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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Pathfinder Cell Therapy, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| March 30, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| March 29, 2016 |
Pathfinder Cell Therapy POS AM As filed with the Securities and Exchange Commission on March 29, 2016 Registration No. |
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| March 29, 2016 |
Pathfinder Cell Therapy CURRENT REPORT (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 29, 2016 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 29, 2016 |
Pathfinder Cell Therapy POST-EFFECTIVE AMENDMENT TO S-8 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on March 29, 2016 Registration No: 333-03895 333-95129 333-95127 333-91386 333-134608 SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 29, 2016 |
Pathfinder Cell Therapy POST-EFFECTIVE AMENDMENT TO S-8 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on March 29, 2016 Registration No: 333-03895 333-95129 333-95127 333-91386 333-134608 SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 29, 2016 |
Pathfinder Cell Therapy POST-EFFECTIVE AMENDMENT TO S-8 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on March 29, 2016 Registration No: 333-03895 333-95129 333-95127 333-91386 333-134608 SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 29, 2016 |
Pathfinder Cell Therapy POST-EFFECTIVE AMENDMENT TO S-8 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on March 29, 2016 Registration No: 333-03895 333-95129 333-95127 333-91386 333-134608 SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 29, 2016 |
Pathfinder Cell Therapy POST-EFFECTIVE AMENDMENT TO S-8 REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on March 29, 2016 Registration No: 333-03895 333-95129 333-95127 333-91386 333-134608 SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 16, 2016 |
Pathfinder Cell Therapy AMENDED REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on March 16, 2016 Registration No. |
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| March 16, 2016 |
Pathfinder Cell Therapy REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on March 16, 2016 Registration No. |
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| December 4, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 2, 2015 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) |
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| November 13, 2015 |
Pathfinder Cell Therapy QUARTERLY REPORT (Quarterly Report) SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| November 13, 2015 |
EXHIBIT 10.1 CONVERTIBLE PROMISSORY NOTE $ Cambridge, Massachusetts Date: For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the ? Borrower ?), hereby unconditionally promises to pay to the order of (the ? Payee ?), the principal sum of $ and 00/100 Dollars ($ ), together with interest to maturity (whether by lapse of time, acceleration or otherwise) on the |
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| November 4, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 3, 2015 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commis |
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| October 7, 2015 |
Pathfinder Cell Therapy CURRENT REPORT (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 6, 2015 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commiss |
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| September 1, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 28, 2015 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) ( |
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| August 18, 2015 |
Pathfinder Cell Therapy CURRENT REPORT (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 17, 2015 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) ( |
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| August 13, 2015 |
EXHIBIT 10.1 CONVERTIBLE PROMISSORY NOTE $ Cambridge, Massachusetts Date: For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the ? Borrower ?), hereby unconditionally promises to pay to the order of (the ? Payee ?), the principal sum of $ and 00/100 Dollars ($ ), together with interest to maturity (whether by lapse of time, acceleration or otherwise) on the |
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| August 13, 2015 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR o 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| July 20, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 16, 2015 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IR |
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| June 9, 2015 |
Pathfinder Cell Therapy CURRENT REPORT (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 5, 2015 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS |
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| May 15, 2015 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR o 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| May 15, 2015 |
Exhibit 10.1 CONVERTIBLE PROMISSORY NOTE $ Cambridge, Massachusetts Date: For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the ? Borrower ?), hereby unconditionally promises to pay to the order of (the ? Payee ?), the principal sum of $ and 00/100 Dollars ($ ), together with interest to maturity (whether by lapse of time, acceleration or otherwise) on the |
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| March 31, 2015 |
Compensation Arrangement Dr. Richard Franklin Exhibit 10.5(a) Compensation Arrangement Dr. Richard Franklin Effective March 1, 2015, the annual compensation to which Dr. Richard Franklin is entitled under his consulting agreement with Pathfinder Cell Therapy, Inc. has been reduced to $60,000. |
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| March 31, 2015 |
Compensation Arrangement Mr. John Benson Exhibit 10.20(a) Compensation Arrangement Mr. John Benson Effective March 1, 2015, the annual salary to which Mr. John Benson is entitled under his employment agreement with Pathfinder Cell Therapy, Inc. has been reduced to $73,000. |
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| March 31, 2015 |
Exhibit 10.19 CONVERTIBLE PROMISSORY NOTE $ Cambridge, Massachusetts Date: For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the ? Borrower ?), hereby unconditionally promises to pay to the order of (the ? Payee ?), the principal sum of $ and 00/100 Dollars ($ ), together with interest to maturity (whether by lapse of time, acceleration or otherwise) on th |
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| March 31, 2015 |
EX-10.12(B) 3 f10k2014ex10xiibpathfinder.htm EXTENSION NO. 3 TO RESEARCH AGREEMENT Exhibit 10.12(b) Pathfinder, LLC 12 Bow Street Cambridge MA 02138 USA STRICTLY PRIVATE AND CONFIDENTIAL 28 March 2013 Dear Sirs Research Agreement — Extension No. 3 We refer to our recent discussions regarding the research agreement between The University Court of the University of Glasgow (the University) and Pathf |
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| March 31, 2015 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| March 6, 2015 |
Pathfinder Cell Therapy CURRENT REPORT (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 5, 2015 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commissio |
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| February 3, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 2, 2015 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commis |
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| December 31, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 30, 2014 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) |
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| December 2, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 28, 2014 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commi |
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| November 14, 2014 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 OR o 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| November 14, 2014 |
EX-10.1 2 f10q0914ex10ipathfinder.htm FORM OF PROMISSORY NOTES Exhibit 10.1 CONVERTIBLE PROMISSORY NOTE $ Cambridge, Massachusetts Date: For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the “ Borrower ”), hereby unconditionally promises to pay to the order of (the “ Payee ”), the principal sum of $ and 00/100 Dollars ($ ), together with interest to maturi |
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| October 28, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 24, 2014 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) |
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| September 26, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 25, 2014 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdictionof Incorporation) (Commi |
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| August 26, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 21, 2014 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) ( |
