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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Lee Pharmaceuticals
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| April 27, 2023 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 1-K SPECIAL REPORT PURSUANT TO RULE 257(B)(2) OF REGULATION A Lee Pharmaceuticals (Exact name of issuer as specified in its charter) Colorado (State or other jurisdiction of incorporation or organization) 95-2680312 (I.R.S. Employer Identification Number) 11 N Water St. Mobile, AL 36602 678-999-6242 (Full mailing address of principa |
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| April 27, 2023 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Auditors Consent CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To The Shareholders and Board of Directors of Lee Pharmaceuticals, Inc. |
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| January 20, 2023 |
253G1 1 lphm253g1.htm OFFERING CIRCULAR Filed Pursuant to Rule 253(g)(1) Offering File Number: 024-11991 OFFERING CIRCULAR SUPPLEMENT NO. 1 Date of Qualification of the Offering Circular: January 17, 2023 LEE PHARMACEUTICALS, INC. 11 N Water Street Mobile, AL 36602 (307) 278-1360 January 20, 2023 This document (the “Supplement”) supplements the Offering Statement filed on Form 1-A of Lee Pharmaceu |
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| January 19, 2023 |
Filed Pursuant to Rule 253(g)(1) Offering File Number: 024-11991 OFFERING CIRCULAR SUPPLEMENT NO. |
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| January 13, 2023 |
LEE PHARMACEUTICALS, INC. 11 N. Water St. Mobile, Alabama 36602 JANUARY 13, 2023 LEE PHARMACEUTICALS, INC. 11 N. Water St. Mobile, Alabama 36602 JANUARY 13, 2023 VIA EDGAR Attorney Lauren Pierce Division of Corporation Finance Office of Technology U.S. Securities and Exchange Commission Re: Lee Pharmaceuticals, Inc. Form 1-A: Request for Qualification File No. 024-11991 Dear Ms. Pierce: Lee Pharmaceuticals, Inc. (the “Company”) hereby requests qualification of the Company’s ab |
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| December 29, 2022 |
Part II SEC File No. U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 1-A/A Dated: December 28, 2022 REGULATION A OFFERING CIRCULAR UNDER THE SECURITIES ACT OF 1933 Lee Pharmaceuticals, Inc. (Exact name of issuer as specified in its charter) Colorado (State of other jurisdiction of incorporation or organization) 11 N Water Street Mobile, AL 36602 (307) 278-1360 (Address, including |
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| December 1, 2022 |
SEC File No. U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 1-A/A Dated: November 30, 2022 REGULATION A OFFERING CIRCULAR UNDER THE SECURITIES ACT OF 1933 Lee Pharmaceuticals, Inc. (Exact name of issuer as specified in its charter) Colorado (State of other jurisdiction of incorporation or organization) 11 N Water Street Mobile, AL 36602 (307) 278-1360 (Address, including zip cod |
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| October 18, 2022 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Regulation A Offering Circular under the Securities Act of 1933 on Form 1-A of our report dated March 15, 2022, with respect to the audited balance sheets of Lee Pharmaceuticals, Inc. |
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| October 18, 2022 |
SEC File No. U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 1-A Dated: October 18, 2022 REGULATION A OFFERING CIRCULAR UNDER THE SECURITIES ACT OF 1933 Lee Pharmaceuticals, Inc. (Exact name of issuer as specified in its charter) Colorado (State of other jurisdiction of incorporation or organization) 11 N Water Street Mobile, AL 36602 (307) 278-1360 (Address, including zip code, |
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| September 13, 2022 |
Exhibit 12.1 Jeffrey Turner – Attorney at Law 897 Baxter Drive So. Jordan, Utah 84095 (801) 810-4465 Admitted in the State of Utah September 12, 2022 John Morgan Chief Executive Officer Lee Pharmaceuticals, Inc. 30 N Gould Street Suite 5835 Sheridan, WY 82801 Dear Mr. Morgan: I have acted, at your request, as special counsel to Lee Pharmaceuticals, Inc., a Colorado corporation (the “Company”), for |
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| September 13, 2022 |
