Company Quick10K Filing
Southwall Technologies
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8-K 2019-09-12

SWTX 8K Current Report

Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
Item 5.03. Amendments To Articles of Incorporation or Bylaws.
Item 8.01. Other Events.
Item 9.01. Financial Statements and Exhibits.
EX-3.1 tv529565_ex3-1.htm
EX-3.2 tv529565_ex3-2.htm

Southwall Technologies Report 2019-09-12

8-K 1 tv529565_8k.htm FORM 8-K

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): September 12, 2019

 

 

SPRINGWORKS THERAPEUTICS, INC.

(Exact name of registrant as specified in its charter)

 

 

Delaware  001-39044  83-4066827

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(I.R.S. Employer

Identification No.)

 

100 Washington Blvd
Stamford, CT 06902

(Address of principal executive offices, including zip code)

 

(203) 883-9490

(Registrant’s telephone number, including area code)

 

Not Applicable

(Former Name or Former Address, if Changed Since Last Report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class Trading Symbol(s) Name of each exchange on which registered
Common Stock, par value $0.0001 per share SWTX The Nasdaq Global Select Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

 

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.  ¨

 

 

 

 

 

 

Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

Director Resignations

 

As previously disclosed in the Registration Statement on Form S-1 (File No. 333-233351) (the “Registration Statement”) of SpringWorks Therapeutics, Inc., a Delaware corporation (the “Company”), effective as of and contingent upon the pricing of the Company’s initial public offering of Company’s common stock (the “IPO”), Dr. Carl Gordon and Mr. Deval Patrick each resigned from the Company’s board of directors (the “Board”). The resignations of Dr. Gordon and Mr. Patrick were not caused by any disagreement with the Company.

 

Item 5.03. Amendments to Articles of Incorporation or Bylaws.

 

Amendment and Restatement of Certificate of Incorporation

 

As previously disclosed in the Registration Statement, on September 17, 2019 and in connection with the consummation of the IPO, the Company filed a second amended and restated certificate of incorporation (the “Restated Certificate”) with the Secretary of State of the State of Delaware. The Board and the Company’s stockholders previously approved the Restated Certificate to be filed in connection with, and to be effective upon, the consummation of the IPO. The Restated Certificate amends and restates the Company’s existing amended and restated certificate of incorporation in its entirety to, among other things: (i) authorize 150,000,000 shares of common stock; (ii) eliminate all references to the previously-existing series of preferred stock; and (iii) authorize 10,000,000 shares of undesignated preferred stock that may be issued from time to time by the Board in one or more series.

 

The foregoing description of the Restated Certificate is qualified by reference to the Restated Certificate, a copy of which is attached hereto as Exhibit 3.1 and is incorporated herein by reference.

 

Amendment and Restatement of Bylaws

 

In addition, as previously disclosed in the Registration Statement, on September 12, 2019 and in connection with the consummation of the IPO, the amended and restated bylaws of the Company (the “Amended and Restated Bylaws”), previously approved by the Board and the Company’s stockholders to become effective immediately upon effectiveness of the Registration Statement, became effective. The Amended and Restated Bylaws amend and restate the Company’s bylaws in their entirety to, among other things: (i) eliminate the ability of the Company’s stockholders to take action by written consent in lieu of a meeting and call special meetings of stockholders; (ii) establish procedures relating to the presentation of stockholder proposals at stockholder meetings; (iii) establish procedures relating to the nomination of directors; and (iv) conform to the amended provisions of the Restated Certificate.

 

The foregoing description of the Amended and Restated Bylaws is qualified by reference to the Amended and Restated Bylaws, a copy of which is attached hereto as Exhibit 3.2 and is incorporated herein by reference.

 

Item 8.01. Other Events.

 

On September 17, 2019, the Company completed its IPO of 10,350,000 shares of common stock at a price to the public of $18.00 per share for gross proceeds of $186.3 million before deducting underwriting discounts and commissions and estimated offering expenses. This included the exercise in full by the underwriters of their option to purchase 1,350,000 additional shares of Common Stock from the Company at the public offering price, less underwriting discounts and commissions.

 

 

 

 

Item 9.01. Financial Statements and Exhibits.

 

(d)Exhibits

 

3.1 Second Amended and Restated Certificate of Incorporation of SpringWorks Therapeutics, Inc.
   
3.2 Amended and Restated Bylaws of SpringWorks Therapeutics, Inc.

 

 

 

 

SIGNATURE

 

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 hereunto duly authorized.

 

  SpringWorks Therapeutics, Inc.
   
Date: September 17, 2019 By:  /s/ Francis I. Perier, Jr.
    Francis I. Perier, Jr.
    Chief Financial Officer