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| August 14, 2014 |
EX-10.1 2 f10q0614ex10ipathfinder.htm CONVERTIBLE PROMISSORY NOTE Exhibit 10.1 CONVERTIBLE PROMISSORY NOTE $ Cambridge, Massachusetts Date: For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the “ Borrower ”), hereby unconditionally promises to pay to the order of (the “ Payee ”), the principal sum of $ and 00/100 Dollars ($ ), together with interest to mat |
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| August 14, 2014 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 OR o 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| August 6, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 5, 2014 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commissi |
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| June 30, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 26, 2014 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IR |
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| June 9, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 5, 2014 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS |
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| May 29, 2014 |
8-K 1 f8k052814pathfindercell.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 28, 2014 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or |
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| May 27, 2014 |
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 3) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2012 or o 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: 0-20580 Pathfinder |
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| May 15, 2014 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 OR o 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| April 30, 2014 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 or o 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: 0-20580 Pathfinder |
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| April 30, 2014 |
EX-10.12 2 f10k2013a1ex10xiipathfinder.htm FORM OF PROMISSORY NOTES Exhibit 10.12 CONVERTIBLE PROMISSORY NOTE $ Cambridge, Massachusetts Date: For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the “Borrower”), hereby unconditionally promises to pay to the order of (the “ Payee ”), the principal sum of $ and 00/100 Dollars ($ ), together with interest to ma |
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| April 25, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 24, 2014 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 31, 2014 |
Exhibit 10.19 CONVERTIBLE PROMISSORY NOTE $ Cambridge, Massachusetts Date: For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the ?Borrower?), hereby unconditionally promises to pay to the order of (the ? Payee ?), the principal sum of $ and 00/100 Dollars ($ ), together with interest to maturity (whether by lapse of time, acceleration or otherwise) on the |
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| March 31, 2014 |
f10k2013pathfindercell.htm SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 or o 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: 0-20580 Pat |
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| March 31, 2014 |
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 2) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2012 or o 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: 0-20580 Pathfinder |
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| March 28, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 25, 2014 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commissi |
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| February 24, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported)February 24, 2014 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Incorporation) (Commissi |
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| January 27, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 21, 2014 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) |
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| December 23, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 20, 2013 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commi |
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| December 13, 2013 |
Pathfinder Cell Therapy, Inc. 12 Bow Street Cambridge, Massachusetts 02138 December 13, 2013 Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-3628 Attention: Kevin L. Vaughn, Accounting Branch Chief Jay Webb Tara Harkins Re: Pathfinder Cell Therapy, Inc. Form 10-K for the Fiscal Year Ended December 31, 2012 Filed April 1, 2013 File No. 00 |
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| November 26, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 22, 2013 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) |
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| November 14, 2013 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 OR o 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| November 14, 2013 |
EX-10.1 2 f10q0913ex10ipathfinder.htm FORM OF PROMISSORY NOTES ISSUED BY REGISTRANT IN FAVOR OF INVESTORS DURING 2012 AND 2013 AGGREGATING $3,475,000 IN PRINCIPAL AMOUNT THROUGH OCTOBER 31, 2013, INCLUDING SCHEDULE OF INVESTORS. Exhibit 10.1 CONVERTIBLE PROMISSORY NOTE $ Cambridge, Massachusetts Date: For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the “ |
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| October 25, 2013 |
CORRESP 1 filename1.htm Pathfinder Cell Therapy, Inc. 12 Bow Street Cambridge, Massachusetts 02138 Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-3628 Attention: Kevin L. Vaughn, Accounting Branch Chief Jay Webb Tara Harkins Re: Pathfinder Cell Therapy, Inc. Form 10-K for the Fiscal Year Ended December 31, 2012 Filed April 1, 2013 File |
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| October 24, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 22, 2013 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) |
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| October 22, 2013 |
Pathfinder Cell Therapy, Inc. 12 Bow Street Cambridge, Massachusetts 02138 Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-3628 Attention: Kevin L. Vaughn, Accounting Branch Chief Jay Webb Tara Harkins Re: Pathfinder Cell Therapy, Inc. Form 10-K for the Fiscal Year Ended December 31, 2012 Filed April 1, 2013 File No. 000-20580 Ladies and |
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| September 30, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 26, 2013 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number |
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| August 23, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 22, 2013 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commiss |
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| August 14, 2013 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2013 OR o 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| August 14, 2013 |
EX-10.1 2 f10q0613ex10ipathfinder.htm FORM OF PROMISSORY NOTES ISSUED BY REGISTRANT IN FAVOR OF INVESTORS DURING 2012 AND 2013 AGGREGATING $3,1400,000 IN PRINCIPAL AMOUNT THROUGH JULY 31, 2013, INCLUDING SCHEDULE OF INVESTORS. Exhibit 10.1 CONVERTIBLE PROMISSORY NOTE $ Cambridge, Massachusetts Date: For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the “ B |
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| July 29, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 24, 2013 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IR |
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| July 1, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 26, 2013 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commissio |
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| May 29, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 28, 2013 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 15, 2013 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2013 OR o 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| May 15, 2013 |
EX-10.1 2 f10q0313ex10ipathfindercell.htm CONVERTIBLE PROMISSORY NOTE Exhibit 10.1 CONVERTIBLE PROMISSORY NOTE $ Cambridge, Massachusetts Date: For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the “Borrower”), hereby unconditionally promises to pay to the order of (the “Payee”), the principal sum of $ and 00/100 Dollars ($), together with interest to matu |
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| April 30, 2013 |
[ University of Glasgow letterhead ] Exhibit 10.15b [ University of Glasgow letterhead ] Pathfinder, LLC 12 Bow Street Cambridge MA 02138 USA 28 March 2013 STRICTLY PRIVATE AND CONFIDENTIAL Dear Sirs Research Agreement ? Extension No. 3 We refer to our recent discussions regarding the research agreement between The University Court of the University of Glasgow (the University) and Pathfinder, LLC (now a wholly owned subsidiary of Pat |