PART II AND III 2 lphm1a.htm PART II SEC File No. U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 1-A Dated: September 12, 2022 REGULATION A OFFERING CIRCULAR UNDER THE SECURITIES ACT OF 1933 Lee Pharmaceuticals, Inc. (Exact name of issuer as specified in its charter) Colorado (State of other jurisdiction of incorporation or organization) 30 N Gould Street Suite 5835 Sheridan, WY |
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| September 13, 2022 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Regulation A Offering Circular under the Securities Act of 1933 on Form 1-A of our report dated March 15, 2022, with respect to the audited balance sheets of Lee Pharmaceuticals, Inc. |
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| September 13, 2022 |
LEE PHARMACEUTICALS, INC. SUBSCRIPTION AGREEMENT REGULATION A SHARES Subscription Agreement LEE PHARMACEUTICALS, INC. SUBSCRIPTION AGREEMENT REGULATION A SHARES THIS SUBSCRIPTION AGREEMENT made as of the day of, 2022, between LEE PHARMACEUTICALS, INC., a corporation organized under the laws of the State of Colorado, (the “Company”), and the undersigned (the “Subscriber” and together with each of the other subscribers in the Offering (defined below), the “Subscriber |
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| September 13, 2022 |
EX1A-2A CHARTER 5 lphmex23.htm AMENDMENT TO ARTICLES OF INCORPORATION Document must be filed electronically. Paper documents are not accepted. Fees & forms are subject to change. For more information or to print copies of filed documents, visit www.sos.state.co.us. Colorado Secretary of State Date and Time: 09/12/2022 10:24 PM ID Number: 20218242083 Document number: 20221884427 Amount Paid: $25.00 |
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| September 13, 2022 |
Document must be filed electronically. Paper documents are not accepted. Fees & forms are subject to change. For more information or to print copies of filed documents, visit www.sos.state.co.us. Colorado Secretary of State Date and Time: 03/07/2022 06:32 PM ID Number: 20218242083 Document number: 20221250628 Amount Paid: $25.00 Articles of Amendment filed pursuant to §7-90-301, et seq. and §7-110 |
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| September 13, 2022 |
Bylaws AMENDED AND RESTATED BYLAWS OF LEE PHARMACEUTICALS, INC. (as amended and restated on July 7, 2022 and effective as of January 10, 2022) ARTICLE I: OFFICES Section 1.1. REGISTERED AGENT AND OFFICE. The registered agent of the Corporation (the "Corporation") shall be as set forth in the Corporation's articles of incorporation, as amended or restated (the "Articles of Incorporation") and the r |
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| September 28, 2005 |
15-12B 1 a05-1693611512b.htm 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 1-7335 Lee Pharmaceuticals (Exact name o |
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| August 5, 2005 |
EXHIBIT 10.2 SECURED PROMISSORY NOTE $37,500.00 Pasadena, California May 27, 2005 FOR VALUE RECEIVED, the undersigned hereby jointly and severally (if applicable) promises to pay to PREFERRED BUSINESS CREDIT, INC., a California Corporation, at 300 N. Lake Ave., Pasadena, California, 91101, or at such other address as the holder may specify in writing, the principal sum of Thirty Seven Thousand Fiv |
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| August 5, 2005 |
EXHIBIT 10.1 STRAIGHT NOTE $350,000 South El Monte, California July 15, 2005 For value received, Lee Pharmaceuticals promises to pay Roberts Proprietaries, Inc. or order, at South El Monte, California the sum of THREE HUNDRED FIFTY THOUSAND DOLLARS, with interest from July 15, 2005, on unpaid principal at the rate of twenty (20) per cent annum; principal is payable monthly, commencing on August 1, |
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| August 5, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2005 OR o 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 1-7335 LEE PHARMACEUTICALS (Ex |
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| August 5, 2005 |
EXHIBIT 10.3 SECURED PROMISSORY NOTE $50,000.00 Pasadena, California May 27, 2005 FOR VALUE RECEIVED, the undersigned hereby jointly and severally (if applicable) promises to pay to PREFERRED BUSINESS CREDIT, INC., a California Corporation, at 300 N. Lake Ave., Pasadena, California, 91101, or at such other address as the holder may specify in writing, the principal sum of Fifty Thousand and 00/100 |
