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ATHERSYS, INC 8-K 2007

Documents found in this filing:

  1. 8-K/A
  2. Ex-10.35
  3. Graphic
  4. Graphic
  5. Graphic
Athersys, Inc. 8-K/A
Table of Contents

 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
 
FORM 8-K/A
(Amendment No. 2)
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of report (Date of earliest event reported): June 8, 2007
Athersys, Inc.
(Exact Name of Registrant as Specified in Charter)
         
Delaware   0-52108   20-4864095
         
(State or Other   (Commission File   (I.R.S. Employer
Jurisdiction   Number)   Identification No.)
of Incorporation)        
         
3201 Carnegie Avenue, Cleveland, Ohio       44115-2634
         
(Address of Principal Executive Offices)       (Zip Code)
Registrant’s telephone number, including area code: (216) 431-9900
(Former Name or Former Address, if Changed Since Last Report)
     Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 

 


TABLE OF CONTENTS

Item 9.01. Financial Statements and Exhibits
SIGNATURES
EXHIBIT INDEX
EX-10.35


Table of Contents

Explanatory Note
Athersys, Inc. is filing this Amendment No. 2 to its Current Report on Form 8-K, which was originally filed with the Securities and Exchange Commission on June 14, 2007, to amend and restate in its entirety Item 9.01 in response to comments from the Staff at the Securities and Exchange Commission. The remainder of the information contained in the original Form 8-K filing is not hereby amended and this amendment does not reflect events occurring after the filing of the original Form 8-K.
On June 8, 2007, Athersys, Inc., a Delaware corporation, merged with a wholly owned subsidiary of BTHC VI, Inc., a Delaware corporation. On August 31, 2007, Athersys, Inc. changed its name to ABT Holding Company, and BTHC VI, Inc. changed its name to Athersys, Inc. In this Amendment No. 2 to Current Report on Form 8-K/A, unless otherwise indicated or the context otherwise requires, all references to Athersys, Inc. and BTHC VI, Inc. are references to Athersys, Inc. and BTHC VI, Inc., respectively, prior to the merger and the name changes.
Item 9.01. Financial Statements and Exhibits.
  (a)   Financial Statements of Businesses Acquired.
    In accordance with Item 9.01(a), Athersys’ audited financial statements for the fiscal years ended December 31, 2006, 2005 and 2004 are filed with this Current Report.
  (b)   Pro Forma Financial Information.
    In accordance with Item 9.01(b), filed herewith is the pro forma consolidated financial statements of Athersys and BTHC VI for the requisite periods.
  (d)   Exhibits.
     
Exhibit No.   Description
 
   
2.1 †
  Agreement and Plan of Merger, dated as of May 24, 2007, by and among Athersys, Inc., BTHC VI, Inc. and B-VI Acquisition Corp. (incorporated herein by reference to Exhibit 10.1 to Registrant’s Current Report on Form 8-K (Commission No. 000-52108) filed with the SEC on May 24, 2007)
 
   
2.2 †
  First Amendment to Agreement and Plan of Merger, dated as of June 8, 2007, by and among Athersys, Inc., BTHC VI, Inc. and B-VI Acquisition Corp.
 
   
3.1 †
  Certificate of Incorporation of BTHC VI, Inc., last amended June 1, 2007
 
   
3.2 †
  Bylaws of BTHC VI, Inc., dated as of June 8, 2007
 
   
4.1 †
  Form of Investor Warrant
 
   
4.2 †
  Form of Lead Investor Warrant
 
   
4.3 †
  Form of Placement Agent Warrant
 
   
4.4 †
  Form of Lender Warrant
 
   
10.1 *†
  Research Collaboration and License Agreement, dated as of December 8, 2000, by and between Athersys, Inc. and Bristol-Myers Squibb Company

2


Table of Contents

     
Exhibit No.   Description
 
   
10.2 *†
  Cell Line Collaboration and License Agreement, dated as of July 1, 2002, by and between Athersys, Inc. and Bristol-Myers Squibb Company
 
   
10.3 *†
  Extended Collaboration and License Agreement, dated as of January 1, 2006, by and between Athersys, Inc. and Bristol-Myers Squibb Company
 
   
10.4 †
  License Agreement, effective as of May 5, 2006, by and between Athersys, Inc. and Angiotech Pharmaceuticals, Inc.
 
