Amended Annual Report (10-k/a)
31 Maggio 2023 - 12:02PM
Edgar (US Regulatory)
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2022
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QC
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2022-12-31
2022-12-31
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2022-06-30
0001408443
2023-03-29
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
(Amendment No. 1)
(Mark One)
x 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
¨ 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 001-38899
Milestone Pharmaceuticals Inc.
(Exact name of registrant as specified in its
charter)
|
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Québec |
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Not applicable |
(State or Other Jurisdiction of Incorporation or Organization) |
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(I.R.S. Employer Identification No.) |
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|
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1111 Dr. Frederik-Phillips Boulevard, Suite 420
Montréal, Québec CA |
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H4M 2X6 |
(Address of Principal Executive Offices) |
|
(Zip Code) |
Registrant’s telephone number, including
area code (514)-336-0444
Securities registered pursuant to Section 12(b) of
the Act:
Title of each class |
|
Trading Symbol(s) |
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Name of each exchange
on which registered |
Common Shares |
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MIST |
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The Nasdaq Stock Market LLC |
Indicate by check mark if
the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ¨ No x
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 ¨ No x
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 ¨
Indicate by check mark whether
the registrant has submitted electronically, if any, every Interactive Data File required to be submitted 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 ¨
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 ¨ |
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Accelerated filer ¨ |
|
Non-accelerated filer x |
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Smaller reporting company x |
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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.
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. Yes ¨ No x
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 Exchange Act). Yes ¨ No x
The aggregate market
value (approximate) of the registrant’s common equity held by non-affiliates based on the closing price of a share of the
registrant’s common share for The Nasdaq Stock Market on June 30, 2022 (the last business day of the registrant’s
most recently completed second fiscal quarter) was $184.5 million.
As of March 29th, 2023, the
total number of shares outstanding of the registrant’s Common Shares was 33,287,226 shares, net of treasury shares.
DOCUMENTS INCORPORATED
BY REFERENCE:
Portions of the registrant’s
definitive proxy statement for the registrant’s 2023 annual meeting of stockholders, to be filed within 120 days after the close
of the registrant’s fiscal year, are incorporated by reference into Part III of this Annual Report.
Auditor firm ID |
Auditor Name |
Auditor Location |
PCAOB ID: 271 |
PricewaterhouseCoopers LLP |
Montréal, Canada |
EXPLANATORY NOTE
On March 29, 2023, Milestone Pharmaceuticals Inc. (the “Company”)
filed its Annual Report on Form 10-K for the fiscal year ended December 31, 2022 (the “Original Form 10-K”). This Amendment
No. 1 (the “Amendment”) amends the Original Form 10-K solely to correct an administrative error in Exhibit
23.1, Consent of PricewaterhouseCoopers LLP, an Independent Registered Public Accounting Firm (the “Consent”). The Consent has been amended to include reference to additional outstanding registration statements that were omitted from the originally
filed Exhibit 23.1 Consent. The revised Exhibit 23.1 is filed as Exhibit 23.1 attached hereto.
This Amendment speaks as of the filing date of the Original Form
10-K and does not reflect events occurring after the filing of the Original Form 10-K. No other revisions are being made to the
Company’s financial statements or any other disclosure contained in the Original Form 10-K. This Amendment is an exhibit-only
filing. Except for Exhibit 23.1, this Amendment does not otherwise update any exhibits as originally filed or previously
amended.
In addition, as required by Rule 12b-15 under the Securities Exchange
Act of 1934, as amended (the “Exchange Act”), new certifications by the Company’s principal executive officer and principal
financial officer are filed herewith as exhibits to this Amendment pursuant to Rule 13a-14(a) or 15d-14(a) of the Exchange Act. As no
financial statements have been included in this Amendment and this Amendment does not contain or amend any disclosure with respect to
Items 307 and 308 of Regulation S-K, paragraphs 3, 4, and 5 of the certifications have been omitted. The Company is not including certifications
pursuant to Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. 1350) as no financial statements are being filed
with this Amendment.
PART IV
ITEM 15. EXHIBITS,
FINANCIAL STATEMENT SCHEDULES.
(b) Exhibits
The following list of exhibits
includes exhibits submitted with this Annual Report on Form 10-K as filed with the SEC and others incorporated by reference to other
filings.
SIGNATURES
Pursuant to the requirements of Section 13
or 15(d) of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned,
thereunto duly authorized.
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Milestone Pharmaceuticals Inc. |
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Dated: May 30, 2023 | |
/s/ Joseph Oliveto |
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Joseph Oliveto |
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Chief Executive Officer |
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