SEC Info - Organovo Holdings, Inc. - ‘10-Q’ for 6/30/13

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Organovo Holdings, Inc. – ‘10-Q’ for 6/30/13 – ‘XML.R14’

On: Friday, 8/9/13, at 5:20pm ET · For: 6/30/13 · Accession #: 1193125-13-329393 · File #: 1-35996

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 8/09/13  Organovo Holdings, Inc.           10-Q        6/30/13   79:9.3M                                   Donnelley … Solutions/FA

Quarterly Report — Form 10-Q — Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

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                (Unaudited)                                                      
65: R7          Condensed Consolidated Statements of Cash Flows     HTML     45K 
                (Unaudited) (Parenthetical)                                      
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34: R9          Description of Business and Summary of Significant  HTML     94K 
                Accounting Policies                                              
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                Accounting Policies (Policies)                                   
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                Accounting Policies (Details)                                    
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35: R28         Stockholders' Equity (Details 3)                    HTML     50K 
55: R29         Stockholders' Equity (Details 4)                    HTML     27K 
61: R30         Stockholders' Equity (Details Textual)              HTML    273K 
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43: XML         IDEA XML File -- Filing Summary                      XML     90K 
79: XML.R1      Document and Entity Information                      XML    121K 
33: XML.R2      Condensed Consolidated Balance Sheets                XML    279K 
54: XML.R3      Condensed Consolidated Balance Sheets                XML     89K 
                (Parenthetical)                                                  
42: XML.R4      Condensed Consolidated Statements of Operations      XML    294K 
                (Unaudited)                                                      
39: XML.R5      Condensed Consolidated Statements of Stockholders'   XML   1.71M 
                Equity (Deficit) (Unaudited)                                     
12: XML.R6      Condensed Consolidated Statements of Cash Flows      XML    504K 
                (Unaudited)                                                      
49: XML.R7      Condensed Consolidated Statements of Cash Flows      XML    142K 
                (Unaudited) (Parenthetical)                                      
11: XML.R8      Change in Fiscal Year End                            XML     40K 
25: XML.R9      Description of Business and Summary of Significant   XML    102K 
                Accounting Policies                                              
38: XML.R10     Derivative Liability                                 XML     58K 
30: XML.R11     Stockholders' Equity                                 XML    115K 
26: XML.R12     Commitments and Contingencies                        XML     54K 
66: XML.R13     Concentrations                                       XML     41K 
32: XML.R14     Subsequent Events                                    XML     44K 
75: XML.R15     Description of Business and Summary of Significant   XML    266K 
                Accounting Policies (Policies)                                   
51: XML.R16     Description of Business and Summary of Significant   XML     70K 
                Accounting Policies (Tables)                                     
50: XML.R17     Derivative Liability (Tables)                        XML     53K 
53: XML.R18     Stockholders' Equity (Tables)                        XML    127K 
23: XML.R19     Commitments and Contingencies (Tables)               XML     45K 
46: XML.R20     Description of Business and Summary of Significant   XML    304K 
                Accounting Policies (Details)                                    
60: XML.R21     Description of Business and Summary of Significant   XML    187K 
                Accounting Policies (Details 1)                                  
63: XML.R22     Description of Business and Summary of Significant   XML   4.68M 
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67: XML.R23     Derivative Liability (Details)                       XML    155K 
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20: XML.R25     Stockholders' Equity (Details)                       XML    101K 
69: XML.R26     Stockholders' Equity (Details 1)                     XML    221K 
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17: XML.R29     Stockholders' Equity (Details 4)                     XML    124K 
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57: XML.R31     Commitments and Contingencies (Details)              XML     73K 
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73: XML.R33     Subsequent Events (Details Textual)                  XML    658K 
40: EXCEL       IDEA Workbook of Financial Reports (.xls)            XLS    716K 
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41: ZIP         XBRL Zipped Folder -- 0001193125-13-329393-xbrl      Zip    118K