   
10.5 †
  Sublicense Agreement, effective as of May 5, 2006, by and between Athersys, Inc. and Angiotech Pharmaceuticals, Inc.
 
   
10.6 †
  Amended and Restated Registration Rights Agreement, dated as of April 28, 2000, by and among Athersys, Inc. and the stockholders of Athersys, Inc. parties thereto
 
   
10.7 †
  Amendment No. 1 to Athersys, Inc. Amended and Restated Registration Rights Agreement, dated as of January 29, 2002, by and among Athersys, Inc., the New Stockholders, the Investors, Biotech and the Stockholders (each as defined in the Amended and Restated Registration Rights Agreement, dated as April 28, 2000, by and among Athersys, Inc. and the stockholders of Athersys, Inc. parties thereto)
 
   
10.8 †
  Amendment No. 2 to Athersys, Inc. Amended and Restated Registration Rights Agreement, dated as of November 19, 2002, by and among Athersys, Inc., the New Stockholders, the Investors, Biotech and the Stockholders (each as defined in the Amended and Restated Registration Rights Agreement, dated as April 28, 2000, as amended, by and among Athersys, Inc. and the stockholders of Athersys, Inc. parties thereto)
 
   
10.9 †
  Amendment No. 3 to Amended and Restated Registration Rights Agreement, dated as of May 15, 2007, by and among Athersys, Inc. and the Existing Stockholders (as defined therein)
 
   
10.10 †
  BTHC VI, Inc. Long-Term Incentive Plan
 
   
10.11 †
  BTHC VI, Inc. Equity Incentive Compensation Plan
 
   
10.12 †
  Loan and Security Agreement, and Supplement, dated as of November 2, 2004, by and among Athersys, Inc., Advanced Biotherapeutics, Inc., Venture Lending & Leasing IV, Inc., and Costella Kirsch IV, L.P.
 
   
10.13 †
  Amendment to Loan and Security Agreement, dated as of September 29, 2006, by and among Athersys, Inc., Advanced Biotherapeutics, Inc., Venture Lending & Leasing IV, Inc., and Costella Kirsch IV, L.P.
 
   
10.14 †
  Amended and Restated Employment Agreement, dated as of December 1, 1998 but effective as of April 1, 1998, by and between Athersys, Inc. and Dr. Gil Van Bokkelen
 
   
10.15 †
  Amendment No. 1 to Amended and Restated Employment Agreement, dated as of May 31, 2007, by and between Advanced Biotherapeutics, Inc. and Gil Van Bokkelen
 
   
10.16 †
  Non-Competition and Confidentiality Agreement, dated as of December 1, 1998, by and between Athersys, Inc. and Dr. Gil Van Bokkelen

3


Table of Contents

     
Exhibit No.   Description
 
   
10.17 †
  Amended and Restated Employment Agreement, dated as of December 1, 1998 but effective as of April 1, 1998, by and between Athersys, Inc. and Dr. John J. Harrington
 
   
10.18 †
  Amendment No. 1 to Amended and Restated Employment Agreement, dated as of May 31, 2007, by and between Advanced Biotherapeutics, Inc. and John Harrington
 
   
10.19 †
  Non-Competition and Confidentiality Agreement, dated as of December 1, 1998, by and between Athersys, Inc. and Dr. John J. Harrington
 
   
10.20 †
  Employment Agreement, dated as of May 22, 1998, by and between Athersys, Inc. and Laura K. Campbell
 
   
10.21 †
  Amendment No. 1 to Employment Agreement, dated as of May 31, 2007, by and between Advanced Biotherapeutics, Inc. and Laura Campbell
 
   
10.22 †
  Employment Agreement, dated as of September 25, 2000, by and between Advanced Biotherapeutics, Inc. and Kurt Brunden
 
   
10.23 †
  Amendment No. 1 to Employment Agreement, dated as of May 31, 2007, by and between Advanced Biotherapeutics, Inc. and Kurt Brunden
 
   
10.24 †
  Non-Competition and Confidentiality Agreement, dated as of September 25, 2000, by and among Athersys, Inc., Advanced Biotherapeutics, Inc. and Kurt Brunden
 
   
10.25 †
  Employment Agreement, dated as of October 3, 2003, by and between Advanced Biotherapeutics, Inc. and Robert Deans, Ph.D.
 
