) |
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.
| Signature | | Title | | Date |
| | | | | |
| /s/ Ashleigh Palmer | | Chief Executive Officer (Principal Executive Officer), Director | | August 6, 2020 |
| Ashleigh Palmer | | | |
| | | | | |
| /s/ Andrew Drechsler | | Chief Financial Officer (Principal Financial Officer, Principal Accounting Officer) | | August 6, 2020 |
| Andrew Drechsler | | | |
| | | | | |
| /s/ Jeffrey Bluestone | | Director | | August 6, 2020 |
| Jeffrey Bluestone | | | | |
| | | | | |
| /s/ Avery Catlin | | Director | | August 6, 2020 |
| Avery Catlin | | | | |
| | | | | |
| /s/ Sean Doherty | | Director | | August 6, 2020 |
| Sean Doherty | | | | |
| | | | | |
| /s/ Wayne Pisano | | Director | | August 6, 2020 |
| Wayne Pisano | | | | |
| | | | | |
| /s/ Nancy Wysenski | | Director | | August 6, 2020 |
| Nancy Wysenski | | | | |
INDEX TO EXHIBITS
