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ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934
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Delaware
(State or other jurisdiction of
incorporation or organization)
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20-1915083
(I.R.S. Employer Identification No.)
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Large accelerated filer o
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Accelerated filer o
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Non-accelerated filer o
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Smaller reporting company þ
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PART II
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ITEM 9A. CONTROLS AND PROCEDURES
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4
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PART IV
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ITEM 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES
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5
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ATHERONOVA INC.
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(Registrant)
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Date: May 8, 2013
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By:
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/s/Thomas W. Gardner
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Thomas W. Gardner
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Chairman, Chief Executive Officer & President
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(Principal Executive Officer)
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Signature
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Title
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Date
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/s/Thomas W. Gardner
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Chairman, Chief Executive Officer and President
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May 8, 2013
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Thomas W. Gardner
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(Principal Executive Officer)
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/s/Mark Selawski
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Chief Financial Officer and Secretary
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May 8, 2013
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Mark Selawski
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(Principal Financial and Accounting Officer)
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* | |||
Chaim Davis
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Director
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May 8, 2013
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*
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Gary Freeman
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Director
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May 8, 2013
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*
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Boris Ratiner, M.D.
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Director
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May 8, 2013
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*
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Director
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May 8, 2013
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Alexander Polinsky
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*
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Director
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May 8, 2013
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Paul DiPerna
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*
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Director
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May 8, 2013
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Johan (Thijs) Spoor
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*
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Director
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May 8, 2013
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Fred Knoll
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* By: | /s/ Mark Selawski | |
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Mark Selawski | |
as Attorney-in-Fact |
Exhibit Number
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Description of Exhibit
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2.1
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Merger Agreement by and between Trist Holdings, Inc., Z&Z Merger Corporation and Z&Z Medical Holdings, Inc., dated March 26, 2010. Incorporated by reference to Exhibit 2.1 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on April 1, 2010.
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3.1
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Amended and Restated Certificate of Incorporation. Incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on June 25, 2010.
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3.2
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Amended and Restated Bylaws. Incorporated by reference to Exhibit 3.2 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on June 23, 2010.
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4.1
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Amended and Restated Certificate of Incorporation. Incorporated by reference to Exhibit 3.1.
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4.2
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Amended and Restated Bylaws. Incorporated by reference to Exhibit 3.2.
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4.3
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2010 Stock Incentive Plan. Incorporated by reference to Exhibit B to the Definitive Information Statement on Schedule 14C (File No. 000-52315) filed with the Securities and Exchange Commission on June 3, 2010. **
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10.1
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Securities Purchase Agreement dated May 13, 2010, among AtheroNova Inc., W-Net Fund I, L.P., Europa International, Inc. and MKM Opportunity Master Fund, Ltd. Incorporated by reference to Exhibit 10.3 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on May 20, 2010.
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10.2
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Security Agreement dated May 13, 2010, among AtheroNova Inc., W-Net Fund I, L.P., Europa International, Inc. and MKM Opportunity Master Fund, Ltd. Incorporated by reference to Exhibit 10.5 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on May 20, 2010.
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10.3
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IP Security Agreement dated May 13, 2010, among AtheroNova Inc., W-Net Fund I, L.P., Europa International, Inc. and MKM Opportunity Master Fund, Ltd. Incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on May 20, 2010.
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10.4
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Form of Promissory Note. Incorporated by reference to Exhibit 10.7 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on May 20, 2010.
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10.5
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Form of Warrant. Incorporated by reference to Exhibit 10.8 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on May 20, 2010.
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10.6
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Management Consulting Agreement dated August 30, 2010, between AtheroNova Inc. and Thomas W. Gardner. Incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on September 3, 2010. †
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10.7
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Employment Agreement dated August 30, 2010, between AtheroNova Inc. and Mark Selawski. Incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on September 3, 2010. †
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10.8
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Stock Purchase Agreement dated November 3, 2011, between the Registrant and OOO CardioNova. Incorporated by reference to Exhibit 10.1 to the Quarterly Report on Form 10-Q (File No. 000-52315) filed with the Securities and Exchange Commission on November 10, 2011. *
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10.9
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License Agreement dated November 4, 2011, between the Registrant, AtheroNova Operations, Inc. and OOO CardioNova. Incorporated by reference to Exhibit 10.2 to the Quarterly Report on Form 10-Q (File No. 000-52315) filed with the Securities and Exchange Commission on November 10, 2011. *
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10.10
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Securities Purchase Agreement, dated as of May 14, 2012, by and among AtheroNova Inc., ACT Capital Partners, L.P., and Amir L. Ecker. Incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on May 25, 2012.