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| April 30, 2013 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2012 or o 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: 0-20580 Pathfinder |
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| April 30, 2013 |
Exhibit 10.22 CONVERTIBLE PROMISSORY NOTE $ Cambridge, Massachusetts Date: For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the ?Borrower?), hereby unconditionally promises to pay to the order of (the ?Payee?), the principal sum of $ and 00/100 Dollars ($), together with interest to maturity (whether by lapse of time, acceleration or otherwise) on the bal |
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| April 4, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 2, 2013 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commissio |
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| April 1, 2013 |
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2012 or o 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| April 1, 2013 |
CONVERTIBLE PROMISSORY NOTE $__________ Cambridge, Massachusetts Date: ___________ EX-10.19 2 f10k2012ex10xixpathfinder.htm SCHEDULE OF PROMISSORY NOTES Exhibit10.19 CONVERTIBLE PROMISSORY NOTE $ Cambridge, Massachusetts Date: For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the “Borrower”), hereby unconditionally promises to pay to the order of (the “Payee”), the principal sum of $ and 00/100 Dollars ($), together with interest to matu |
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| March 7, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 4, 2013 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of ncorporation) (Commission |
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| January 31, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 28, 2013 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commis |
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| January 15, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 9, 2013 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commiss |
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| December 28, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 21, 2012 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commi |
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| December 7, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 4, 2012 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commiss |
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| November 26, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 20, 2012 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) |
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| November 14, 2012 |
CONVERTIBLE PROMISSORY NOTE #8 Exhibit 10.1 CONVERTIBLE PROMISSORY NOTE #8 $100,000.00 Cambridge, Massachusetts Date: August 17, 2012 For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the ? Borrower ?), hereby unconditionally promises to pay to the order of Breisgau Bio Ventures SA (the ? Payee ?), the principal sum of $100,000 and 00/100 Dollars ($100,000.00 ), together with interest t |
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| November 14, 2012 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2012 OR o 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| October 29, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 23, 2012 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commis |
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| October 4, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 1, 2012 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commiss |
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| August 22, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 17, 2012 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commiss |
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| August 14, 2012 |
CONVERTIBLE PROMISSORY NOTE #5 $270,000.00 Cambridge, Massachusetts Date: May 25, 2012 EX-10.1 2 f10q0612ex10i.htm PROMISSORY NOTE ISSUED BY REGISTRANT IN FAVOR OF SKYE ASSET MANAGEMENT SA Exhibit 10.1 CONVERTIBLE PROMISSORY NOTE #5 $270,000.00 Cambridge, Massachusetts Date: May 25, 2012 For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the “Borrower”), hereby unconditionally promises to pay to the order of Skye Asset Management SA (the “Pay |
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| August 14, 2012 |
CONVERTIBLE PROMISSORY NOTE #6 $225,000.00 Cambridge, Massachusetts Date: June 20, 2012 EX-10.2 3 f10q0612ex10ii.htm PROMISSORY NOTES ISSUED BY REGISTRANT IN FAVOR OF VENTURA, INC. Exhibit 10.2 CONVERTIBLE PROMISSORY NOTE #6 $225,000.00 Cambridge, Massachusetts Date: June 20, 2012 For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the “Borrower”), hereby unconditionally promises to pay to the order of Ventura, Inc. (the “Payee”), the principal |
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| August 14, 2012 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2012 OR o 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| July 31, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 27, 2012 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commissio |
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| June 20, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 20, 2012 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commissio |
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| June 1, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 25, 2012 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 15, 2012 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2012 OR o 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| April 30, 2012 |
[ University of Glasgow letterhead ] EX-10.15A 2 f10k2011a1ex1015apathfinder.htm RESEARCH AGREEMENT - EXTENSION NO. 2 Exhibit 10.15a [ University of Glasgow letterhead ] Pathfinder, LLC 12 Bow Street Cambridge MA 02138 USA 19 April 2012 STRICTLY PRIVATE AND CONFIDENTIAL Dear Sirs Research Agreement – Extension No. 2 We refer to our recent discussions regarding the research agreement between The University Court of the University of G |
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| April 30, 2012 |
CONVERTIBLE PROMISSORY NOTE #1 EX-10.22 3 f10k2011a1ex1022pathfinder.htm CONVERTIBLE PROMISSORY NOTE Exhibit 10.22 CONVERTIBLE PROMISSORY NOTE #1 $150,000.00 Cambridge, Massachusetts Date: February 1, 2012 For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the “Borrower”), hereby unconditionally promises to pay to the order of Falcon Corporate Investments Limited (the “Payee”), the princ |
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| April 30, 2012 |
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2011 or o 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: 0-20580 Pathfinder |
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| March 30, 2012 |
Compensation Arrangement with John Benson EX-10.24A 8 f10k2011ex10xxivapathfinder.htm COMPENSATION ARRANGEMENT WITH JOHN BENSON Exhibit 10.24(a) Compensation Arrangement with John Benson Effective January 1, 2012, the annual salary to which Mr. John Benson is entitled under his employment agreement with Pathfinder Cell Therapy, Inc. (the “Company”) has been set at $106,923.96, reflecting a 20% reduction in the salary to which he otherwise |
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| March 30, 2012 |
CONVERTIBLE PROMISSORY NOTE #3 EX-10.23 6 f10k2011ex10vxiiipathfinder.htm CONVERTIBLE PROMISSORY NOTE Exhibit 10.23 CONVERTIBLE PROMISSORY NOTE #3 $250,000.00 Cambridge, Massachusetts Date: March 15, 2012 For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the “Borrower”), hereby unconditionally promises to pay to the order of Skye Asset Management SA (the “Payee”), the principal sum of $ |
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| March 30, 2012 |
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2011 or o 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| March 30, 2012 |
CONVERTIBLE PROMISSORY NOTE #1 Exhibit 10.22 CONVERTIBLE PROMISSORY NOTE #1 $150,000.00 Cambridge, Massachusetts Date: February 1, 2012 For value received, the undersigned, Pathfinder Cell Therapy, Inc., a Delaware corporation (the “Borrower”), hereby unconditionally promises to pay to the order of Falcon Corporate Investments Limited (the “Payee”), the principal sum of $150,000 and 00/100 Dollars ($150,000.00), together with i |
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| March 30, 2012 |
RESEARCH AND LICENSE AGREEMENT Exhibit 10.2 RESEARCH AND LICENSE AGREEMENT Made in Jerusalem this 1st day of December 2011 (the ?Effective Date?), by and between: YISSUM RESEARCH DEVELOPMENT COMPANY OF THE HEBREW UNIVERSITY OF JERUSALEM, LTD., of Hi Tech Park, Edmond J. Safra Campus, Givat Ram, Jerusalem 91390, Israel (?Yissum?) of the one part; and PATHFINDER CELL THERAPY, INC., of 12 Bow Street, Cambridge, Massachusetts 02138 |
