Document



UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
FORM 10-Q/A
Amendment No. 1
(Mark One)
x
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the quarterly period ended September 30, 2017
OR
o
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: 001-36783
 
BELLICUM PHARMACEUTICALS, INC.
(Exact name of registrant as specified in its charter)
 

Delaware
 
2836
 
20-1450200
(State or other jurisdiction of
incorporation or organization)
 
(Primary Standard Industrial
Classification Code Number)
 
(I.R.S. Employer
Identification Number)
 2130 W. Holcombe Blvd., Ste. 800
Houston, TX 77030
(832) 384-1100
(Address, including zip code, and telephone number, including
area code, of registrant’s principal executive offices)
 
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    x   No    o

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).   Yes    x   No    o





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
o
 
 
Accelerated filer
x
Non-accelerated filer
o
(Do not check if a smaller reporting company)
 
Smaller reporting company
o
Emerging growth company
x
 
 
 
 

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. x

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).   Yes    o   No   x

As of November 3, 2017, there were 33,255,281 outstanding shares of Bellicum’s common stock, par value, $0.01 per share.





EXPLANATORY NOTE

Bellicum Pharmaceuticals, Inc. (the “Company”) is filing this Amendment No. 1 (this “Amendment”) to its Quarterly Report on Form 10-Q, filed with the Securities and Exchange Commission on November 7, 2017 (the “Original Report”), to correct the number of outstanding shares of the Company’s common stock set forth on the cover page of the Original Report. The Company previously reported such number as 33,226,519 shares; however, the correct number of outstanding shares of the Company’s common stock as of November 3, 2017 is 33,255,281.

In addition, as required by Rule 12b-15, new certifications by our principal executive officer and principal financial officer pursuant to Rules 13a-14(a) and 15d-14(a) of the Exchange Act of 1934, as amended, are filed as exhibits to this Amendment. No other changes have been made to the Original Report. This Amendment does not reflect events that may have occurred after the filing date of the Original Report and does not modify or update in any way the other disclosures made in the Original Report.


Item 6. Exhibits

EXHIBIT INDEX
Exhibit
number
 
Description of exhibit
 
 
 
31.1
 
 
 
 
31.2
 
 
 
 






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.



 
Bellicum Pharmaceuticals, Inc.
 
 
 
Date: November 16, 2017
By:
/s/ Richard A. Fair
 
 
Richard A. Fair
 
 
President and Chief Executive Officer
Principal Executive Officer
 
 
 
Date: November 16, 2017
By:
/s/ Alan A. Musso
 
 
Alan A. Musso
 
 
Chief Financial Officer and Treasurer
Principal Financial and Accounting Officer