Amendment: SEC Form 10-Q/A filed by Centessa Pharmaceuticals plc
$CNTA
Biotechnology: Pharmaceutical Preparations
Health Care
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
(Amendment No. 1)
(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, 2024
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 001-40445
(Exact name of registrant as specified in its charter)
(State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification No.) |
(Address of principal executive offices and zip code)
+1 (617 ) 468-5770
Registrant’s telephone number, including area code
Securities registered pursuant to Section 12(b) of the Act:
Title of each class |
Trading Symbol(s) |
Name of each exchange on which registered | ||
| * | Not for trading, but only in connection with the listing of the American Depositary Shares on The Nasdaq Stock Market, LLC. |
Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☒ No ☐
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation Yes ☒ No ☐
S-T
(§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a
non-accelerated
filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2
of the Exchange Act. | Large accelerated filer | ☐ | Accelerated filer | ☐ | |||
Non-accelerated filer |
☒ | Smaller reporting company | ||||
| Emerging growth company | ||||||
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Indicate by check mark whether the registrant is a shell company (as defined in Rule ☒
12b-2
of the Act). Yes ☐ No The registrant had outstanding 113,845,476 ordinary shares as of November 1, 2024.
EXPLANATORY NOTE
Centessa Pharmaceuticals plc (the “Company”) is filing this Amendment No. 1 on Form
10-Q/A
(this “Amendment”) to its Quarterly Report on Form 10-Q
for the fiscal quarter ended September 30, 2024, which was originally filed with the Securities and Exchange Commission (the “SEC”) on November 12, 2024 (the “Original Filing”). This Amendment is being filed to revise Part II “Item 5. Other Information” by adding Rule 10b5-1
trading arrangements entered into by Karen Anderson, Tia Bush, Iqbal Hussain, and Harris Rotman during the quarter ended September 30, 2024, which were inadvertently omitted from the disclosure included in the Original Filing. In addition, as required by Rule
12b-15
of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), new certifications by the Company’s Chief Executive Officer and Chief Financial Officer are filed herewith as exhibits to this Amendment, under Item 6 hereof, pursuant to Rule 13a-14(a)
or 15d-14(a)
of the Exchange Act. Because no financial statements have been included in this Amendment and this Amendment does not contain or amend any disclosure with respect to Items 307 and 308 of Regulation S-K,
paragraphs 3, 4 and 5 of the certifications have been omitted. The Company is also not including new certifications under Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. 1350) (Section 906 of the Sarbanes-Oxley Act of 2002), as no financial statements are being filed with this Amendment. Other than as expressly set forth herein, this Amendment does not, and does not purport to, amend, update or restate the information in Original Filing or reflect any events that have occurred after the Original Filing was made. Information not affected by this Amendment remains unchanged and reflects the disclosures made at the time as of which the Original Filing was made. No changes have been made to the financial statements of the Company as contained in the Original Filing. Accordingly, this Amendment should be read together with the Original Filing and the Company’s other filings with the SEC.
ITEM 5. OTHER INFORMATION
Insider Adoption or Termination of Trading Arrangements:
During the fiscal quarter ended September 30, 2024, none of our directors or officers informed us of the adoption or termination of a “Rule
10b5-1
trading arrangement” or “non-Rule
10b5-1
trading arrangement,” as those terms are defined in Regulation S-K,
Item 408, except as described below: On Karen Anderson , our Chief People Officer , entered into a Rule 146,971 shares of the Company’s ordinary shares. The Anderson Rule August 15, 2025 , or upon the earlier completion of all the transactions authorized thereunder.
September 13, 2024
, 10b5-1
Plan intended to satisfy the affirmative defense of Rule 10b5-1(c)
under the Exchange Act. The Anderson Rule 10b5-1
Plan provides for the potential sale (beginning on December 13, 2024) of 10b5-1
Plan expires on On Tia Bush , our Chief Technology and Quality Officer , entered into a Rule 203,216 shares of the Company’s ordinary shares. The Bush Rule December 15, 2025 , or upon the earlier completion of all the transactions authorized thereunder.
September 14, 2024
, 10b5-1
Plan intended to satisfy the affirmative defense of Rule 10b5-1(c)
under the Exchange Act. The Bush Rule 10b5-1
Plan provides for the potential sale (beginning on December 10, 2024) of 10b5-1
Plan expires on On Iqbal Hussain , our General Counsel and Corporate Secretary , entered into a Rule 183,705 shares of the Company’s ordinary shares. The Hussain Rule December 15, 2025 , or upon the earlier completion of all the transactions authorized thereunder.
September 14, 2024
, 10b5-1
Plan intended to satisfy the affirmative defense of Rule 10b5-1(c)
under the Exchange Act. The Hussain Rule 10b5-1
Plan provides for the potential sale (beginning on December 14, 2024) of 10b5-1
Plan expires on On Harris Rotman , our former Senior Vice President Regulatory Affairs , prior to his departure from the Company, terminated a trading arrangement he had previously adopted with respect to the sale of our ordinary shares that was intended to satisfy the affirmative defense of Rule August 1, 2024 and provided for the sale of up to 41,751 41,751 shares of ordinary shares under its terms.
July 17, 2024
, 10b5-1(c)
under the Exchange Act. The Rotman Rule 10b5-1
Plan was adopted on June 20, 2023, had a term that ended on shares
of the Company’s ordinary shares. As of the date of termination of the Rotman Rule 10b5-1
Plan, Mr. Rotman had sold 3
Item 6. Exhibits
| Exhibit number |
Description of exhibit | |
| 31.1 | Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. (1) | |
| 31.2 | Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. (1) | |
| 101 INS | XBRL Instance Document | |
| 101 SCH | XBRL Taxonomy Extension Schema Document | |
| 104 | Cover Page Interactive Data File (formatted as inline XBRL with applicable taxonomy extension information contained in Exhibit 101.) | |
| (1) | Filed herewith |
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| CENTESSA PHARMACEUTICALS PLC | ||||||
| Date: February 14, 2025 | By: | /s/ Saurabh Saha, M.D., Ph.D. | ||||
| Name: Saurabh Saha, M.D., Ph.D. | ||||||
| Title: Chief Executive Officer (Principal Executive Officer) | ||||||
| Date: February 14, 2025 | By: | /s/ John Crowley | ||||
| Name: John Crowley | ||||||
| Title: Chief Financial Officer (Principal Financial Officer) |
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