Amended Annual Report (10-k/a)
29 April 2023 - 06:46AM
Edgar (US Regulatory)
2022FY0001601485False00016014852022-01-012022-12-3100016014852022-06-30iso4217:USD00016014852023-03-15xbrli:shares
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
_____________________________________________
FORM 10-K/A
(Amendment No. 1)
_____________________________________________
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ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2022
OR
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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 001-04321
ANGION BIOMEDICA CORP
(Exact name of registrant as specified in its charter)
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Delaware |
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11-3430072 |
(State or other jurisdiction of
incorporation or organization) |
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(I.R.S. Employer Identification No.) |
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7-57 Wells Avenue, Newton, Massachusetts
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02459 |
(Address of Principal Executive Offices) |
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(Zip Code) |
(857) 336-4001
Registrant's telephone number, including area code
Securities registered pursuant to Section 12(b) of the
Act:
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Title of each class |
Trading Symbol(s) |
Name of each exchange on which registered |
Common Stock, par value $0.01 |
ANGN |
The Nasdaq Global Select Market |
Securities registered pursuant to section 12(g) of the Act:
None.
Indicate by check mark if the registrant is a well-known seasoned
issuer, as defined in Rule 405 of the Securities Act. Yes
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No
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Indicate by check mark if the registrant is not required to file
reports pursuant to Section 13 or Section 15(d) of the Act.
Yes
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No
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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
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No
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Indicate by check mark whether the registrant has submitted
electronically every Interactive Data File required to be submitted
pursuant to Rule 405 of Regulation S-(§232.405 of this chapter)
during the preceding 12 months (or for such shorter period that the
registrant was required to submit such files). Yes
☒
No
☐
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.
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Large accelerated filer |
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Accelerated filer |
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Non-accelerated filer |
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Smaller reporting company |
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Emerging growth company |
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If an emerging growth company, indicate by check mark if the
registrant has elected not to use the extended transition period
for complying with any new or revised financial accounting
standards provided pursuant to Section 13(a) of the Exchange
Act.
☐
Indicate by check mark whether the registrant has filed a report on
and attestation to its management’s assessment of the effectiveness
of its internal control over financial reporting under Section
404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the
registered public accounting firm that prepared or issued its audit
report.
☐
If securities are registered pursuant to Section 12(b) of the Act,
indicate by check mark whether the financial statements of the
Registrant included in the filing reflect the correction of an
error to previously issued financial statements. ☐
Indicate by check mark whether any of those error corrections are
restatements that required a recovery analysis of incentive-based
compensation received by any of the Registrant's executive officers
during the relevant recovery period pursuant to §240.10D-1(b).
☐
Indicate by check mark whether the registrant is a shell company
(as defined in Rule 12b-2 of the Act). Yes
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No
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The aggregate market value of the voting stock and non-voting
common stock held by non-affiliates of the registrant, based on the
closing price of a share of the registrant’s common stock on June
30, 2022 as reported by the Nasdaq Global Select Market on such
date, was approximately $34.3 million. Shares of common stock
held by each executive officer and director and by each entity
affiliated with an executive officer or and director have been
excluded from this computation. The determination of affiliate
status for this purpose is not necessarily a conclusive
determination for other purposes.
The number of shares of the issuer’s common stock outstanding as of
March 15, 2023, was 30,114,190.
DOCUMENTS INCORPORATED BY REFERENCE
None.
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Auditor Name: Moss Adams LLP
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Auditor Location: Seattle, Washington
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PCAOB ID: 659
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Explanatory Note
Angion Biomedica Corp. filed its Annual Report on Form 10-K for the
fiscal year ended December 31, 2022 (the “Form 10-K”) with the U.S.
Securities and Exchange Commission (the “SEC”) on March 17, 2023.
Angion is filing this Amendment No. 1 on Form 10-K/A (the “Form
10-K/A”) solely for the purpose of refiling Exhibit 32.2 thereto to
correct a typographical error in that exhibit, which inadvertently
referenced the period of the Form 10-K as being for the fiscal year
2021 instead of 2022. Accordingly, in addition to required changes
to the cover page, this Form 10-K/A also amends and restates Part
IV, Item 15 of the Form 10-K in its entirety to add (a) the
corrected Exhibit 32.2 certification, and (b) new certifications by
our principal executive officer and principal financial officer
pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 as
Exhibits 31.3 and 31.4 with respect to this Form
10-K/A.
Except as expressly noted in this Form 10-K/A, this Form 10-K/A
does not reflect events occurring after the original filing of the
Form 10-K or modify or update in any way any of the other
disclosures contained in the Form 10-K including, without
limitation, the consolidated financial statements. Accordingly,
this Form 10-K/A should be read in conjunction with the Form 10-K
and Angion’s other filings with the SEC.
Part IV
Item 15. Exhibits and Financial Statement Schedules
(a)Financial
Statements: See “Index to Consolidated Financial Statements” in
Part II, Item 8 of this Annual Report on Form 10-K
(b)Exhibits.
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Exhibit
Number |
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Exhibit
Description |
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Incorporated by
Reference |
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Filed Herewith |
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Form |
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Date |
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Number |
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2.1 |
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8-K |
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1/17/2023 |
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2.1 |
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3.1 |
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8-K |
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2/9/2021 |
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3.1 |
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3.2 |
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8-K |
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2/9/2021 |
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3.2 |
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4.1 |
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Reference is made to exhibits
3.1 through
3.2.