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| June 9, 2005 |
Lee pharmaceuticals 1434 Santa Anita Ave., P.O. Box 3836, South El Monte, CA 91733, U.S.A. Tel.: (626) 442-3141 • TOLL FREE: (800) 950-5337 • FAX: (626) 443-8745 June 9, 2005 Mr. Rufus Decker Branch Chief United States Securities and Exchange Commission Washington, DC 20549-0510 RE: Form 10-KSB for the fiscal year ended September 30, 2004 Form 10-QSB for the quarter ended March 31, 2005 File No. 1 |
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| May 20, 2005 |
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: February 24, 2005 LEE PHARMACEUTICALS (Exact name of registrant as specified in its charter) California 1-7335 95-2680312 (State or other jurisdiction of (Commission File No.) (I.R.S. Employer Incorporation or Organiz |
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| May 13, 2005 |
EXHIBIT 10.7 SECURED PROMISSORY NOTE $18,000.00 Pasadena, California February 10, 2005 FOR VALUE RECEIVED, the undersigned hereby jointly and severally (if applicable) promises to pay to PREFERRED BUSINESS CREDIT, INC., a California Corporation, at 300 N. Lake Ave., Pasadena, California, 91101, or at such other address as the holder may specify in writing, the principal sum of Eighteen Thousand an |
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| May 13, 2005 |
MODIFICATION TO PROMISSORY NOTE EXHIBIT 10.5 MODIFICATION TO PROMISSORY NOTE WHEREAS, on January 26, 1994, Lee Pharmaceuticals (“Maker”) and Henry L. Lee, Jr. (“Holder”) entered into an agreement (“Note”) whereby Lee Pharmaceuticals was to pay to Henry L. Lee, Jr. the sum of One Hundred Thousand Dollars; and WHEREAS, on January 28, 1997, the parties thereto modified said Note to extend the maturity date from January 28, 1997, un |
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| May 13, 2005 |
MODIFICATION TO PROMISSORY NOTE EXHIBIT 10.2 MODIFICATION TO PROMISSORY NOTE WHEREAS, on January 1, 1995, Lee Pharmaceuticals (“Maker”) and Lee Foundation (“Holder”) entered into an agreement (“Note”) whereby Lee Pharmaceuticals was to pay to Lee Foundation the sum of Two Hundred Fifty Thousand Dollars; and WHEREAS, the parties thereto desire to modify said Note; NOW, THEREFORE, the parties modify said Note as follows: 1. The ma |
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| May 13, 2005 |
EXHIBIT 10.8 SECURED PROMISSORY NOTE $60,000.00 Pasadena, California March 30, 2005 FOR VALUE RECEIVED, the undersigned hereby jointly and severally (if applicable) promises to pay to PREFERRED BUSINESS CREDIT, INC., a California Corporation, at 300 N. Lake Ave., Pasadena, California, 91101, or at such other address as the holder may specify in writing, the principal sum of Sixty Thousand and 00/1 |
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| May 13, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended & #160; March 31, 2005 OR o 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 60; 1 - - 7335 LEE |
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| May 13, 2005 |
MODIFICATION TO PROMISSORY NOTE EXHIBIT 10.3 MODIFICATION TO PROMISSORY NOTE WHEREAS, on January 1, 1995, Lee Pharmaceuticals (“Maker”) and Lee Foundation (“Holder”) entered into an agreement (“Note”) whereby Lee Pharmaceuticals was to pay to Lee Foundation the sum of One Hundred Fifty Thousand Dollars; and WHEREAS, the parties thereto desire to modify said Note; NOW, THEREFORE, the parties modify said Note as follows: 1. The ma |
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| May 13, 2005 |
MODIFICATION TO PROMISSORY NOTE EXHIBIT 10.4 MODIFICATION TO PROMISSORY NOTE WHEREAS, on March 15, 1993, Lee Pharmaceuticals (“Maker”) and Henry L. Lee, Jr. (“Holder”) entered into an agreement (“Note”) whereby Lee Pharmaceuticals was to pay to Henry L. Lee, Jr. the sum of Three Hundred Seventy One Thousand Three Hundred Thirty Four Dollars; and WHEREAS, on January 18, 1995, the parties thereto modified said Note to extend the m |
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| May 13, 2005 |
MODIFICATION TO PROMISSORY NOTE EXHIBIT 10.6 MODIFICATION TO PROMISSORY NOTE WHEREAS, on December 23, 1994, Lee Pharmaceuticals (“Maker”) and Henry L. Lee, Jr. (“Holder”) entered into an agreement (“Note”) whereby Lee Pharmaceuticals was to pay to Henry L. Lee, Jr. the sum of Two Hundred Fifty Thousand Dollars; and WHEREAS, on June 30, 1998, the parties thereto modified said Note to extend the maturity date from June 30, 1998, u |
