Table of Contents
SECURITIES AND EXCHANGE COMMISSION
FORM 10-Q
(Mark One)
x | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2004, OR | |
o | 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 0-22025
AASTROM BIOSCIENCES, INC.
Michigan | 94-3096597 | |
(State or other jurisdiction of | (I.R.S. employer | |
incorporation or organization) | identification no.) | |
24 Frank Lloyd Wright Dr. | ||
P.O. Box 376 | ||
Ann Arbor, Michigan | 48106 | |
(Address of principal executive offices) | (Zip code) |
(734) 930-5555
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 -o
Indicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Exchange Act). Yes -x No -o
Indicate the number of shares outstanding of each of the issuer’s classes of common stock as of the latest practicable date.
COMMON STOCK, NO PAR VALUE | 92,223,100 | |
(Class) | Outstanding at November 5, 2004 |
EXPLANATORY NOTE | ||||||||
PART II – OTHER INFORMATION | ||||||||
Item 6. Exhibits | ||||||||
SIGNATURES | ||||||||
EXHIBITS | ||||||||
EXHIBIT 10.80 | ||||||||
EXHIBIT 10.81 | ||||||||
EXHIBIT 10.82 | ||||||||
EXHIBIT 31 |
Table of Contents
EXPLANATORY NOTE
This amended quarterly report on Form 10-Q/A is being filed to amend Part II, Item 6 of the Company’s Quarterly Report on Form 10-Q for the period ended September 30, 2004 for the sole purpose of adding Exhibits 10.80, 10.81 and 10.82 that were inadvertently omitted from the original filing. No other modifications have been made to Part II, Item 6 or to any other portion of the Company’s Form 10-Q as originally filed. This amendment to our Form 10-Q does not reflect events occurring after the original filing of the Form 10-Q or modify or update those disclosures affected by subsequent events.
Table of Contents
Table of Contents
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.
AASTROM BIOSCIENCES, INC. | ||
Date: December 2, 2004 | /s/ R. Douglas Armstrong | |
R. Douglas Armstrong, Ph.D. | ||
Chief Executive Officer and Chairman (Principal Executive Officer) | ||
Date: December 2, 2004 | /s/ Alan M. Wright | |
Alan M. Wright | ||
Sr. Vice President Administrative & Financial | ||
Operations, Chief Financial Officer | ||
(Principal Financial and Accounting Officer) |
Table of Contents
EXHIBITS
Exhibit Number | Description | |
3.1 * | Restated Articles of Incorporation of the Company, as amended | |
3.2 ** | Bylaws of the Company | |
10.78 | Employment Agreement with James Cour(1) | |
10.79 | Employment Agreement with Janet Hock(1) | |
10.80 | Employment Agreement with R. Douglas Armstrong | |
10.81 | Amended and Restated Employment Agreement with Brian S. Hampson | |
10.82 | 2004 Equity Incentive Plan | |
31 | Rules 13a-14(a) and 15(d)-14a Certifications | |
32 | Section 1350 Certifications(1) |
(1) | Previously filed as an exhibit to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2004. | |
* | Incorporated by reference to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2003. | |
** | Incorporated by reference to the Company’s Registration Statement on Form S-1 (No. 333-15415), declared effective on February 3, 1997. |