LONA 10-Q/A
LeonaBio, Inc. (LONA)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM
(Amendment No. 1)
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the quarterly period ended
OR
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from ____ to ____
Commission File Number:
(Exact name of registrant as specified in its charter)
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(I.R.S. Employer |
(Address of principal executive offices)
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(Registrant’s telephone number, including area code)
Securities registered pursuant to Section 12(b) of the Act:
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(The Nasdaq Global Select Market) |
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.
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit such files).
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:
Large accelerated filer |
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Accelerated filer |
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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
As of July 29, 2024, there were
EXPLANATORY NOTE
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Item 6. Exhibits.
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Incorporated by Reference |
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Exhibit Number |
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Description |
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3.1 |
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Amended and Restated Certificate of Incorporation of the Company |
10-Q |
001-39503 |
3.1 |
November 12, 2020 |
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3.2 |
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8-K |
001-39503 |
3.1 |
May 29, 2024 |
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3.3 |
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8-K |
001-39503 |
3.1 |
November 18, 2022 |
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10.1†* |
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Employment Offer Letter between the Registrant and Javier San Martin |
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10.2†* |
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Change in Control and Severance Agreement between the Registrant and Javier San Martin |
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31.1** |
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31.2** |
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31.3† |
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31.4† |
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32.1*** |
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32.2*** |
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101.INS** |
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Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File as its XBRL tags are embedded within the Inline XBRL document |
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101.SCH** |
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Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents |
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104† |
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Cover Page Interactive Data File (formatted in Inline XBRL and included in Exhibit 101) |
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† Filed herewith.
* Indicates a management contract or compensatory plan.
** Previously filed with the Company’s Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2024, as filed with the SEC on August 1, 2024.
*** Previously furnished with the Company’s Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2024, as filed with the SEC on August 1, 2024. The certifications filed as Exhibits 32.1 and 32.2 are not deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 and are not to be incorporated by reference into any filing of the Company under the Securities Exchange Act of 1933 or the Securities Exchange Act of 1934, whether made before or after the date thereof irrespective of any general incorporation by reference language contained in any such filing, except to the extent that the registrant specifically incorporates it by reference.
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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.
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Athira Pharma, Inc. |
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Date: August 9, 2024 |
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By: |
/s/ Mark Litton |
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Mark Litton |
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President and Chief Executive Officer (Principal Executive Officer) |
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Date: August 9, 2024 |
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By: |
/s/ Andrew Gengos |
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Andrew Gengos |
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Chief Financial Officer and Chief Business Officer (Principal Financial and Accounting Officer) |
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