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| May 13, 2005 |
MODIFICATION TO PROMISSORY NOTE EXHIBIT 10.1 MODIFICATION TO PROMISSORY NOTE WHEREAS, on January 1, 1995, Lee Pharmaceuticals (“Maker”) and Megan Amy Lee (“Holder”) entered into an agreement (“Note”) whereby Lee Pharmaceuticals was to pay to Megan Amy Lee the sum of Ten Thousand Dollars; and WHEREAS, the parties thereto desire to modify said Note; NOW, THEREFORE, the parties modify said Note as follows: 1. The maturity date of t |
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| May 11, 2005 |
May 11, 2005 Mr. Rufus Decker Branch Chief United States Securities and Exchange Commission Washington, DC 20549-0510 RE: Form 10-KSB for the fiscal year ended September 30, 2004 Form 10-QSB for the quarter ended December 31, 2004 File No. 1-7335 Dear Mr. Decker: We have received the letter dated April 29, 2005 containing the comments of the Staff of the Securities and Exchange Commission (“the Co |
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| April 21, 2005 |
FOR THE TWELVE MONTHS ENDED SEPTEMBER 30, 2004 1434 Santa Anita Ave., P.O. Box 3836, South El Monte, CA 91733, U.S.A. Tel.: (626) 442-3141 • TOLL FREE: (800) 950-5337 • FAX: (626) 443-8745 April 21, 2005 Mr. Rufus Decker Branch Chief United States Securities and Exchange Commission Washington, DC 20549-0510 RE: Form 10-KSB for the fiscal year ended September 30, 2004 Form 10-QSB for the quarter ended December 31, 2004 File No. 1-7335 Dear Mr. |
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| April 20, 2005 |
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: April 20, 2005 LEE PHARMACEUTICALS (Exact name of registrant as specified in its charter) California 1-7335 95-2680312 (State or other jurisdiction of (Commission File No.) (I.R.S. Employer Incorporation or Organizati |
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| March 15, 2005 |
March 15, 2005 Mr. Rufus Decker Branch Chief United States Securities and Exchange Commission Washington, DC 20549-0510 RE: Form 10-KSB for the Fiscal Year ended September 30, 2004 File No. 1-7335 Dear Mr. Decker: We have received the letter dated February 9, 2005 containing the comments of the Staff of the Securities and Exchange Commission (“the Commission”). Here are the responses of Lee Pharma |
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| February 11, 2005 |
ASSET PURCHASE AND SALE AGREEMENT EXHIBIT 10.2 ASSET PURCHASE AND SALE AGREEMENT THIS AGREEMENT is made as of this 12th day of October, 2004, by and between LEE PHARMACEUTICALS, INC., a corporation organized and existing under the laws of the State of California (“Seller”) and THE WOOLFOAM CORPORATION, a corporation organized and existing under the laws of the State of New York (“Buyer”). 1. Sale and Transfer of Assets. Seller agr |
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| February 11, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2004 OR o 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 1 - - 7335 LEE PHARMACEUTI |
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| February 11, 2005 |
EXHIBIT 10.1 SECURED PROMISSORY NOTE $190,000.00 Pasadena, California November 23,2004 FOR VALUE RECEIVED, the undersigned hereby jointly and severally (if applicable) promises to pay to PREFERRED BUSINESS CREDIT, INC., a California Corporation, at 300 N. Lake Ave., Pasadena, California, 91101, or at such other address as the holder may specify in writing, the principal sum of One Hundred Ninety T |
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| February 10, 2005 |
Results of Operations and Financial Condition 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: February 10, 2005 LEE PHARMACEUTICALS (Exact name of registrant as specified in its charter) California 1-7335 95-2680312 (State or other jurisdiction of Incorporation or Organization) (Commission File No.) (I.R.S. Em |
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| February 10, 2005 |