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| March 30, 2012 |
Exhibit 10.24 EMPLOYMENT AGREEMENT THIS AGREEMENT made in Iselin, New Jersey as of September 8, 2006, between SyntheMed, Inc., a Delaware corporation (the "Company") and John Benson the undersigned individual ("Executive"). In consideration of the mutual covenants and agreements hereinafter set forth, the Company and Executive agree as follows: 1. Agreement Term. The term of this Agreement shall b |
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| March 30, 2012 |
SYNTHEMED, INC. 2006 STOCK OPTION PLAN Exhibit 10.6 SYNTHEMED, INC. 2006 STOCK OPTION PLAN (As originally adopted by the Board of Directors on November 11, 2005 and approved by stockholders on April 25, 2006, and as subsequently amended by the Board of Directors on December 22, 2010 and approved by stockholders on August 25, 2011) The purpose of the SyntheMed, Inc. 2006 Stock Option Plan (the “Plan”) is to enhance the ability of Synthe |
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| March 30, 2012 |
EX-21 9 f10k2011ex21pathfinder.htm LIST OF SUBSIDIARIES Exhibit 21 List of Subsidiaries Set forth below is the name and jurisdiction of organization of each subsidiary of Pathfinder Cell Therapy, Inc.: Name Place of Organization Pathfinder, LLC Massachusetts |
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| March 30, 2012 |
Exhibit 3.2(a) Amendment to Bylaws of Pathfinder Cell Therapy, Inc. (Adopted by the Board of Directors on September 29, 2011) Section 3.10 of the Company?s Bylaws be, and hereby is, amended to include the italicized words below, such that the same shall read in its entirety as follows: Acting Without a Meeting. Any action required or permitted to be taken at any meeting of the Board of Directors o |
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| March 22, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 15, 2012 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commissi |
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| February 29, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 28, 2011 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction Identification No.) (Comm |
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| December 16, 2011 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULED 13d-2(a) UNDER THE SECURITIES ACT OF 1934 Pathfinder Cell Therapy, Inc. (Name of Issuer) Common Stock 70319A 10 6 (Title of class of securities) (CUSIP number) Richard L. Franklin c/o Pathfinder |
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| December 7, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 1, 2011 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) |
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| November 21, 2011 |
WARRANT TO PURCHASE COMMON STOCK [6,276,306] Shares of Common Stock PATHFINDER CELL THERAPY, INC. Broker Warrant No: A THIS WARRANT AND THE SHARES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), STATE SECURITIES LAWS IN THE UNITED STATES OR THE SECURITIES LAW OF ANY OTHER COUNTRY AND MAY NOT BE SOLD, TRANSFERRED, PLEDGED, HYPOTHECATED OR OTHERWISE DISPOSED OF UNLESS (A) SUCH TRANSACTION OCCURS OUTSIDE THE U |
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| November 21, 2011 |
This Note has not been registered under the Securities Act of 1933 or any other applicable securities laws, and thus may not be transferred unless registered under the Securities Act of 1933 and such other laws or unless an exemption from registration is available. |
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| November 21, 2011 |
EX-10.5 5 v241139ex10-5.htm SUBSCRIPTION AGREEMENT TO: SYNTHEMED, INC. AND TO: CLUBB CAPITAL LIMITED RE: SUBSCRIPTION FOR SHARES 1. Subscription The undersigned (the “Purchaser”) hereby irrevocably subscribes for on and subject to the terms and conditions set forth herein, from SyntheMed, Inc., a Delaware corporation (the “Corporation”), the number of shares of common stock, par value of $0.001 pe |
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| November 21, 2011 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2011 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: 0-20580 Pathfinder Cell Therapy, Inc. |
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| November 21, 2011 |
EX-10.6 6 v241139ex10-6.htm AGENCY AGREEMENT August 31, 2011 SyntheMed, Inc. 49 Copper Hill Park Ringwood, New Jersey 07456 United States Attention: Mr. Richard L. Franklin Executive Chairman Dear Sirs: Re: Offering of Shares Clubb Capital Limited (the “Agent”), understands that SyntheMed, Inc. (the “Corporation”), a Delaware corporation, proposes to issue to investors secured by the Agent, up to |
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| November 21, 2011 | ||
| November 21, 2011 | ||
| November 21, 2011 | ||
| November 15, 2011 |
OMB APPROVAL OMB Number: 3235-0058 Expires: April 30, 2012 Estimated average burden hours per response . |
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| September 9, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 2, 2011 Pathfinder Cell Therapy, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) |
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| September 9, 2011 | ||
| September 9, 2011 | ||
| August 31, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 25, 2011 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer o |
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| August 15, 2011 |
AMENDMENT NO. 3 TO AGREEMENT AND PLAN OF MERGER Exhibit 2.1 AMENDMENT NO. 3 TO AGREEMENT AND PLAN OF MERGER This Amendment No. 3 (this “Amendment”) dated as of May 27, 2011 to the Agreement and Plan of Merger referred to below by and among SyntheMed, Inc., a Delaware corporation (“SyntheMed”), SYMD Acquisition Sub, Inc., a newly-formed Massachusetts corporation and a wholly-owned subsidiary of SyntheMed (“Merger Sub”), and Pathfinder, LLC, a Ma |
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| August 15, 2011 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2011 OR o 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: 0-20580 SYNTHEMED, INC. |
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| August 15, 2011 |
AMENDMENT NO. 3 TO REVOLVING CREDIT AND SECURITY AGREEMENT EX-10.1 3 v231197ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 AMENDMENT NO. 3 TO REVOLVING CREDIT AND SECURITY AGREEMENT This Amendment No. 3 (this “Amendment”) dated as of May 27, 2011 to the Revolving Credit And Security Agreement referred to below by and between SyntheMed, Inc., a Delaware corporation (the “Borrower”), and Pathfinder, LLC, a Massachusetts limited liability company (the “Lender”). WITNE |
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| July 26, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| July 15, 2011 |
Eilenberg & Krause llp 11 east 44th street, 19th Floor new york, new york 10017 Eilenberg & Krause llp 11 east 44th street, 19th Floor new york, new york 10017 Telephone: (212) 986-9700 Facsimile: (212) 986-2399 July 15, 2011 Division of Corporation Finance Securities and Exchange Commission 100 F Street, N. |
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| July 15, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| July 5, 2011 |
Eilenberg & Krause LLP 11 East 44th Street, 19th Floor New York, New York 10017 Eilenberg & Krause LLP 11 East 44th Street, 19th Floor New York, New York 10017 Telephone: (212) 986-9700 Facsimile: (212) 986-2399 July 5, 2011 Division of Corporation Finance Securities and Exchange Commission 100 F Street, N. |
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| June 7, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 27, 2011 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer of I |
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| May 27, 2011 |
Eilenberg & Krause LLP 11 East 44th Street, 19th Floor New York, New York 10017 Eilenberg & Krause LLP 11 East 44th Street, 19th Floor New York, New York 10017 Telephone: (212) 986-9700 Facsimile: (212) 986-2399 May 27, 2011 Division of Corporation Finance Securities and Exchange Commission 100 F Street, N. |
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| May 27, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 16, 2011 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2011 OR o 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: 0-20580 SYNTHEMED, INC. |
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| May 5, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 5, 2011 |
Eilenberg & Krause llp 11 east 44th street 19th Floor new york, new york 10017 Eilenberg & Krause llp 11 east 44th street 19th Floor new york, new york 10017 Telephone: (212) 986-9700 Facsimile: (212) 986-2399 May 6, 2011 Division of Corporation Finance Securities and Exchange Commission 100 F Street, N. |
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| May 2, 2011 |
