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 19, 2002.
ISTA PHARMACEUTICALS, INC.
| Delaware | 000-31255 | 33-0511729 | ||
| (State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) | ||
15279 Alton Parkway, Suite 100, Irvine, California 92618
Registrant’s telephone number, including area code (949) 788-6000
N/A
| ITEM 5. OTHER EVENTS | ||||||||
| ITEM 7. FINANCIAL STATEMENTS, PRO FORMA FINANCIAL INFORMATION AND EXHIBITS | ||||||||
| SIGNATURE | ||||||||
| INDEX TO EXHIBITS | ||||||||
| EXHIBIT 99.1 | ||||||||
ITEM 5. OTHER EVENTS
On November 20, 2002, ISTA Pharmaceuticals, Inc., a Delaware corporation announced that on November 19, 2002, it consummated the private placement of approximately $40 million of its common stock, equal to 10,526,306 shares of common stock, and warrants exercisable for $6 million of its common stock, equal to 1,578,946 shares of common stock. The investors in the financing included persons and entities affiliated with The Sprout Group, Sanderling Venture Partners, Investor Growth Capital Limited, Gund Investment Corporation, KBL Healthcare, MDS Capital, and Ontario Teachers’ Pension Plan Board.
The announcement issued by ISTA on November 20, 2002 is attached hereto as Exhibit 99.1.
ITEM 7. FINANCIAL STATEMENTS, PRO FORMA FINANCIAL INFORMATION AND EXHIBITS
(c) EXHIBITS
The following exhibit is filed as part of this report.
| 99.1 | Press Release issued November 20, 2002 by ISTA Pharmaceuticals, Inc. |
SIGNATURE
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.
| ISTA PHARMACEUTICALS, INC. |
| /s/ Vicente Anido, Jr., Ph.D. | ||
| Vicente Anido, Jr., Ph.D. | ||
| President and Chief Executive Officer | ||
| Date: November 30, 2002 |
ISTA PHARMACEUTICALS, INC.
Current Report on Form 8-K
INDEX TO EXHIBITS
| Exhibit No. | Description | |||||
| 99.1 | Press Release issued November 20, 2002 by ISTA Pharmaceuticals, Inc. |