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7. Subsequent Events On July 9, 2013, the Company announced that its common stock had been approved to list on the NYSE MKT. Shares began trading on the New York Stock Exchange on July 11, 2013. The Company continues to trade under the symbol “ONVO” but withdrew its shares from quotation on the OTC QX concurrent with listing its shares on the NYSE MKT. On July 18, 2013, the Company announced that Richard A. Heyman, Ph.D. has been nominated to be elected to the Company’s Board of Directors at the Annual Meeting of the Stockholders scheduled to be held on August 21, 2013. Dr. Heyman is expected to replace Andras Forgacs on the Company’s Board. Following Dr. Heyman’s election to the Company’s Board of Directors, the Board will increase the current majority of independent directors from three to four members. The Company’s Board has formally endorsed Dr. Heyman’s candidacy in the Company’s Proxy Statement, filed on July 12, 2013. A shelf registration statement on Form S-3 (File No. 333-189995), or shelf, was filed with the SEC on July 17, 2013 authorizing the offer and sale in one or more offerings of up to $100,000,000 in aggregate of common stock, preferred stock, debt securities, warrants to purchase common stock, preferred stock or debt securities, or any combination of the foregoing, either individually or as units comprised of one or more of the other securities. This shelf was declared effective by the SEC on July 26, 2013. On July 25, 2013, Andras Forgacs, a member of the Board of Directors, announced his resignation from the Board, effective immediately. There were no disagreements between Mr. Forgacs and the Company relative to his resignation. Subsequent to June 30, 2013, the Company had 1,242,478 warrants exercised on a cashless basis, for a net issuance of 981,055 shares and 225,000 warrants exercised for 225,000 common shares for cash proceeds to the Company of $609,000. On August 2, 2013, the Company, entered into an Underwriting Agreement (the “Underwriting Agreement”) with Lazard Capital Markets LLC, acting as representative of the underwriters named in the Underwriting Agreement (the “Underwriters”) and joint book-runner with Oppenheimer & Co. Inc., relating to the issuance and sale of 10,350,000 shares of the Company’s common stock, par value $0.001 per share (the “Offering”), which includes the issuance and sale of 1,350,000 shares pursuant to an overallotment option exercised by the Underwriters on August 5, 2013. JMP Securities LLC and Maxim Group LLC each acted as co-managers for the offering. The price to the public in the Offering was $4.50 per share, and the Underwriters purchased the shares from the Company pursuant to the Underwriting Agreement at a price of $4.23 per share. The net proceeds to the Company from the Offering were approximately $43.3 million, after deducting underwriting discounts and commissions and estimated Offering expenses of $2.8 million payable by the Company, including the Underwriters’ exercise of the overallotment option. The transactions contemplated by the Underwriting Agreement closed on August 7, 2013. The Underwriting Agreement contained customary representations, warranties and agreements by the Company, customary conditions to closing, indemnification obligations of the Company and the Underwriters, including for liabilities under the Securities Act, other obligations of the parties and termination provisions. The representations, warranties and covenants contained in the Underwriting Agreement were made only for purposes of the Underwriting Agreement as of specific dates indicated therein, were solely for the benefit of the parties to the Underwriting Agreement, and may be subject to limitations agreed upon by the parties, including being qualified by confidential disclosures exchanged between the parties in connection with the execution of the Underwriting Agreement.

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Filing Submission 0001193125-13-329393 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Organovo Holdings, Inc. – ‘10-Q’ for 6/30/13 – ‘XML.R14’

On: Friday, 8/9/13, at 5:20pm ET · For: 6/30/13 · Accession #: 1193125-13-329393 · File #: 1-35996

Previous ‘10-Q’: ‘10-Q’ on 11/14/12 for 9/30/12 · Next: ‘10-Q’ on 11/8/13 for 9/30/13 · Latest: ‘10-Q’ on 2/8/24 for 12/31/23

Quarterly Report — Form 10-Q — Sect. 13 / 15(d) – SEA’34Filing Table of Contents

‘XML.R14’ — Subsequent Events

This Financial Report is an XBRL XML File.

Quarterly Report — Form 10-Q — Sect. 13 / 15(d) – SEA’34
Filing Table of Contents