AMENDMENT NO. 2 TO AGREEMENT AND PLAN OF MERGER Exhibit 2.1 AMENDMENT NO. 2 TO AGREEMENT AND PLAN OF MERGER This Amendment No. 2 (this ?Amendment?) dated as of April 14, 2011 to the Agreement and Plan of Merger referred to below by and among SyntheMed, Inc., a Delaware corporation (?SyntheMed?), SYMD Acquisition Sub, Inc., a newly-formed Massachusetts corporation and a wholly-owned subsidiary of SyntheMed (?Merger Sub?), and Pathfinder, LLC, a |
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| May 2, 2011 |
AMENDMENT NO. 2 TO REVOLVING CREDIT AND SECURITY AGREEMENT Exhibit 10.1 AMENDMENT NO. 2 TO REVOLVING CREDIT AND SECURITY AGREEMENT This Amendment No. 2 (this ?Amendment?) dated as of April 14, 2011 to the Revolving Credit And Security Agreement referred to below by and between SyntheMed, Inc., a Delaware corporation (the ?Borrower?), and Pathfinder, LLC, a Massachusetts limited liability company (the ?Lender?). WITNESSETH: WHEREAS, Borrower and Lender are |
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| May 2, 2011 |
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) [ X ] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2010 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: 0-20580 SYNT |
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| April 21, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 14, 2011 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer of |
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| April 15, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 15, 2011 |
Eilenberg & Krause llp 11 East 44th Street New York, New York 10017 Eilenberg & Krause llp 11 East 44th Street New York, New York 10017 Telephone: (212) 986-9700 Facsimile: (212) 986-2399 April 15, 2011 Division of Corporation Finance Securities and Exchange Commission 100 F Street, N. |
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| March 25, 2011 |
Termination of Engagement Letter Exhibit 10.39 Termination of Engagement Letter This agreement (the “Agreement”) dated as of November 23, 2010, shall set forth the arrangement between Oppenheimer & Co. Inc. (“Oppenheimer”), and SyntheMed, Inc. (the “Company”), with respect to the proposed termination of that certain letter-agreement between Oppenheimer and the Company dated as of October 20, 2009 (the “Letter Agreement”). Capital |
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| March 25, 2011 |
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2010 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: 0-20580 SYNTHEMED, INC. (Exact name of |
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| March 25, 2011 |
AMENDMENT NO. 1 TO REVOLVING CREDIT AND SECURITY AGREEMENT Exhibit 10.36(a) AMENDMENT NO. 1 TO REVOLVING CREDIT AND SECURITY AGREEMENT This Amendment No. 1 (this ?Amendment?) dated as of February 15, 2011 to the Revolving Credit And Security Agreement referred to below by and between SyntheMed, Inc., a Delaware corporation (the ?Borrower?), and Pathfinder, LLC, a Massachusetts limited liability company (the ?Lender?). WITNESSETH: WHEREAS, Borrower and Len |
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| March 25, 2011 |
AMENDMENT NO. 1 TO AGREEMENT AND PLAN OF MERGER EX-2.1A 2 v215984ex2-1a.htm Exhibit 2.1(a) AMENDMENT NO. 1 TO AGREEMENT AND PLAN OF MERGER This Amendment No. 1 (this “Amendment”) dated as of February 15, 2011 to the Agreement and Plan of Merger referred to below by and among SyntheMed, Inc. , a Delaware corporation (“SyntheMed”), SYMD Acquisition Sub, Inc., a newly-formed Massachusetts corporation and a wholly-owned subsidiary of SyntheMed (“Me |
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| March 25, 2011 |
Exhibit 10.37 TERMINATION AGREEMENT This Termination Agreement (this “Agreement”) is entered into as of November 29, 2010 by Robert P. Hickey, currently residing at 92 Gooseneck Point Rd., Oceanport, NJ 07757(the “Executive”), and SyntheMed, Inc., a Delaware corporation (the “Company”). Executive and Company are sometimes referred to collectively as, the “Parties.” WHEREAS, Executive is employed b |
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| March 25, 2011 |
Exhibit 10.38 TERMINATION AGREEMENT This Termination Agreement (this ?Agreement?) is entered into as of November 29, 2010 by Eli Pines, PhD, currently residing at 57 Bond Street, New York, NY 10012 (the ?Executive?), and SyntheMed, Inc., a Delaware corporation (the ?Company?). Executive and Company are sometimes referred to collectively as, the ?Parties.? WHEREAS, Executive is employed by the Comp |
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| February 22, 2011 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 15, 2011 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer |
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| February 15, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| December 28, 2010 |
AMENDMENT TO RIGHTS AGREEMENT BETWEEN SYNTHEMED, INC. AND AMERICAN STOCK TRANSFER & TRUST COMPANY AMENDMENT TO RIGHTS AGREEMENT BETWEEN SYNTHEMED, INC. AND AMERICAN STOCK TRANSFER & TRUST COMPANY THIS AMENDMENT TO RIGHTS AGREEMENT (the “Amendment”) is made as of the 22nd day of December 2010, by and between SyntheMed, Inc., a Delaware corporation (the “Company”), and American Stock Transfer & Trust Company, LLC, a New York limited liability company (the “Rights Agent”). WHEREAS, the Company is |
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| December 28, 2010 |
Pathfinder LLC and SyntheMed, Inc. Announce Merger Agreement Pathfinder LLC and SyntheMed, Inc. Announce Merger Agreement Cambridge, MA and Iselin, NJ, December 22, 2010 / Pathfinder LLC, a private biotechnology company focused on the treatment of diseases characterized by organ-specific cell damage (?Pathfinder?), and SyntheMed, Inc. (OTCBB: SYMD), a biomaterials company (?SyntheMed? or the ?Company?), today announced that they have entered into a definiti |
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| December 28, 2010 |
EX-2.1 2 v206677ex2-1.htm AGREEMENT AND PLAN OF MERGER among: SYNTHEMED, INC., a Delaware corporation; SYMD ACQUISITION SUB, INC., a Massachusetts corporation; and PATHFINDER, LLC, a Massachusetts limited liability company Dated as of December 22, 2010 TABLE OF CONTENTS Page SECTION 1 DESCRIPTION OF TRANSACTION 1 1.1 Merger of Merger Sub with and into Pathfinder 1 1.2 Effect of the Merger 1 1.3 Cl |
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| December 28, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 22, 2010 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer |
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| November 30, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 29, 2010 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer |
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| November 5, 2010 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2010 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: 0-20580 SYNTHEMED, INC. |
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| November 5, 2010 |
REVOLVING CREDIT AND SECURITY AGREEMENT REVOLVING CREDIT AND SECURITY AGREEMENT THIS REVOLVING CREDIT AND SECURITY AGREEMENT (this “Agreement”) dated as of September 14, 2010 (this “Agreement”) is by and between SYNTHEMED, INC. |
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| September 20, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 14, 2010 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employe |
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| August 11, 2010 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2010 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: 0-20580 SYNTHEMED, INC. |
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| May 17, 2010 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2010 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: 0-20580 SYNTHEMED, INC. |
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| April 27, 2010 |
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2009 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: 0-20580 SYNTHEMED, |
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| March 22, 2010 |
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2009 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: 0-20580 SYNTHEMED, INC. (Exact name of |
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| March 22, 2010 |
EXHIBIT 10.11 |
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| December 28, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 24, 2009 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer |
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| December 23, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 23, 2009 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer |
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| November 6, 2009 |