Lee Pharmaceuticals Announces First Quarter Results Exhibit 99.1 Lee Pharmaceuticals Announces First Quarter Results Lee Pharmaceuticals (OTC Bulletin Board symbol: LPHM) reported results for the first quarter ended December 31, 2004. Included in the Company’s reported net profit of $85,000 for the three months ended December 31, 2004 was a gain from the sale of a product line for $750,000 cash. The $750,000 gain is included in other income. The ne |
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| January 24, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ý Defin |
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| December 22, 2004 |
Results of Operations and Financial Condition 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) December 22, 2004 LEE PHARMACEUTICALS (Exact name of registrant as specified in its charter) California 1-7335 95-2680312 (State or other jurisdiction (Commission (IRS Employer of inco |
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| December 22, 2004 |
Exhibit 99.1 Lee Pharmaceuticals Announces Year-End Results Lee Pharmaceuticals (OTC Bulletin Board symbol: LPHM) reported results for the three months and fiscal year ended September 30, 2004, as compared to same periods ended September 30, 2003. A comparison of the operating results is as follows: Three Months Ended September 30 (000 omitted) Fiscal Year Ended September 30 (000 omitted) 2004 200 |
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| December 22, 2004 |
EXHIBIT 10.113 STRAIGHT NOTE $2,176,249 South El Monte, California September 1, 2004 For value received, Lee Pharmaceuticals promises to pay Mark DiSalvo or order, at South El Monte, California the sum of TWO MILLION ONE HUNDRED SEVENTY-SIX THOUSAND TWO HUNDRED FORTY NINE DOLLARS, with interest from September 1, 2004, on unpaid principal at the one month LIBOR rate; interest is payable monthly, co |
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| December 22, 2004 |
U. S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB U. S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB (MARK ONE) ý ANNUAL REPORT UNDER SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2004 o TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER 1-7335 LEE PHARMACEUTICALS (Name of small business issuer in its charter) CALI |
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| August 9, 2004 |
EX-10.3 4 a04-88161ex10d3.htm EX-10.3 EXHIBIT 10.3 DEMAND PROMISSORY NOTE $225,809.49 Due: June 15, 2004 For value received, the undersigned, Lee Pharmaceuticals (the “Borrower”), hereby acknowledges itself indebted to Henry L. Lee, Jr. (the “Lender”) and promises to pay on demand to or to the order of the Lender, at South El Monte, California, or as otherwise directed in writing by the Lender, th |
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| August 9, 2004 |
EXHIBIT 10.1 STRAIGHT NOTE $200,000 South El Monte, California May 17, 2004 For value received, Lee Pharmaceuticals promises to pay Mark DiSalvo or order, at South El Monte, California the sum of TWO HUNDRED THOUSAND DOLLARS, with interest from May 17, 2004, on unpaid principal at the rate of fifteen (15) percent for a ninety (90) day period. Principal plus accrued interest will be due and payable |
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| August 9, 2004 |
Lee Pharmaceuticals Announces Third Quarter Results Exhibit 99.1 Lee Pharmaceuticals Announces Third Quarter Results Lee Pharmaceuticals (OTC Bulletin Board symbol: LPHM) reported results for the third quarter ended June 30, 2004. The Company reported a net loss of $432,000, or 11 cents per share, for the three months ended June 30, 2004, as compared to a $221,000 loss (or 5 cents per share) for the three months ended June 30, 2003. Gross revenues |
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| August 9, 2004 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2004 OR o 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 1-7335 LEE PHARMACEUTICALS (Ex |
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| August 9, 2004 |
MODIFICATION OF LOAN AND SECURITY AGREEMENT EXHIBIT 10.2 MODIFICATION OF LOAN AND SECURITY AGREEMENT WHEREAS this agreement is in reference to a loan which is evidenced by an instrument entitled LOAN AND SECURITY AGREEMENT (“AGREEMENT”), dated February 20, 2001, executed by and between LEE PHARMACEUTICALS as “BORROWER” AND PREFERRED BUSINESS CREDIT, INC. (“PBC”), as “LENDER.” NOW THEREFORE, it is agreed by the undersigned parties that the A |
