UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 


FORM 10-Q/A

Amendment No. 1

 

x  QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE

SECURITIES EXCHANGE ACT OF 1934 

 

For the quarterly period ended June 30, 2017

 

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 000-30929

  

 

 

MUSTANG BIO, INC.

(Exact name of registrant as specified in its charter)

 

Delaware

(State or other jurisdiction of incorporation or organization)

47-3828760

(I.R.S. Employer Identification No.)

 

2 Gansevoort Street, 9th Floor

New York, New York 10014

(Address including zip code of principal executive offices)

 

(781) 652-4500

(Registrant's telephone number, including area code)

 

 

(Former name, former address and former fiscal year, if changed since last report)

 

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 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 (§232.405 of this chapter) 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, 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 ¨ Accelerated filer x
Non-accelerated filer o  (Do not check if a smaller reporting company) Smaller reporting company ¨
    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 ¨ No x

 

Class of Common Stock   Outstanding Shares as of November 13, 2017
Class A Common Stock, $0.0001 par value   1,000,000
Common Stock, $0.0001 par value   25,232,139

 

 

 

 

 

 

EXPLANATORY NOTE

 

MUSTANG BIO, INC. (the “Company”) is filing this amendment (the “Form 10-Q/A”) to our Quarterly Report on Form 10-Q for the quarter ended June 30, 2017 (the “Form 10-Q”), filed with the U.S. Securities and Exchange Commission on August 14, 2017, solely to correct a change to the exhibits. While the exhibit list of the Form 10-Q correctly included Exhibits 10.1, 10.2, and 10.3, we received further comments from the Securities and Exchange Commission on our Confidential Treatment Request that require additional revisions to the documents. They are now being filed with this 10-Q/A.

 

This Form 10-Q/A should be read in conjunction with the original Form 10-Q, which continues to speak as of the date of the Form 10-Q. Except as specifically noted above, this Form 10-Q/A does not modify or update disclosures in the original Form 10-Q. Accordingly, this Form 10-Q/A does not reflect events occurring after the filing of the Form 10-Q or modify or update any related or other disclosures.

 

 

 

 

ITEM 6. EXHIBITS

 

The exhibits listed on the Exhibit Index are included with this report.

 

Exhibit
No.
  Description
     
10.1   License Agreement dated May 31, 2017 by and between Mustang Bio, Inc. and City of Hope (CSI) ^
     
10.2   License Agreement dated May 31, 2017 by and between Mustang Bio, Inc. and City of Hope (PSCA) ^
     
10.3   License Agreement dated May 31, 2017 by and between Mustang Bio, Inc. and City of Hope (HER2 CAR) ^
     
31.1   Certification of Chairman, President and Chief Executive Officer (Principal Executive Officer), pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (filed herewith).
     
31.2   Certification of Interim Chief Financial Officer (Principal Financial Officer), pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (filed herewith).

 

^Confidential treatment has been requested with respect to omitted portions of this exhibit.

 

 

 

 

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.

 

  MUSTANG BIO, INC.
     
November 14, 2017 By: /s/ Manuel Litchman
   

Manuel Litchman, M.D., President and

Chief Executive Officer (Principal Executive Officer)

     
  By: /s/ David J. Horin
   

David J. Horin

Interim Chief Financial Officer (Principal Financial Officer)