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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 7/01/22 Emmaus Life Sciences, Inc. 10-K/A 12/31/21 11:244K EdgarAgents LLC/FA |
Document/Exhibit Description Pages Size 1: 10-K/A Amendment No. 1 to Form 10-K HTML 38K 6: R1 Document And Entity Information HTML 76K 9: XML IDEA XML File -- Filing Summary XML 12K 7: XML XBRL Instance -- f10k2021a1_emmaus_htm XML 19K 8: EXCEL IDEA Workbook of Financial Reports XLSX 7K 3: EX-101.DEF XBRL Definitions -- emma-20211231_def XML 47K 4: EX-101.LAB XBRL Labels -- emma-20211231_lab XML 97K 5: EX-101.PRE XBRL Presentations -- emma-20211231_pre XML 47K 2: EX-101.SCH XBRL Schema -- emma-20211231 XSD 13K 10: JSON XBRL Instance as JSON Data -- MetaLinks 17± 26K 11: ZIP XBRL Zipped Folder -- 0001213900-22-036519-xbrl Zip 15K
Page | (sequential) | (alphabetic) | ↑Top | ||
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1 | 1st Page – Filing Submission | ||||
" | Explanatory Note | ||||
" | Exhibits and Financial Statement Schedules | ||||
" | Signatures |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM i 10-K/A
(Amendment No. 1)
i ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended i i December 31, i 2021 /
OR
i ☐ 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: i 001-35527
i Emmaus Life Sciences, Inc.
(Exact name of Registrant as specified in its charter)
i Delaware | 2834 | i 87-0419387 | ||
(State or Other Jurisdiction of | (Primary Standard Industrial | (I.R.S. Employer | ||
Incorporation or Organization) | Classification Code Number) | Identification No.) |
i 21250 Hawthorne Boulevard, i Suite 800, i Torrance, i California i 90503
(Address of principal executive offices, including zip code)
( i 310) i 214-0065
(Registrant’s telephone number, including area code)
Securities Registered Pursuant to Section 12(b) of the Act
None.
Securities Registered Pursuant to Section 12(g) of the Act:
i Common stock, $0.001 par value
Common stock purchase warrants
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ☐ i No ☒
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 ☐ i No ☒
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 ☐ i 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 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). Yes ☐ i 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 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 | ☐ | ||
i Non-accelerated filer | ☒ | Smaller reporting company | i ☒ | ||
Emerging growth company | i ☐ |
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. i ☐
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes ☐ No i ☒
The aggregate market value of shares of common stock held by non-affiliates of the registrant as of June 30, 2020, the last business day of the registrant’s most recently completed second fiscal quarter, was $ i 58,283,977 based upon the closing price of the common stock as reported on the OTCQB.
There were i 49,311,864 shares of common stock outstanding as of July 14, 2021.
Auditor Name: i BAKER TILLY US, LLP Auditor Location: i San Diego, California Auditor Firm ID: i 23
TABLE OF CONTENTS
ITEM |
PAGE | |||
EXPLANATORY NOTE | 1 | |||
PART IV | ||||
ITEM 15. | EXHIBITS AND FINANCIAL STATEMENT SCHEDULES | 2 | ||
SIGNATURES | 3 |
C: i
EXPLANATORY NOTE
i Emmaus Life Sciences, Inc. is filing this Form 10-K/A to amend its Annual Report on Form 10-K for the fiscal year ended December 31, 2021, filed with the Securities and Exchange Commission (the “SEC”) on March 31, 2022, for purposes of adding certain exhibits inadvertently omitted therefrom.
C: 1
PART IV
ITEM 15. | EXHIBITS AND FINANCIAL STATEMENT SCHEDULES |
3. | Exhibits: The exhibits listed in the following “Exhibit Index” are incorporated by reference as part of this Annual Report. |
Exhibit
Number |
Exhibit Description | Form | File No. | Exhibit | Filing Date | |||||
10.1 | Purchase and Sale Agreement dated __, 2021 between Emmaus Medical, Inc. and Prestige Capital Finance, LLC. | 8-K | 001-35527 | 10.1 | February 22, 2021 | |||||
10.2 | 8-K | 001-35527 | 10.2 | February 22, 2021 |
2
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, in the City of Torrance, California, on July 1, 2022.
Emmaus Life Sciences, Inc. | |||
By: | /s/ Yutaka Niihara | ||
Name: | Yutaka Niihara, M.D., M.P.H. | ||
Title: | Chairman and Chief Executive Officer |
3
This ‘10-K/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 7/1/22 | |||
3/31/22 | 10-K, 10-Q, 8-K | |||
For Period end: | 12/31/21 | 10-K | ||
7/14/21 | ||||
2/22/21 | 8-K | |||
6/30/20 | 10-Q | |||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/22/21 Emmaus Life Sciences, Inc. 8-K:1,2,9 2/22/21 4:146K EdgarAgents LLC/FA |