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| August 9, 2004 |
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: August 9, 2004 LEE PHARMACEUTICALS (Exact name of registrant as specified in its charter) California 1-7335 95-2680312 (State or other jurisdiction of Incorporation or Organization) (Commission File No.) (I.R.S. Emplo |
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| May 17, 2004 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2004 OR o 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 1-7335 LEE PHARMACEUTICALS (E |
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| May 17, 2004 |
SECURED PROMISSORY NOTE $216,000.00 Pasadena, California February 3, 2004 Exhibit 10.3 SECURED PROMISSORY NOTE $216,000.00 Pasadena, California February 3, 2004 FOR VALUE RECEIVED, the undersigned hereby jointly and severally (if applicable) promises to pay to PREFERRED BUSINESS CREDIT, INC., a California Corporation, at 300 N. Lake Ave., Pasadena, California, 91101, or at such other address as the holder may specify in writing, the principal sum of Two Hundred Sixteen |
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| May 17, 2004 |
STRAIGHT NOTE $300,000 South El Monte, California March 17, 2004 Exhibit 10.1 STRAIGHT NOTE $300,000 South El Monte, California March 17, 2004 For value received, Lee Pharmaceuticals promises to pay Roberts Proprietaries Inc. or order, at South El Monte, California the sum of THREE HUNDRED THOUSAND DOLLARS, with interest from March 17, 2004, on unpaid principal at the rate of twenty (20) per cent annum; principal is payable monthly, commencing on April 1, 2004, |
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| May 17, 2004 |
SECURED PROMISSORY NOTE $60,000.00 Pasadena, California November 19, 2003 Exhibit 10.2 SECURED PROMISSORY NOTE $60,000.00 Pasadena, California November 19, 2003 FOR VALUE RECEIVED, the undersigned hereby jointly and severally (if applicable) promises to pay to PREFERRED BUSINESS CREDIT, INC., a California Corporation, at 300 N. Lake Ave., Pasadena, California, 91101, or at such other address as the holder may specify in writing, the principal sum of Sixty Thousand and 0 |
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| May 17, 2004 |
Three Months Ended March 31 (000 omitted) Exhibit 99.1 Lee Pharmaceuticals Announces Second Quarter Results Lee Pharmaceuticals (OTC Bulletin Board symbol: LPHM) reported results for the second quarter ended March 31, 2004. The Company reported a net loss of $478,000, or 11 cents per share, for the three months ended March 31, 2004, as compared to a $70,000 loss for the three months ended March 31, 2003. Gross revenues for the three month |
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| May 17, 2004 |
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: May 17, 2004 LEE PHARMACEUTICALS (Exact name of registrant as specified in its charter) California 1-7335 95-2680312 (State or other jurisdiction of Incorporation or Organization) (Commission File No.) (I.R.S. Employe |
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| February 11, 2004 |
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: February 11, 2004 LEE PHARMACEUTICALS (Exact name of registrant as specified in its charter) California 1-7335 95-2680312 (State or other jurisdiction of Incorporation or Organization) (Commission File No.) (I.R.S. Em |
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| February 11, 2004 |
MODIFICATION TO PROMISSORY NOTE Exhibit 10.2 MODIFICATION TO PROMISSORY NOTE WHEREAS, on July 3, 1995, Lee Pharmaceuticals (“maker”) and Sass DiSalvo (“Holder”) entered into an agreement (“Note”) whereby Lee Pharmaceuticals was to pay to Sass DiSalvo the sum of Fifty Thousand Dollars; and WHEREAS, on July 6, 1996, the parties thereto modified said Note to extend the maturity date from July 6, 1996, until December 8, 1997, ( a co |
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| February 11, 2004 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2003 OR o 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 1-7335 LEE PHARMACEUTICALS |
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| February 11, 2004 |