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10.11
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Form of 12% Convertible Note. Incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on May 25, 2012.
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10.12
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Form of Common Stock Purchase Warrant. Incorporated by reference to Exhibit 10.3 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on May 25, 2012.
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10.13
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Subsidiary Guarantee, dated as of May 14, 2012, made by AtheroNova Operations, Inc. in favor of ACT Capital Partners, L.P. and Amir L. Ecker. Incorporated by reference to Exhibit 10.4 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on May 25, 2012.
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10.14
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Form of Amendment and Exchange Agreement dated June 15, 2012. Incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on June 20, 2012.
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10.15
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Form of Second Amended and Restated 2.5% Senior Secured Convertible Note. Incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on June 20, 2012.
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10.16
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Form of Amended and Restated Common Stock Purchase Warrant. Incorporated by reference to Exhibit 10.3 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on June 20, 2012.
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10.17
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Office Lease dated June 15, 2012 between AtheroNova Inc. and TR Dupont Centre LLC. Incorporated by reference to Exhibit 10.4 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on June 20, 2012.
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10.18
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Form of Subscription Agreement. Incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on October 5, 2012.
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10.19
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Form of Common Stock Purchase Warrant. Incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on October 5, 2012.
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10.20
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First Amendment to Employment Agreement dated December 4, 2012 and effective August 29, 2012, between AtheroNova Inc. and Mark Selawski. Incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K (File No. 000-52315) filed with the Securities and Exchange Commission on December 6, 2012.
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21.1
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Subsidiaries of the Registrant. Incorporated by reference to Exhibit 21.1 to the Registration Statement on Form S-1(File No. 333-167866) filed with the Securities and Exchange Commission on June 29, 2010.
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23.1
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Consent of Independent Registered Public Accounting Firm. Incorporated by reference to Exhibit 23.1 to the Annual Report on Form 10-K (File No. 000-52315) filed with the Securities and Exchange Commission on April 1, 2013.
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24.1
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Power of Attorney. Incorporated by reference to the signature page to the Annual Report on Form 10-K (File No. 000-52315) filed with the Securities and Exchange Commission on April 1, 2013.
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31.1
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Certification of Principal Executive Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to section 302 of the Sarbanes-Oxley Act of 2002.
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31.2
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Certification of Principal Financial Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to section 302 of the Sarbanes-Oxley Act of 2002.
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32.1
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Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002.
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32.2
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Certification of Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002.
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101.INS**
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XBRL Instance. Incorporated by reference to Exhibit 101.INS to the Annual Report on Form 10-K (File No. 000-52315) filed with the Securities and Exchange Commission on April 1, 2013.
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101.SCH**
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XBRL Taxonomy Extension Schema. Incorporated by reference to Exhibit 101.SCH to the Annual Report on Form 10-K (File No. 000-52315) filed with the Securities and Exchange Commission on April 1, 2013.
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101.CAL**
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XBRL Taxonomy Extension Calculation. Incorporated by reference to Exhibit 101.CAL to the Annual Report on Form 10-K (File No. 000-52315) filed with the Securities and Exchange Commission on April 1, 2013.
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101.DEF**
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XBRL Taxonomy Extension Definition. Incorporated by reference to Exhibit 101.DEF to the Annual Report on Form 10-K (File No. 000-52315) filed with the Securities and Exchange Commission on April 1, 2013.
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101.LAB**
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XBRL Taxonomy Extension Labels. Incorporated by reference to Exhibit 101.LAB to the Annual Report on Form 10-K (File No. 000-52315) filed with the Securities and Exchange Commission on April 1, 2013.
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101.PRE**
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XBRL Taxonomy Extension Presentation. Incorporated by reference to Exhibit 101.PRE to the Annual Report on Form 10-K (File No. 000-52315) filed with the Securities and Exchange Commission on April 1, 2013.
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