tndm-10qa_20180930.htm

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 10-Q/A

(Amendment No. 1)

 

QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the Quarterly Period Ended September 30, 2018

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 001-36189

 

Tandem Diabetes Care, Inc.

(Exact name of registrant as specified in its charter)

 

 

Delaware

 

20-4327508

(State or other jurisdiction of

incorporation or organization)

 

(I.R.S. Employer

Identification No.)

 

 

 

11075 Roselle Street

San Diego, California

 

92121

(Address of principal executive offices)

 

(Zip Code)

(858) 366-6900

Registrant’s telephone number, including area code

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

 

   Title of Each Class   

 

   Name of Exchange on Which Registered   

Common Stock, par value $0.001 per share

 

The NASDAQ Stock Market LLC

 

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      No  

Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted 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 such files).    Yes      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 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

 

Non-accelerated filer

 

                                 

  

Smaller reporting company

 

 

 

 

 

Emerging growth company

 

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 is a shell company (as defined in Rule 12b-2 of the Exchange Act).    Yes      No  

As of October 24, 2018, there were 57,369,283  shares of the registrant’s Common Stock outstanding.

 

 

 


 


 

EXPLANATORY NOTE

The sole purpose of this Amendment No. 1 (the “Amendment”) to the Tandem Diabetes Care, Inc. Quarterly Report on Form 10-Q (the “Original Form 10-Q”) for the period ended September 30, 2018, as filed with the Securities and Exchange Commission (the “SEC”) on November 1, 2018, is to revise the hierarchical headings and certain formatting within Exhibit 10.5, previously included with the Original Form 10-Q, to conform the as filed version of Exhibit 10.5 with the execution version.

This Amendment contains only the cover page, the Explanatory Note, Item 6. Exhibits, the Signature Page and the officer certifications required by Section 302 of the Sarbanes-Oxley Act of 2002. Except as described above, no other changes have been made to the Original Form 10-Q.

This Amendment does not reflect events that may have occurred subsequent to the original filing date and does not modify or update in any way disclosures made in the Original Form 10-Q. Accordingly, this Amendment should be read in conjunction with the Original Form 10-Q and our other filings with the SEC.

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Item 6.

Exhibits

 

 

 

 

 

Incorporated by Reference

 

 

 

Provided Herewith

Exhibit Number

 

Exhibit Description

 

Form

 

File No.

 

Date of First Filing

 

Exhibit Number

 

 

10.5**

 

Development Agreement, dated June 4, 2015 by and between Tandem Diabetes Care, Inc. and Dexcom, Inc.

 

 

 

 

 

 

 

 

 

X

31.1

 

Certification of Kim D. Blickenstaff, Chief Executive Officer, pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

 

 

 

 

 

 

 

 

 

X

31.2

 

Certification of Leigh A. Vosseller, Chief Financial Officer, pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

 

 

 

 

 

 

 

 

 

X

 

 

**

Confidential treatment has been granted with respect to certain portions of this exhibit pursuant to an application for confidential treatment sent to the Securities and Exchange Commission. Such portions are omitted from this filing and have been filed separately with the Securities and Exchange Commission.

.


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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.

 

 

 

 

 

Tandem Diabetes Care, Inc.

 

 

 

 

 

 

 

Dated: November 9, 2018

 

 

 

By:

 

/s/ Kim D. Blickenstaff

 

 

 

 

 

 

Kim D. Blickenstaff

 

 

 

 

 

 

President, Chief Executive Officer and Director

(on behalf of the registrant and as the registrant’s Principal Executive Officer)

 

 

 

 

 

 

 

 

 

 

 

By:

 

/s/ Leigh A. Vosseller

 

 

 

 

 

 

Leigh A. Vosseller

 

 

 

 

 

 

Executive Vice President, Chief Financial Officer and Treasurer

(on behalf of the registrant and as the registrant’s Principal Financial and Accounting Officer)

 

 

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