AGENCY AGREEMENT September 30, 2009 SyntheMed, Inc. 200 Middlesex Essex Turnpike, Suite 210 Iselin, New Jersey 08830 United States Attention: Mr. Robert P. Hickey President and Chief Executive Officer Dear Sirs: Re: Offering of Units Clubb Capital Limited (the “Agent”), understands that SyntheMed, Inc. (the “Corporation”), a Delaware corporation, proposes to issue to investors secured by the Agent |
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| November 6, 2009 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þQUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2009 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: 0-20580 SYNTHEMED, INC. |
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| November 6, 2009 |
WARRANT TO PURCHASE COMMON STOCK 350,000 Shares of Common Stock SYNTHEMED, INC. Broker Warrant No: 2009-1 THIS WARRANT AND THE SHARES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), STATE SECURITIES LAWS IN THE UNITED STATES OR THE SECURITIES LAW OF ANY OTHER COUNTRY AND MAY NOT BE SOLD, TRANSFERRED, PLEDGED, HYPOTHECATED OR OTHERWISE DISPOSED OF UNLESS (A) SUCH TRANSACTION OCCURS OUTSIDE |
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| November 6, 2009 |
EX-10.1 2 v165041ex10-1.htm SUBSCRIPTION AGREEMENT TO: SYNTHEMED, INC. AND TO: CLUBB CAPITAL LIMITED RE: SUBSCRIPTION FOR UNITS 1. Subscription The undersigned (the “Purchaser”) hereby irrevocably subscribes for on and subject to the terms and conditions set forth herein, from SyntheMed, Inc., a Delaware corporation (the “Corporation”), the number of units (the “Units”), set forth on the signature |
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| October 6, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 30, 2009 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employe |
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| August 12, 2009 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2009 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: 0-20580 SYNTHEMED, INC. |
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| May 14, 2009 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2009 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: 0-20580 SYNTHEMED, INC. |
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| April 24, 2009 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Definitive Proxy Statement x Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 o Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e)(2)) SYNTHEMED, INC. |
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| April 24, 2009 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 o Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e)(2)) SYNTHEMED, INC. |
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| March 27, 2009 |
SYNTHEMED, INC. STOCK OPTION AGREEMENT (Non-Qualified Stock Option) EXHIBIT 10.39: Stock Option Agreement dated October 1, 2008 between Registrant and Richard L. Franklin, MD. SYNTHEMED, INC. STOCK OPTION AGREEMENT (Non-Qualified Stock Option) AGREEMENT entered into as of the date set forth on the signature page hereto by and between SyntheMed, Inc., a Delaware corporation, with a business address of 200 Middlesex Essex Turnpike, Iselin, New Jersey (together with |
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| March 27, 2009 |
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2008 or o 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: 0-20580 SYNTHEMED, INC. (Exact name of |
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| March 27, 2009 |
SYNTHEMED, INC. STOCK OPTION AGREEMENT (Non-Qualified Stock Option) EXHIBIT 10.40: Stock Option Agreement dated October 1, 2008 between Registrant and Gere S. diZerega, MD. SYNTHEMED, INC. STOCK OPTION AGREEMENT (Non-Qualified Stock Option) AGREEMENT entered into as of the date set forth on the signature page hereto by and between SyntheMed, Inc., a Delaware corporation, with a business address of 200 Middlesex Essex Turnpike, Iselin, New Jersey (together with its |
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| February 25, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 19, 2009 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer |
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| February 25, 2009 |
[SYNTHEMED LETTERHEAD] AMENDMENT NO.6 dated as of this 6th day of February 2009 (“Amendment No. 6”) between SYNTHEMED, INC. (formerly LIFE MEDICAL SCIENCES, INC.; the “Company”) and YISSUM RESEARCH DEVELOPMENT COMPANY OF THE HEBREW UNIVERSITY OF JERUSALEM (“Yissum”). WITNESSETH: WHEREAS, the parties have entered into an agreement dated June 14, 1991 (the “1991 Agreement”), which 1991 Agreement has |
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| February 12, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 6, 2009 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer |
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| November 14, 2008 |
Consulting Agreement effective October 1, 2008 between SyntheMed, Inc. and Richard L. Franklin. SYNTHEMED, INC. CONSULTING AGREEMENT This Consulting Agreement (the "Agreement") is entered into effective October 1, 2008 (the ?Effective Date?) by and between SyntheMed, Inc., a Delaware corporation (the "Company"), and Richard L. Franklin, MD ("Consultant"). WHEREAS, Consultant is presently Chairman of the Board of Directors of the Company; WHEREAS, the Company desires Consultant to assume an e |
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| November 14, 2008 |
AGENCY AGREEMENT September 30, 2008 SyntheMed, Inc. 200 Middlesex Essex Turnpike, Suite 210 Iselin, New Jersey 08830 United States Attention: Mr. Robert P. Hickey President and Chief Executive Officer Dear Sirs: Re: Offering of Units Clubb Capital Limited (the “Agent”), understands that SyntheMed, Inc. (the “Corporation”), a Delaware corporation, proposes to issue to investors secured by the Agent |
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| November 14, 2008 |
Consulting Agreement effective October 1, 2008 between SyntheMed, Inc. and Gere S. diZerega. SYNTHEMED, INC. CONSULTING AGREEMENT This Consulting Agreement (the "Agreement") is entered into effective October 1, 2008 (the “Effective Date”) by and between SyntheMed, Inc., a Delaware corporation (the "Company"), and Gere S. diZerega, MD ("Consultant"). WHEREAS, Consultant has from time to time rendered consulting and advisory services to the Company regarding research and development activit |
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| November 14, 2008 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 - FORM 10-Q (Mark One) T QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2008 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: 0-20580 SYNTHEMED, INC. |
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| November 14, 2008 |
Broker Warrant No: THIS WARRANT AND THE SHARES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), STATE SECURITIES LAWS IN THE UNITED STATES OR THE SECURITIES LAW OF ANY OTHER COUNTRY AND MAY NOT BE SOLD, TRANSFERRED, PLEDGED, HYPOTHECATED OR OTHERWISE DISPOSED OF UNLESS (A) SUCH TRANSACTION OCCURS OUTSIDE THE UNI |
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| November 14, 2008 |
SUBSCRIPTION AGREEMENT TO: SYNTHEMED, INC. AND TO: CLUBB CAPITAL LIMITED RE: SUBSCRIPTION FOR UNITS 1. Subscription The undersigned (the ?Purchaser?) hereby irrevocably subscribes for on and subject to the terms and conditions set forth herein, from SyntheMed, Inc., a Delaware corporation (the ?Corporation?), the number of units (the ?Units?), set forth on the signature page hereof (the ?Purchased |
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| November 14, 2008 |
Employment Agreement effective October 1, 2008 between SyntheMed, Inc. and Robert P. Hickey. EMPLOYMENT AGREEMENT THIS AGREEMENT made in Iselin, New Jersey this 1st day of October 2008 (the “Effective Date”), between SyntheMed, Inc. |
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| October 6, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 30, 2008 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Emplo |
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| October 3, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 30, 2008 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employe |
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| October 3, 2008 |
SYNTHEMED COMPLETES $4.0 MILLION EQUITY PLACEMENT Contacts: Richard Lewis Communications, Inc. 212-827-0020 Cecelia Heer, Investors [email protected] Timothy Rathschmidt, Media [email protected] SYNTHEMED COMPLETES $4.0 MILLION EQUITY PLACEMENT ISELIN, NJ (October 1, 2008) - SyntheMed, Inc. (OTCBB: SYMD), a biomaterials company engaged in the development and commercialization of anti-adhesion products and other surgical implants, announced t |
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| August 14, 2008 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2008 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: 0-20580 SYNTHEMED, INC. |