   
10.26 †
  Amendment No. 1 to Employment Agreement, dated as of May 31, 2007, by and between Advanced Biotherapeutics, Inc. and Robert Deans
 
   
10.27 †
  Non-Competition and Confidentiality Agreement, dated as of October 3, 2003, by and among Athersys, Inc., Advanced Biotherapeutics, Inc. and Robert Deans
 
   
10.28 †
  Employment Agreement, dated as of January 1, 2004, by and between Advanced Biotherapeutics, Inc. and William Lehmann
 
   
10.29 †
  Amendment No. 1 to Employment Agreement, dated as of May 31, 2007, by and between Advanced Biotherapeutics, Inc. and William Lehmann
 
   
10.30 †
  Non-Competition and Confidentiality Agreement, dated as of September 10, 2001, by and among Athersys, Inc., Advanced Biotherapeutics, Inc. and William Lehmann
 
   
10.31 †
  Form Incentive Agreement by and between Advanced Biotherapeutics, Inc. and named executive officers, and acknowledged by Athersys, Inc. and ReGenesys, LLC
 
   
10.32 †
  Form Amendment No. 1 to Incentive Agreement by and between Advanced Biotherapeutics, Inc. and named executive officers, and acknowledged by Athersys, Inc. and ReGenesys, LLC
 
   
10.33 †
  Securities Purchase Agreement, dated as of June 8, 2007, by and among Athersys, BTHC VI, Inc. and Investors (as defined therein)
 
   
10.34 *†
  Exclusive License Agreement, dated as of May 17, 2002, by and between Regents of the University of Minnesota and MCL LLC, assumed by ReGenesys, LLC through operation of merger on November 4, 2003

4


Table of Contents

     
Exhibit No.   Description
 
   
10.35 *
  Strategic Alliance Agreement, by and between Athersys, Inc. and Angiotech Pharmaceuticals, Inc., dated as of May 5, 2006
 
   
10.36 †
  Amendment No. 1 to Cell Line Collaboration and License Agreement, dated as of January 1, 2006, by and between Athersys, Inc. and Bristol-Myers Squibb Company
 
   
16.1 †
  Letter from S. W. Hatfield, CPA, dated June 11, 2007
 
   
21.1 †
  List of Subsidiaries
 
   
99.1 †
  Consolidated Audited Financial Statements of Athersys, Inc.
 
   
99.2 †
  Unaudited Financial Statements of Athersys, Inc.
 
   
99.3 †
  Pro Forma Consolidated Financial Statements of Athersys, Inc. and BTHC VI
 
*   Confidential treatment has been requested for the redacted portions of this exhibit, and such confidential portions have been omitted and filed separately with the Securities and Exchange Commission.
 
  Previously filed.

5


Table of Contents

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 hereunto duly authorized.
Date: October 9, 2007
         
  ATHERSYS, INC.
 
 
  By:   /s/  Laura K. Campbell  
    Name:   Laura K. Campbell   
    Title:   Vice President of Finance   

 


Table of Contents

         
EXHIBIT INDEX
     
Exhibit No.   Description
 
   
2.1 †
  Agreement and Plan of Merger, dated as of May 24, 2007, by and among Athersys, Inc., BTHC VI, Inc. and B-VI Acquisition Corp. (incorporated herein by reference to Exhibit 10.1 to Registrant’s Current Report on Form 8-K (Commission No. 000-52108) filed with the SEC on May 24, 2007)
 
   
2.2 †
  First Amendment to Agreement and Plan of Merger, dated as of June 8, 2007, by and among Athersys, Inc., BTHC VI, Inc. and B-VI Acquisition Corp.
 