Lee Pharmaceuticals Announces First Quarter Results Exhibit 99.1 Lee Pharmaceuticals Announces First Quarter Results Lee Pharmaceuticals (OTC Bulletin Board symbol: LPHM) reported results for the first quarter ended December 31, 2003. The Company reported a nominal net profit of $12,000 for the three months ended December 31, 2003. The net profit of $12,000 is compared to the net profit of $16,000 for the three months ended December 31, 2002. Gross |
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| February 11, 2004 |
Exhibit 10.1 STRAIGHT NOTE $150,000 South El Monte, California December 3, 2003 For value received, Lee Pharmaceuticals promises to pay Leah DiSalvo or order, at South El Monte, California the sum of ONE HUNDRED FIFTY THOUSAND DOLLARS, with interest from December 3, 2003, on unpaid principal at the rate of twenty-four (24) percent for a ninety (90) day period. Principal plus accrued interest will |
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| January 29, 2004 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ý Defin |
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| December 24, 2003 |
Lee Pharmaceuticals Announces Year-End Results EX-99.1 3 a03-65041ex99d1.htm EX-99.1 Exhibit 99.1 Lee Pharmaceuticals Announces Year-End Results Lee Pharmaceuticals (OTC Bulletin Board symbol: LPHM) reported results for the three months and fiscal year ended September 30, 2003, as compared to same periods ended September 30, 2002. A comparison of the operating results is as follows: Three Months Ended September 30 (000 omitted) Fiscal Year End |
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| December 24, 2003 |
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: December 23, 2003 LEE PHARMACEUTICALS (Exact name of registrant as specified in its charter) California 1-7335 95-2680312 (State or other jurisdiction of Incorporation or Organization) (Commission File No.) (I.R.S. Em |
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| December 24, 2003 |
STRAIGHT NOTE $300,000 South El Monte, California July 17, 2003 Exhibit 10.104 STRAIGHT NOTE $300,000 South El Monte, California July 17, 2003 For value received, Lee Pharmaceuticals promises to pay Monticello Drug Company or order, at South El Monte, California, the sum of THREE HUNDRED THOUSAND DOLLARS, with interest adjusted to the date funds are received, on unpaid principal at the rate of ten (10) percent per annum. Interest only will be payable on the 20 |
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| December 24, 2003 |
STRAIGHT NOTE $200,000 South El Monte, California August 29, 2003 EXHIBIT 10.103 STRAIGHT NOTE $200,000 South El Monte, California August 29, 2003 For value received, Lee Pharmaceuticals promises to pay Mark DiSalvo or order, at South El Monte, California the sum of TWO HUNDRED THOUSAND DOLLARS, with interest from August 29, 2003, on unpaid principal at the rate of twenty (20) per cent per annum; principal is payable monthly, commencing on October 15, 2003, with |
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| December 24, 2003 |
U. S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB U. S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB (MARK ONE) ý ANNUAL REPORT UNDER SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2003 o TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER 1-7335 LEE PHARMACEUTICALS (Name of small business issuer in its charter) CALI |
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| September 19, 2003 |
8-K 1 a03-350318k.htm 8-K 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 September 18, 2003 (Date of earliest event reported) LEE PHARMACEUTICALS (Exact name of registrant as specified in its character) CALIFORNIA (State or other jurisdiction of incorporation) 1-7335 95-2680312 |
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| September 19, 2003 |
EXHIBIT 16 September 19, 2003 Securities and Exchange Commission Division of Corporation Finance 450 Fifth Street, N. |
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| August 12, 2003 |
Exhibit 10.1 STRAIGHT NOTE $300,000 South El Monte, California July 17, 2003 For value received, Lee Pharmaceuticals promises to pay Monticello Drug Company or order, at South El Monte, California the sum of THREE HUNDRED THOUSAND DOLLARS, with interest adjusted to the date funds are received, on unpaid principal at the rate of ten (10) percent per annum. Interest only will be payable on the 20th |
