UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): January 2, 2002 Commission File Number: 000-31255 ISTA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 33-0511729 -------- ---------- (State of incorporation or organization) (IRS Employer I.D. No.) 15279 Alton Parkway, Suite 100 Irvine, CA 92618 (Address of principal executive offices) (949) 788-6000 -------------- (Registrant's telephone number, including area code) ITEM 5. OTHER EVENTS On December 13, 2001, we entered into a (i) License Agreement, (ii) Supply Agreement, (iii) Securities Purchase Agreement, and (iv) Registration Rights Agreement with Otsuka Pharmaceutical Co., Ltd., a Japanese corporation. Pursuant to the License Agreement and the Supply Agreement we granted Otsuka an exclusive license to develop, market, distribute and sell our Vitrase product in the Japanese market. Pursuant to the Purchase Agreement, we agreed to sell 845,665 shares of common stock at a purchase price of $4.73 per share, for an aggregate purchase price of $3,999,995.45 in a private placement transaction. The closing of the private placement occurred on December 19, 2001. After the closing, a resale registration statement relating to the privately placed common stock will be filed with the United States Securities & Exchange Commission. ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS (See "Index to Exhibits") SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused the report to be signed on its behalf by the undersigned thereunto duly authorized. ISTA PHARMACEUTICALS, INC. By /s/ J.C. MacRae --------------------------- J.C. MacRae Executive Vice President, Chief Operating Officer and Chief Financial Officer Dated: January 2, 2002 INDEX TO EXHIBITS Exhibit No. Description - ----------- ----------- 10.21 License Agreement executed between ISTA Pharmaceuticals, Inc. and Otsuka Pharmaceutical Co., Ltd. on December 13, 2001. 10.22 Supply Agreement executed between ISTA Pharmaceuticals, Inc. and Otsuka Pharmaceutical Co., Ltd. on December 13, 2001. 10.23 Securities Purchase Agreement executed between ISTA Pharmaceuticals, Inc. and Otsuka Pharmaceutical Co., Ltd. on December 13, 2001. 10.24 Registration Rights Agreement executed between ISTA Pharmaceuticals, Inc. and Otsuka Pharmaceutical Co., Ltd. on December 13, 2001.