x
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QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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o
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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Delaware
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20-1852016
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(State or Other Jurisdiction of Incorporation or Organization)
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(I.R.S. Employer Identification No.)
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25801 Industrial Boulevard, Suite B
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Hayward, California
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94545
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(Address of Principal Executive Offices)
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(Zip Code)
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Large accelerated filer o
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Accelerated filer o
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Non-accelerated filer o
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Smaller reporting company x
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(Do not check if a smaller reporting company)
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Number
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Description
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3.1
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Fifth Amended and Restated Certificate of Incorporation (filed as Exhibit 3.6 to the registrant’s Registration Statement on Form S-1/A (File No. 333-161930) filed with the SEC February 3, 2010 and incorporated herein by reference).
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3.2
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Certificate of Amendment to the Fifth Amended and Restated Certificate of Incorporation (filed as Annex A to the registrant’s Definitive Proxy Statement on Schedule 14A, filed with the SEC October 20, 2012 and incorporated herein by reference).
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3.3
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Certificate of Amendment to the Fifth Amended and Restated Certificate of Incorporation filed July 12, 2013 and effective July 15, 2013(Filed as Exhibit 3.1 to the registrant Current Report on Form 8-K, filed with the SEC on July 16, 2013 and incorporated herein by reference.)
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3.4
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Amended and Restated Bylaws (filed as Exhibit 3.7 to the registrant’s Registration Statement on Form S-1/A (File No. 333-161930) filed with the SEC February 3, 2010 and incorporated herein by reference).
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10.1*+
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License Agreement between the Company and Eli Lilly and Company, dated as of July 11, 2014.
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31.1**
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Certification of Principal Executive Officer pursuant to Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as amended.
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31.2**
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Certification of Principal Financial Officer pursuant to Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as amended.
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32.1**
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Certification of Principal Executive Officer pursuant to Rule 13a-14(b) of the Securities Exchange Act of 1934, as amended, and 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
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32.2**
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Certification of Principal Financial Officer pursuant to Rule 13a-14(b) of the Securities Exchange Act of 1934, as amended, and 18 U.S.C. Section 1350, as adopted pursuant Section 906 of the Sarbanes-Oxley Act of 2002.
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101.INS***
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XBRL Instance Document.
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101.SCH***
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XBRL Taxonomy Extension Schema Document.
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101.CAL***
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XBRL Taxonomy Extension Calculation Linkbase Document.
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101.DEF***
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XBRL Taxonomy Extension Definition Linkbase Document.
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101.LAB***
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XBRL Taxonomy Extension Label Linkbase Document.
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101.PRE***
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XBRL Taxonomy Extension Presentation Linkbase Document.
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*
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Filed herewith.
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**
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Previously filed with the Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2014.
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***
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In accordance with Rule 406T of Regulation S-T, the XBRL related information in Exhibit 101 to this Quarterly Report on Form 10-Q is furnished and shall not be deemed to be “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liability of the section, and shall not be part of any registration statement or other document filed under the Securities Act or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.
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+
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Certain portions of this Exhibit have been omitted pursuant to a request for confidential treatment.
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ANTHERA PHARMACEUTICALS, INC.
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December 12, 2014
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By:
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/s/ Paul F. Truex
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Paul F. Truex
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President and Chief Executive Officer
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December 12, 2014
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By:
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/s/ May Liu
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May Liu
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Senior Vice President, Finance and Administration
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(Principal Accounting Officer)
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