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| May 27, 2008 |
SyntheMed, Inc. Adopts Shareholder Rights Plan Contact: Richard Lewis Communications, Inc. 212-827-0020 Gregory Tiberend [email protected] or Mary Kate Dubuss [email protected] SyntheMed, Inc. Adopts Shareholder Rights Plan Iselin, NJ, May 20, 2008 - SyntheMed, Inc. (OTCBB: SYMD) announced today that its Board of Directors approved the adoption of a shareholder rights plan. The shareholder rights plan is designed to ensure that shareholde |
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| May 27, 2008 |
EX-4.1 4 v115875ex4-1.htm SyntheMed, Inc. and American Stock Transfer & Trust Company as Rights Agent Rights Agreement Dated as of May 20, 2008 RIGHTS AGREEMENT Rights Agreement, dated as of May 20, 2008, between SyntheMed, Inc., a Delaware corporation (the “Company”), and American Stock Transfer & Trust Company, a New York corporation, as Rights Agent (the “Rights Agent”). RECITALS WHEREAS, on Ap |
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| May 27, 2008 |
CERTIFICATE OF DESIGNATIONS of SERIES D JUNIOR PARTICIPATING PREFERRED STOCK of SYNTHEMED, INC. |
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| May 27, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 20, 2008 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer of I |
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| May 27, 2008 |
EX-3.2 3 v115875ex3-2.htm CERTIFICATE OF ELIMINATION OF SERIES A CONVERTIBLE PREFERRED STOCK, SERIES B CONVERTIBLE PREFERRED STOCK AND SERIES C CONVERTIBLE PREFERRED STOCK OF SYNTHEMED, INC. (Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware) The undersigned, Robert P. Hickey, does hereby certify that: 1. The undersigned is the duly elected President, CEO and CFO o |
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| May 13, 2008 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2008 OR o 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: 0-20580 SYNTHEMED, INC. |
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| March 27, 2008 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-KSB/A (Amendment No. 1) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-KSB/A (Amendment No. 1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2007 o 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: 0-20580 SYNTHEMED, |
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| March 27, 2008 | ||
| March 26, 2008 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 o Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e)(2)) SYNTHEMED, INC. |
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| March 25, 2008 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-KSB SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-KSB (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2007 o 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: 0-20580 SYNTHEMED, INC. (Name of small |
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| February 28, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 26, 2008 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction of Incorporation) (Commission file Num |
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| February 7, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 6, 2008 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer |
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| January 25, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 18, 2008 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer |
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| November 6, 2007 |
Exhibit 4.3 Form of Indenture SYNTHEMED, INC. ISSUER and [ ] INDENTURE TRUSTEE INDENTURE Dated as of , TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.01 Definitions 1 Section 1.02 Other Definitions 5 Section 1.03 Incorporation by Reference of Trust Indenture Act 5 Section 1.04 Rules of Construction 6 ARTICLE II THE SECURITIES 6 Section 2.01 Issuable in Seri |
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| November 6, 2007 |
As filed with the Securities and Exchange Commission on November 6, 2007 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 5, 2007 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-QSB SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-QSB (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2007 OR o 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: 0-20580 SYNTHEMED, INC. |
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| October 18, 2007 |
Filed pursuant to Rule 424(b)(3) Reg. No. 333-146493 Filed pursuant to Rule 424(b)(3) Reg. No. 333-146493 PROSPECTUS SYNTHEMED, INC. 3,210,000 Shares of Common Stock This prospectus relates to the sale or other disposition by some of our security holders of up to 3,000,000 shares of our currently outstanding common stock and 210,000 shares of our common stock issuable upon exercise of currently outstanding warrants. For a list of the selling stockho |
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| October 3, 2007 |
As filed with the Securities and Exchange Commission on October 3, 2007 ===================================================================== UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 18, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 10, 2007 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employe |
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| August 14, 2007 |
AGENCY AGREEMENT August 14, 2007 SyntheMed, Inc. 200 Middlesex Essex Turnpike, Suite 210 Iselin, New Jersey 08830 United States Attention: Mr. Robert P. Hickey President and Chief Executive Officer Dear Sirs: Re: Offering of Shares Clubb Capital Limited (the “Agent”), understands that SyntheMed, Inc. (the “Corporation”), a Delaware corporation, proposes to issue to investors secured by the Agent, |
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| August 14, 2007 |
SUBSCRIPTION AGREEMENT TO: SYNTHEMED, INC. AND TO: CLUBB CAPITAL LIMITED RE: SUBSCRIPTION FOR SHARES 1. Subscription The undersigned (the ?Purchaser?) hereby subscribes for on and subject to the terms and conditions set forth herein, from SyntheMed, Inc., a Delaware corporation (the ?Corporation?), the number of shares of common stock, par value of $0.001 per share (?Common Stock), set forth on th |
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| August 14, 2007 |
EX-10.1 2 ex10-1.htm [CONFIDENTIAL PORTIONS OF THIS AGREEMENT HAVE BEEN OMITTED AND FILED SEPARATELY WITH THE COMMISSION PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT. THESE PORTIONS HAVE BEEN REPLACED THROUGHOUT THIS AGREEMENT AND SCHEDULES BY THE FOLLOWING SYMBOL: ***] SUPPLY AGREEMENT This AGREEMENT (the "Agreement") dated as of JUNE 12, 2007 (the "Effective Date") between Diagnostic Chemica |
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| August 14, 2007 |
CHANGE OF CONTROL AGREEMENT THIS CHANGE OF CONTROL AGREEMENT (?Agreement?) is effective as of the 1st day of May, 2007 (the ?Effective Date?), by and between SYNTHEMED, INC. |
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| August 14, 2007 |
SYNTHEMED, INC. INVESTOR RIGHTS AGREEMENT SYNTHEMED, INC. INVESTOR RIGHTS AGREEMENT This Investor Rights Agreement (this ?Agreement?) is made and entered into by and among SyntheMed, Inc., a Delaware corporation (the ?Corporation?), and the investors listed on the signature pages hereto (the ?Investors?), as of the date of execution by the Corporation. RECITALS WHEREAS the Corporation desires the Investors to purchase up to 6,000,000 shar |
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| August 14, 2007 |
EMPLOYMENT AGREEMENT THIS AGREEMENT made in Iselin, New Jersey this 1st day of May, 2007 between SyntheMed, Inc. |
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| August 14, 2007 |
STOCK OPTION AMENDMENT AGREEMENT STOCK OPTION AMENDMENT AGREEMENT This Agreement is made and entered into effective the 27th day of April, 2007 between SyntheMed, Inc. |
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| August 14, 2007 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-QSB SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-QSB (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2007 OR o 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: 0-20580 SYNTHEMED, INC. |
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| August 14, 2007 |
WARRANT TO PURCHASE COMMON STOCK ________ Shares of Common Stock SYNTHEMED, INC. Broker Warrant No: THIS WARRANT AND THE SHARES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), STATE SECURITIES LAWS IN THE UNITED STATES OR THE SECURITIES LAW OF ANY OTHER COUNTRY AND MAY NOT BE SOLD, TRANSFERRED, PLEDGED, HYPOTHECATED OR OTHERWISE DISPOSED OF UNLESS (A) SUCH TRANSACTION OCCURS OUTSIDE THE UNI |
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| August 14, 2007 |
