SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
|X| QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended June 30, 2004
OR
|_| TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Commission File Number: 0-25544
Miravant Medical Technologies
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(Exact name of Registrant as specified in its charter)
Delaware 77-0222872
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(State or other jurisdiction of (IRS Employer Identification No.)
incorporation or organization)
336 Bollay Drive, Santa Barbara, California 93117
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(Address of principal executive offices, including zip code)
(805) 685-9880
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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 |_|
EXPLANATORY NOTE
This amendment to the Quarterly Report on Form 10-Q for the quarter ended
June 30, 2004 is being filed solely to revise Item 6 to indicate that
confidential treatment has been requested for certain portions of Exhibits 4.1
and 10.1 to this report and to add a legend within each of Exhibits 4.1 and 10.1
specifically denoting the location of information that has been omitted and
filed separately with the Securities and Exchange Commission pursuant to a
request for confidential treatment.
ITEM 6. EXHIBITS AND REPORTS ON FORM 8-K
(a) Exhibits Description
Exhibit 3.1 Amended and Restated Articles of Incorporation dated April 21, 2004
(incorporated by reference to Exhibit 3.1 of Registrant's Pre-Effective
Amendment No. 1 to Registration Statement on Form S-2 filed on April 29,
2004) (SEC File No. 333-114698).
Exhibit 3.2 Certificate of Designation relating to Series A Preferred Stock
dated April 21, 2004. +
Exhibit 4.1 Securities Purchase Agreement dated July 1, 2004 between the
Purchaser and the Registrant. *
Exhibit 4.2 Registration Rights Agreement dated July 1, 2004 between the
Purchaser and the Registrant. +
Exhibit 10.1 Collaboration Agreement dated July 1, 2004 between the Purchaser
and the Registrant. *
Exhibit 31.1 Certification Of Chief Executive Officer Pursuant To Section 13(A)
Or 15(D) Of The Securities Exchange Act Of 1934As Adopted Pursuant To
Section 302 Of The Sarbanes-Oxley Act Of 2002.
Exhibit 31.2 Certification Of Chief Financial Officer Pursuant To Section 13(A)
Or 15(D) Of The Securities Exchange Act Of 1934As Adopted Pursuant To
Section 302 Of The Sarbanes-Oxley Act Of 2002.
Exhibit 32.1 Certification of the Chief Executive Officer and the Chief
Financial Officer Pursuant To 18 U.S.C. Section 1350, As Adopted Pursuant
to Section 906 Of The Sarbanes-Oxley Act Of 2002.
+ Previously filed.
* Confidential portions have been omitted and filed separately with the
Securities and Exchange Commission pursuant to a request for confidential
treatment.
(b) Reports on Form 8-K.
On April 1, 2004, we filed a Form 8-K to report that on March 31, 2004 we
submitted a New Drug Application (NDA) to the U.S. Food and Drug
Administration (FDA) seeking marketing approval of SnET2-PDT as a new
treatment for patients with wet age-related macular degeneration (AMD).
On June 2, 2004, we filed a Form 8-K to report that our NDA was accepted
for filing by the FDA.
On April 28, 2004, we filed a Form 8-K to report the sale of 4,564,000
shares of Common Stock at a per share purchase price of $2.25.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
registrant has duly caused this report to be signed in its behalf by the
undersigned thereunto duly authorized.
Miravant Medical Technologies
Date: January 4, 2005 By: /s/ John M. Philpott
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John M. Philpott
Chief Financial Officer
(on behalf of the Company and as
Principal Financial Officer and
Principal Accounting Officer)