   
3.1 †
  Certificate of Incorporation of BTHC VI, Inc., last amended June 1, 2007
 
   
3.2 †
  Bylaws of BTHC VI, Inc., dated as of June 8, 2007
 
   
4.1 †
  Form of Investor Warrant
 
   
4.2 †
  Form of Lead Investor Warrant
 
   
4.3 †
  Form of Placement Agent Warrant
 
   
4.4 †
  Form of Lender Warrant
 
   
10.1 *†
  Research Collaboration and License Agreement, dated as of December 8, 2000, by and between Athersys, Inc. and Bristol-Myers Squibb Company
 
   
10.2 *†
  Cell Line Collaboration and License Agreement, dated as of July 1, 2002, by and between Athersys, Inc. and Bristol-Myers Squibb Company
 
   
10.3 *†
  Extended Collaboration and License Agreement, dated as of January 1, 2006, by and between Athersys, Inc. and Bristol-Myers Squibb Company
 
   
10.4 †
  License Agreement, effective as of May 5, 2006, by and between Athersys, Inc. and Angiotech Pharmaceuticals, Inc.
 
   
10.5 †
  Sublicense Agreement, effective as of May 5, 2006, by and between Athersys, Inc. and Angiotech Pharmaceuticals, Inc.
 
   
10.6 †
  Amended and Restated Registration Rights Agreement, dated as of April 28, 2000, by and among Athersys, Inc. and the stockholders of Athersys, Inc. parties thereto
 
   
10.7 †
  Amendment No. 1 to Athersys, Inc. Amended and Restated Registration Rights Agreement, dated as of January 29, 2002, by and among Athersys, Inc., the New Stockholders, the Investors, Biotech and the Stockholders (each as defined in the Amended and Restated Registration Rights Agreement, dated as April 28, 2000, by and among Athersys, Inc. and the stockholders of Athersys, Inc. parties thereto)
 
   
10.8 †
  Amendment No. 2 to Athersys, Inc. Amended and Restated Registration Rights Agreement, dated as of November 19, 2002, by and among Athersys, Inc., the New Stockholders, the Investors, Biotech and the Stockholders (each as defined in the Amended and Restated Registration Rights Agreement, dated as April 28, 2000, as amended, by and among Athersys, Inc. and the stockholders of Athersys, Inc. parties thereto)
 
   
10.9 †
  Amendment No. 3 to Amended and Restated Registration Rights Agreement, dated as of May 15, 2007, by and among Athersys, Inc. and the Existing Stockholders (as defined therein)
 
   
10.10 †
  BTHC VI, Inc. Long-Term Incentive Plan

 


Table of Contents

     
Exhibit No.   Description
 
   
10.11 †
  BTHC VI, Inc. Equity Incentive Compensation Plan
 
   
10.12 †
  Loan and Security Agreement, and Supplement, dated as of November 2, 2004, by and among Athersys, Inc., Advanced Biotherapeutics, Inc., Venture Lending & Leasing IV, Inc., and Costella Kirsch IV, L.P.
 
   
10.13 †
  Amendment to Loan and Security Agreement, dated as of September 29, 2006, by and among Athersys, Inc., Advanced Biotherapeutics, Inc., Venture Lending & Leasing IV, Inc., and Costella Kirsch IV, L.P.
 
   
10.14 †
  Amended and Restated Employment Agreement, dated as of December 1, 1998 but effective as of April 1, 1998, by and between Athersys, Inc. and Dr. Gil Van Bokkelen
 
   
10.15 †
  Amendment No. 1 to Amended and Restated Employment Agreement, dated as of May 31, 2007, by and between Advanced Biotherapeutics, Inc. and Gil Van Bokkelen
 
   
10.16 †
  Non-Competition and Confidentiality Agreement, dated as of December 1, 1998, by and between Athersys, Inc. and Dr. Gil Van Bokkelen
10.17 †
  Amended and Restated Employment Agreement, dated as of December 1, 1998 but effective as of April 1, 1998, by and between Athersys, Inc. and Dr. John J. Harrington
 
