UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-Q/A
(Mark One)
| x | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the quarterly period ended March 31, 2007
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 0-16005
Unigene Laboratories, Inc.
(Exact name of registrant as specified in its charter)
| | |
| Delaware | | 22-2328609 |
(State or other jurisdiction of incorporation or organization) | | (I.R.S. Employer Identification No.) |
110 Little Falls Road, Fairfield, New Jersey 07004
(Address of principal executive offices)
(Zip Code)
Registrant’s telephone number, including area code:
(973) 882-0860
(Former name, former address and former fiscal year, if changed since last report.)
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 is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a 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 x |
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 x.
APPLICABLE ONLY TO CORPORATE ISSUERS
Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date:
Common Stock, $.01 Par Value— 87,753,715 shares as of March 3, 2008
Explanatory Note
Pursuant to Rule 12b-15 of the Securities Exchange Act of 1934, as amended, Unigene Laboratories, Inc. hereby amends its Report on Form 10-Q for the quarter ended March 31, 2007, as previously filed on May 10, 2007 (the “Original Filing”). The registrant hereby amends and restates Part II, Item 6 of the Original Filing in response to comments the registrant received from the staff of the Securities and Exchange Commission in connection with the registrant’s request for confidential treatment for portions of the Supply Agreement, dated as of January 22, 2007, between the registrant and Novartis Pharma AG (the “Agreement”). A copy of the Agreement is filed herewith as Exhibit 10.1.
Except as described above, all other information in the Original Filing remains unchanged and reflects the disclosures made at the time of the Original Filing. The information previously reported in the Original Filing is hereby incorporated by reference into this Form 10-Q/A.
Part II
| | |
Number | | Description |
| 10.1 | | Supply Agreement, dated as of January 22, 2007, between Unigene Laboratories, Inc. and Novartis Pharma AG. * |
| |
| 31.1 | | Certification by Warren P. Levy pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
| |
| 31.2 | | Certification by William Steinhauer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
| |
| 32.1 | | Certification by Warren P. Levy pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| |
| 32.2 | | Certification by William Steinhauer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| * | Portions of the exhibit have been omitted pursuant to a request for confidential treatment. |
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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 thereunto duly authorized.
| | | | |
| | UNIGENE LABORATORIES, INC. |
| | (Registrant) |
| | |
| March 20, 2008 | | By: | | /s/ Warren P. Levy |
| | | | Warren P. Levy, President |
| | | | (Chief Executive Officer) |
| | |
| March 20, 2008 | | By: | | /s/ William Steinhauer |
| | | | William Steinhauer, Vice President of Finance |
| | | | (Principal Financial Officer and Principal Accounting Officer) |
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UNIGENE LABORATORIES, INC.
INDEX TO EXHIBITS
| | |
No. | | EXHIBIT |
| 10.1 | | Supply Agreement, dated as of January 22, 2007, between Unigene Laboratories, Inc. and Novartis Pharma AG. * |
| |
| 31.1 | | Section 302 Certification of the Principal Executive Officer |
| |
| 31.2 | | Section 302 Certification of the Principal Financial Officer |
| |
| 32.1 | | Section 906 Certification of the Principal Executive Officer |
| |
| 32.2 | | Section 906 Certification of the Principal Financial Officer |
| * | Portions of the exhibit have been omitted pursuant to a request for confidential treatment. |
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