SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
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FORM 10-Q/A
(AMENDMENT NO. 1 TO FORM 10-Q)
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF
THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended September 30, 2001
Commission File Number
0-28308
CollaGenex Pharmaceuticals, Inc.
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(Exact Name of Registrant as Specified in Its Charter)
Delaware 52-1758016
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(State or Other Jurisdiction of (I.R.S. Employer
Incorporation or Organization) Identification No.)
41 University Drive, Newtown, PA 18940
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(Address of Principal Executive Offices) (Zip Code)
(215) 579-7388
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(Registrant's Telephone Number,
Including Area Code)
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:
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Indicate the number of shares outstanding of each of the Registrant's
classes of common stock as of October 15, 2001:
Class Number of Shares
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Common Stock, $.01 par value 10,999,573
EXPLANATORY NOTE
The Registrant hereby amends Exhibit 10.1 and Exhibit 10.2, for which
confidential treatment was sought, of its Quarterly Report on Form 10-Q for the
quarter ended September 30, 2001 which was filed with the Securities and
Exchange Commission on November 14, 2001.
ITEM 6. EXHIBITS AND REPORTS ON FORM 8-K.
(a) Exhibits
* 10.1 - License Agreement dated as of August 24, 2001 by and between
the Company and Atrix Laboratories, Inc.
* 10.2 - Stock Purchase Agreement dated August 24, 2001 by and between
the Company and Atrix Laboratories, Inc.
(b) Reports on Form 8-K.
On July 20, 2001, the Company filed a current report on Form 8-K with
the Securities and Exchange Commission relating to its Dentaplex
product and the related governmental regulation with respect to
dietary supplements.
On October 18, 2001, the Company filed a current report on Form 8-K
with the Securities and Exchange Commission with respect to the filing
of: (i) the Amended Certificate of Designation, Preferences and Rights
of the Series D Cumulative Convertible Preferred Stock of CollaGenex
Pharmaceuticals, Inc.; (ii) Amendment No. 1 to the Stockholders and
Registration Rights Agreement, dated March 19, 1999, by and among
CollaGenex Pharmaceuticals, Inc., OCM Principal Opportunities Fund,
L.P. and the Purchasers set forth therein; (iii) Amendment No. 2 to
the Stockholders and Registration Rights Agreement, dated March 19,
1999, by and among CollaGenex Pharmaceuticals, Inc., OCM Principal
Opportunities Fund, L.P. and the Purchasers set forth therein; and
(iv) Amendment No. 2 to the Shareholder Protection Rights Agreement,
dated September 15, 1997, between CollaGenex Pharmaceuticals, Inc. and
American Stock Transfer & Trust Company, as amended.
* Confidential Treatment has been sought for a portion of these
exhibits.
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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.
CollaGenex Pharmaceuticals, Inc.
Date: February 14, 2002 By: /s/Brian M. Gallagher
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Brian M. Gallagher, Ph.D.
President and Chief Executive Officer
(Principal Executive Officer)
Date: February 14, 2002 By: /s/Nancy C. Broadbent
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Nancy C. Broadbent
Chief Financial Officer (Principal
Financial and Accounting Officer)