   
10.18 †
  Amendment No. 1 to Amended and Restated Employment Agreement, dated as of May 31, 2007, by and between Advanced Biotherapeutics, Inc. and John Harrington
 
   
10.19 †
  Non-Competition and Confidentiality Agreement, dated as of December 1, 1998, by and between Athersys, Inc. and Dr. John J. Harrington
10.20 †
  Employment Agreement, dated as of May 22, 1998, by and between Athersys, Inc. and Laura K. Campbell
 
   
10.21 †
  Amendment No. 1 to Employment Agreement, dated as of May 31, 2007, by and between Advanced Biotherapeutics, Inc. and Laura Campbell
 
   
10.22 †
  Employment Agreement, dated as of September 25, 2000, by and between Advanced Biotherapeutics, Inc. and Kurt Brunden
 
   
10.23 †
  Amendment No. 1 to Employment Agreement, dated as of May 31, 2007, by and between Advanced Biotherapeutics, Inc. and Kurt Brunden
 
   
10.24 †
  Non-Competition and Confidentiality Agreement, dated as of September 25, 2000, by and among Athersys, Inc., Advanced Biotherapeutics, Inc. and Kurt Brunden
 
   
10.25 †
  Employment Agreement, dated as of October 3, 2003, by and between Advanced Biotherapeutics, Inc. and Robert Deans, Ph.D.
 
   
10.26 †
  Amendment No. 1 to Employment Agreement, dated as of May 31, 2007, by and between Advanced Biotherapeutics, Inc. and Robert Deans
 
   
10.27 †
  Non-Competition and Confidentiality Agreement, dated as of October 3, 2003, by and among Athersys, Inc., Advanced Biotherapeutics, Inc. and Robert Deans

 


Table of Contents

     
Exhibit No.   Description
 
   
10.28 †
  Employment Agreement, dated as of January 1, 2004, by and between Advanced Biotherapeutics, Inc. and William Lehmann
 
   
10.29 †
  Amendment No. 1 to Employment Agreement, dated as of May 31, 2007, by and between Advanced Biotherapeutics, Inc. and William Lehmann
 
   
10.30 †
  Non-Competition and Confidentiality Agreement, dated as of September 10, 2001, by and among Athersys, Inc., Advanced Biotherapeutics, Inc. and William Lehmann
 
   
10.31 †
  Form Incentive Agreement by and between Advanced Biotherapeutics, Inc. and named executive officers, and acknowledged by Athersys, Inc. and ReGenesys, LLC
 
   
10.32 †
  Form Amendment No. 1 to Incentive Agreement by and between Advanced Biotherapeutics, Inc. and named executive officers, and acknowledged by Athersys, Inc. and ReGenesys, LLC
 
   
10.33 †
  Securities Purchase Agreement, dated as of June 8, 2007, by and among Athersys, BTHC VI, Inc. and Investors (as defined therein)
 
   
10.34 *†
  Exclusive License Agreement, dated as of May 17, 2002, by and between Regents of the University of Minnesota and MCL LLC, assumed by ReGenesys, LLC through operation of merger on November 4, 2003
 
   
10.35 *
  Strategic Alliance Agreement, by and between Athersys, Inc. and Angiotech Pharmaceuticals, Inc., dated as of May 5, 2006
 
   
10.36 †
  Amendment No. 1 to Cell Line Collaboration and License Agreement, dated as of January 1, 2006, by and between Athersys, Inc. and Bristol-Myers Squibb Company
 
   
16.1 †
  Letter from S. W. Hatfield, CPA, dated June 11, 2007
 
   
21.1 †
  List of Subsidiaries
 
   
99.1 †
  Consolidated Audited Financial Statements of Athersys, Inc.
 
   
99.2 †
  Unaudited Financial Statements of Athersys, Inc.
 
   
99.3 †
  Pro Forma Consolidated Financial Statements of Athersys, Inc. and BTHC VI
 
*   Confidential treatment has been requested for the redacted portions of this exhibit, and such confidential portions have been omitted and filed separately with the Securities and Exchange Commission.
 
  Previously filed.

 

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