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4.2 |
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S-1/A |
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2/1/2021 |
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4.2 |
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4.3 |
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S-1 |
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1/15/2021 |
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4.3 |
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4.4 |
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S-1 |
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1/15/2021 |
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4.6 |
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4.5 |
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10K |
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3/30/2022 |
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4.5 |
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10.1 |
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S-1 |
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1/15/2021 |
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10.1 |
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10.2† |
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S-1 |
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1/15/2021 |
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10.4 |
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10.2(a)† |
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10K |
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3/30/2022 |
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10.2(a) |
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10.3(a)# |
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S-1 |
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1/15/2021 |
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10.5(a) |
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10.3(b)#
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S-1 |
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1/15/2021 |
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10.5(b)
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10.3(c)#
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S-1 |
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1/15/2021 |
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10.5(c)
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10.3(d)#
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S-1 |
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1/15/2021 |
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10.5(d)
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10.4(a)#
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S-1/A |
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2/1/2021 |
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10.6(a) |
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10.4(b)#
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S-1/A |
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2/1/2021 |
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10.6(b)
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10.4(c)#
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S-1/A |
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2/1/2021 |
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10.6(c)
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10.4(d)#
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S-1/A |
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2/1/2021 |
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10.6(d)
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10.5# |
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S-1/A |
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2/1/2021 |
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10.7 |
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10.6# |
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S-1 |
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1/15/2021 |
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10.8 |
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10.7# |
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S-1 |
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1/15/2021 |
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10.9 |
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10.7(a) |
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10-K |
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3/30/2022 |
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10.7(a) |
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10.8(b) |
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10-K |
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3/30/2022 |
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10.8(b) |
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Exhibit
Number |
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Exhibit
Description |
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Incorporated by
Reference |
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Filed Herewith |
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Form |
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Date |
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Number |
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10.9# |
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S-1 |
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1/15/2021 |
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10.10 |
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10.10# |
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S-1 |
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1/15/2021 |
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10.11 |
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10.11# |
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S-1 |
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1/15/2021 |
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10.12 |
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10.11(a)# |
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10-K |
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3/30/2022 |
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10.11(a) |
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10.11(b)# |
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10-K |
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3/30/2022 |
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10.11(b) |
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10.11(c)# |
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10-K |
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3/30/2022 |
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10.11(c) |
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10.12# |
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10-K |
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3/30/2022 |
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10.12 |
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10.13 |
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S-1 |
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1/15/2021 |
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10.14 |
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10.14# |
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10-K |
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3/30/2022 |
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10.14 |
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10.15# |
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10-K |
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3/30/2022 |
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10.15 |
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10.16# |
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S-4 |
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2/13/2023 |
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10.23 |
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10.17# |
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X |
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10.17(a)# |
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X |
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10.18# |
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X |
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10.19# |
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X |
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2015 |
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8-K |
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2/09/2021 |
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10.1 |
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2016# |
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8-K |
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3/04/2022 |
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Item 5.02 |
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21.1 |
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S-1 |
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1/15/2021 |
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21.1 |
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23.1 |
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X |
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24.1 |
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X |
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31.1 |
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X |
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31.2 |
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X |
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31.3 |
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X |
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31.4 |
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X |
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32.1^ |
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X |
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32.2^ |
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X |
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Exhibit
Number |
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Exhibit
Description |
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Incorporated by
Reference |
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Filed Herewith |
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Form |
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Date |
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Number |
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101.INS |
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Inline XBRL Instance Document |
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X |
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101.SCH |
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Inline XBRL Taxonomy Extension Schema Document |
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X |
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101.CAL |
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Inline XBRL Taxonomy Extension Calculation Linkbase
Document |
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X |
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101.DEF |
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Inline XBRL Taxonomy Extension Definition Linkbase
Document |
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X |
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101.LAB |
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Inline XBRL Taxonomy Extension Label Linkbase Document |
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X |
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101.PRE |
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Inline XBRL Taxonomy Extension Presentation Linkbase
Document |
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X |
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104 |
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Cover Page Interactive Data File |
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X |
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__________________________________
†Portions
of this exhibit have been omitted in accordance with Item
601(b)(10) of Regulation S-K.
# Indicates
management contract or compensatory plan.
^ The certification that accompanies the Annual Report on Form 10-K
pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section
906 of the Sarbanes-Oxley Act of 2002, is not deemed “filed” by the
Registrant for purposes of Section 18 of the Securities Exchange
Act of 1934, as amended.
X Refers to the Form 10-K filed March 17, 2023, other than with
respect to Exhibits 31.3 and 31.4, which are with respect to
this Form 10-K/A, and Exhibit 32.2, which replaces Exhibit 32.2 in
the Form 10-K filed March 17, 2023.
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) 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.
Date: April 28, 2023
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ANGION BIOMEDICA CORP. |
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By: |
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/s/ JAY R. VENKATESAN, M.D. |
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Jay R. Venkatesan, M.D.
President and Chief Executive Officer and Chairman
(Duly Authorized Officer and Principal Executive
Officer)
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