SYNTHEMED COMPLETES $2.8 MILLION EQUITY FINANCING FOR RELEASE at 2:01 PM on August 14, 2007 Company Contact: Tara Spiess TS Communications Group, LLC 914-921-5900 Spiess@biotechirpr. |
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| August 14, 2007 |
STOCK OPTION AMENDMENT AGREEMENT STOCK OPTION AMENDMENT AGREEMENT This Agreement is made and entered into effective the 27th day of April, 2007 between SyntheMed, Inc. |
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| June 20, 2007 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 14, 2007 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer of |
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| May 4, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 1, 2007 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer of In |
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| April 27, 2007 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 - FORM 10-QSB (Mark One) [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2007 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: 0-20580 SYNTHEMED, INC. |
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| April 27, 2007 |
[CONFIDENTIAL PORTIONS OF THIS AGREEMENT HAVE BEEN OMITTED AND FILED SEPARATELY WITH THE COMMISSION PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT. |
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| April 27, 2007 |
[CONFIDENTIAL PORTIONS OF THIS AGREEMENT HAVE BEEN OMITTED AND FILED SEPARATELY WITH THE COMMISSION PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT. |
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| March 21, 2007 |
As filed with the Securities and Exchange Commission on March 21, 2007 ===================================================================== UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 21, 2007 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EXHIBIT 23.2 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the reference to our firm under the caption "Experts" and to the inclusion in the Post-Effective Amendment No.1 to Form SB-2 on Form S-3 of our report dated March 6, 2007 relating to our audit of the financial statements as of and for each of the years in the two-year period ended December 31, 2006, which report in |
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| March 20, 2007 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 o Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e)(2)) SYNTHEMED, INC. |
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| March 12, 2007 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-KSB SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-KSB (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2006 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to COMMISSION FILE NUMBER: 0-20580 SYNTHEMED, INC. (Exact name of re |
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| March 12, 2007 |
SYNTHEMED, INC. STOCK OPTION AGREEMENT UNDER THE 2006 STOCK OPTION PLAN (Incentive Stock Option) SYNTHEMED, INC. STOCK OPTION AGREEMENT UNDER THE 2006 STOCK OPTION PLAN (Incentive Stock Option) NOTE TO GRANTEE: SEE SECTION 13 REGARDING LACK OF ISO TREATMENT FOR CERTAIN POST-TERMINATION EXERCISES. AGREEMENT entered into as of the date set forth on the signature page hereto by and between SyntheMed, Inc., a Delaware corporation, with a business address of 200 Middlesex Essex Turnpike, Iselin, N |
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| March 12, 2007 |
CERTIFICATE OF AMENDMENT THE RESTATED CERTIFICATE OF INCORPORATION LIFE MEDICAL SCIENCES, INC. CERTIFICATE OF AMENDMENT OF THE RESTATED CERTIFICATE OF INCORPORATION OF LIFE MEDICAL SCIENCES, INC. |
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| February 23, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 16, 2007 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer |
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| January 8, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 2, 2007 SyntheMed, Inc. (Exact name of Registrant as Specified in its Charter) Delaware 0-20580 14-1745197 (State or Other Jurisdiction (Commission file Number) (IRS Employer o |
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| September 20, 2006 |
As filed with the Securities and Exchange Commission on September 20, 2006 Registration No: 333-134608 SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 7, 2006 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-QSB SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-QSB (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2006 OR o 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: 0-20580 SYNTHEMED, INC. |
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| July 28, 2006 |
CHANGE OF CONTROL AGREEMENT THIS CHANGE OF CONTROL AGREEMENT (“Agreement”) is effective as of the 19th day of June 2006 (the “Effective Date”), by and between SYNTHEMED, INC. |
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| July 28, 2006 |
EX-10.39 3 v048452ex10-39.htm EMPLOYMENT AGREEMENT THIS AGREEMENT made in Iselin, New Jersey this 19th day of June 2006, between SyntheMed, Inc., a Delaware corporation (the "Company"), and Eli Pines, PhD the undersigned individual ("Executive"). WHEREAS, the Executive is currently employed by the Company pursuant to an existing employment agreement dated as of March 1, 2006; and WHEREAS, the part |
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| July 28, 2006 |
EMPLOYMENT AGREEMENT THIS AGREEMENT made in Iselin, New Jersey this 19th day of June 2006, between SyntheMed, Inc. |
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| July 28, 2006 |
CHANGE OF CONTROL AGREEMENT THIS CHANGE OF CONTROL AGREEMENT (“Agreement”) is effective as of the 19th day of June 2006 (the “Effective Date”), by and between SYNTHEMED, INC. |
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| July 28, 2006 |
As filed with the Securities and Exchange Commission on July 28, 2006 Registration No. |
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| June 5, 2006 |
As filed with the Securities and Exchange Commission on June 5, 2006 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM SB-2 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SyntheMed, Inc. |
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| May 11, 2006 |
EMPLOYMENT AGREEMENT THIS AGREEMENT made in Oceanport, New Jersey as of the 1st day of March 2006, between SyntheMed, Inc. |
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| May 11, 2006 |
CERTIFICATE OF AMENDMENT OF THE RESTATED CERTIFICATE OF INCORPORATION SYNTHEMED, INC. CERTIFICATE OF AMENDMENT OF THE RESTATED CERTIFICATE OF INCORPORATION OF SYNTHEMED, INC. |
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| May 11, 2006 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-QSB SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-QSB (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2006 OR o 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: 0-20580 SYNTHEMED, INC. |
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| April 6, 2006 |
SUBSCRIPTION AGREEMENT TO: SYNTHEMED, INC. AND TO: CLUBB CAPITAL LIMITED RE: SUBSCRIPTION FOR SHARES 1. Subscription The undersigned (the ?Purchaser?) hereby subscribes for on and subject to the terms and conditions set forth herein, from SyntheMed, Inc., a Delaware corporation (the ?Corporation?), the number of shares of common stock, par value of $0.001 per share (?Common Stock), set forth on th |
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| April 6, 2006 |
SYNTHEMED, INC. INVESTOR RIGHTS AGREEMENT SYNTHEMED, INC. INVESTOR RIGHTS AGREEMENT This Investor Rights Agreement (this ?Agreement?) is made and entered into by and among SyntheMed, Inc., a Delaware corporation (the ?Corporation?), and the investors listed on the signature pages hereto (the ?Investors?), as of the date of execution by the Corporation. RECITALS WHEREAS the Corporation desires the Investors to purchase up to 15,000,000 sha |
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| April 6, 2006 |
SYNTHEMED COMPLETES $6.0 MILLION EQUITY FINANCING Press Release For release April 4, 2006 at 7:30 AM EST Contact: Robert P. Hickey SyntheMed, Inc. (732) 728-1769 [email protected] SYNTHEMED COMPLETES $6.0 MILLION EQUITY FINANCING OCEANPORT, NJ (April 4, 2006). . . SyntheMed, Inc. (OTCBB: SYMD), today announced that it has completed a private placement in which it received $6.0 million in gross proceeds. Robert P. Hickey, the Company’s Presid |
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| April 6, 2006 |
WARRANT TO PURCHASE COMMON STOCK __________ Shares of Common Stock SYNTHEMED, INC. Broker Warrant No: THIS WARRANT AND THE SHARES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), STATE SECURITIES LAWS IN THE UNITED STATES OR THE SECURITIES LAW OF ANY OTHER COUNTRY AND MAY NOT BE SOLD, TRANSFERRED, PLEDGED, HYPOTHECATED OR OTHERWISE DISPOSED OF UNLESS (A) SUCH TRANSACTION OCCURS OUTSIDE THE UNI |
