Amended Annual Report (10-k/a)
01 Mai 2018 - 1:16PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
10-K/A
(Amendment No. 1)
(Mark One)
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ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the fiscal year ended December 31, 2017
OR
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM
TO
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For the
transition period from
to
Commission File Number
001-37766
INTELLIA THERAPEUTICS, INC.
(Exact name of registrant as specified in its charter)
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Delaware
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36-4785571
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(State or other jurisdiction of
incorporation or organization)
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(I.R.S. Employer
Identification No.)
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40 Erie Street, Suite 130
Cambridge, Massachusetts
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02139
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(Address of principal executive offices)
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(Zip Code)
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(857) 285-6200
(Registrants telephone number, including area code)
Securities registered pursuant to Section 12(b) of the Act:
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Title of each
class
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Name of each exchange on
which registered
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Common Stock, $0.0001 par value per share
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Nasdaq Global Market
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Securities registered pursuant to Section 12(g) of the Act:
None
Indicate by
check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ☐ No ☒
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the
Act. Yes ☐ No ☒
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 ☒ No ☐
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive
Data File required to be submitted and posted pursuant to Rule 405 of
Regulation S-T
(§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the
registrant was required to submit and post such files). Yes ☒ No ☐
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of
Regulation S-K
(§229.405) is not contained herein, and will not be contained, to the best of registrants knowledge, in definitive proxy or information statements incorporated by reference in
Part III of this
Form 10-K
or any amendment to this
Form 10-K. ☒
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a
non-accelerated
filer, a smaller reporting company or an emerging growth company. See the definitions of large accelerated filer, accelerated filer, smaller
reporting company and emerging growth company in Rule
12b-2
of the Exchange Act.
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Large accelerated filer
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Accelerated filer
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Non-accelerated
filer
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☐ (Do not check if a smaller reporting company)
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Smaller reporting company
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Emerging Growth Company
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended
transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☒
Indicate by check mark whether the registrant is a shell company (as defined in Rule
12b-2
of the
Exchange Act). Yes ☐ No ☒
The aggregate market value of
the registrants common stock held by
non-affiliates
of the registrant was approximately $235.3 million as of June 30, 2017 (based on a closing price of $16.00 per share as quoted by the Nasdaq
Global Market as of such date). In determining the market value of
non-affiliate
common stock, shares of the registrants common stock beneficially owned by officers, directors and affiliates have been
excluded. This determination of affiliate status is not necessarily a conclusive determination for other purposes.
The registrant had
42,387,435 shares of Common Stock, $0.0001 par value per share, outstanding as of February 28, 2018.
DOCUMENTS INCORPORATED BY REFERENCE
Part III of this Annual Report on Form
10-K
incorporates by reference certain information from the
registrants definitive Proxy Statement for its 2018 annual meeting of shareholders. Except with respect to information specifically incorporated by reference in this Form
10-K,
the Proxy Statement is not
deemed to be filed as part of this Form
10-K.
EXPLANATORY NOTE
This Form
10-K/A
(this Amendment) constitutes Amendment No. 1 to the Annual Report on Form
10-K
of Intellia Therapeutics, Inc. (the Company) for the year ended December 31, 2017, originally filed with the Securities and Exchange Commission (the SEC) on March 14, 2018 (the
Original Filing). This Amendment is being filed solely to include revised Exhibits 31.1 and 31.2, which replace the previously filed versions of those exhibits, to add language regarding internal control over financial reporting in the
introduction of paragraph 4 and in paragraph 4(b) of the certifications of its principal executive officer and principal financial officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (the Section 302
Certifications) as required by Item 601(b)(31) of Regulation
S-K.
This language was inadvertently omitted from the Section 302 Certifications attached to the Original Filing.
Except as described as above, no changes have been made to the Original Filing. The Original Filing continues to speak as of the date of the Original Filing,
and the Company has not updated the disclosures contained therein to reflect any events that have occurred as of a date subsequent to the date of the Original Filing. Accordingly, this Amendment should be read in conjunction with the Original
Filing and the Companys filings made with the SEC subsequent to the filing of the Original Filing. The filing of this Amendment is not an admission that the Original Filing, when filed, included any untrue statement of a material fact or
omitted to state a material fact necessary to make a statement not misleading.
PART IV
Item 15.
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Exhibits, Financial Statement Schedules
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The following documents are filed as exhibits to this
Amendment:
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) 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.
Date: May 1, 2018
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INTELLIA THERAPEUTICS, INC.
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By:
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/s/ John M. Leonard
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John M. Leonard, M.D.
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President and Chief Executive Officer
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(Principal Executive Officer)
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Intellia Therapeutics (NASDAQ:NTLA)
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