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| August 12, 2003 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2003 OR o 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 1 - 7335 LEE PHARMACEUTICALS (Exact name of |
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| May 13, 2003 |
Exhibit 10.3 SECURED PROMISSORY NOTE $70,000.00 Pasadena, California November 14, 2002 FOR VALUE RECEIVED, the undersigned hereby jointly and severally (if applicable) promises to pay to PREFERRED BUSINESS CREDIT, INC., a California Corporation, at 300 N. Lake Avenue, Suite 930 Pasadena, California 91101, or at such other address as the holder may specify in writing, the principal sum of Seventy T |
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| May 13, 2003 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2003 OR o 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 1 - 7335 LEE PHARMACEUTICALS (Exact name of |
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| May 13, 2003 |
Exhibit 10.4 SECURED PROMISSORY NOTE $50,000.00 Pasadena, California February 4, 2003 FOR VALUE RECEIVED, the undersigned hereby jointly and severally (if applicable) promises to pay to PREFERRED BUSINESS CREDIT, INC., a California Corporation, at 300 N.Lake Ave., Pasadena, California 91101, or at such other address as the holder may specify in writing, the principal sum of Fifty Thousand and 00/1 |
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| May 13, 2003 |
Exhibit 10.1 STRAIGHT NOTE $100,000 ; South El Monte, California March 13, 2003 For value received, Lee Pharmaceuticals promises to pay Mark DiSalvo or order, at South El Monte, California the sum of ONE HUNDRED THOUSAND DOLLARS, with interest from March 13, 2003, on unpaid principal at the rate of twenty (20) per cent per annum; principal is payable monthly, commencing May 10, 2003, with monthly |
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| May 13, 2003 |
MODIFICATION OF SECURED PROMISSORY NOTE Exhibit 10.2 MODIFICATION OF SECURED PROMISSORY NOTE WHEREAS, this agreement is in reference to a loan which is evidence by an instrument entitled Secured Promissory Note, (NOTE), dated February 20, 2001, executed by LEE PHARMACEUTICALS for the original principal sum of Three Hundred Thousand and 00/100 Dollars ($300,000.00) and payable to the order of PREFERRED BUSINESS CREDIT, INC. Principal bal |
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| February 14, 2003 |
STRAIGHT NOTE $850,000 South El Monte, California October 7, 2002 Exhibit 10.1 STRAIGHT NOTE $850,000 South El Monte, California October 7, 2002 For value received, Lee Pharmaceuticals promises to pay Mark DiSalvo or order, at South El Monte, California the sum of EIGHT HUNDRED FIFTY THOUSAND DOLLARS, with interest from October 7, 2002, on unpaid principal at the rate of twenty (20) per cent per annum. Accrued interest each month will be added to the principal b |
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| February 14, 2003 |
MODIFICATION TO PROMISSORY NOTE Exhibit 10.3 MODIFICATION TO PROMISSORY NOTE WHEREAS, on July 3, 1995, Lee Pharmaceuticals (“maker”) and Sass DiSalvo (“Holder”) entered into an agreement (“Note”) whereby Lee Pharmaceuticals was to pay to Sass DiSalvo the sum of Fifty Thousand Dollars; and WHEREAS, on July 6, 1996, the parties thereto modified said Note to extend the maturity date from July 6, 1996, until December 8, 1997, ( a co |
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| February 14, 2003 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2002 OR o 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 1-7335 LEE PHARMACEUTICALS (Exact name o |
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| February 14, 2003 |
STRAIGHT NOTE $150,000 South El Monte, California December 2, 2002 Exhibit 10.2 STRAIGHT NOTE $150,000 South El Monte, California December 2, 2002 For value received, Lee Pharmaceuticals promises to pay Mark DiSalvo or order, at South El Monte, California the sum of ONE HUNDRED FIFTY THOUSAND DOLLARS, with interest from December 2, 2002, on unpaid principal at the rate of twenty four (24) percent per annum. This note is for a ninety day period from December 2, 20 |
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| January 27, 2003 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| December 30, 2002 |
EXHIBIT 10.92 STRAIGHT NOTE $600,000 South El Monte, California July 1, 2002 For value received, Lee Pharmaceuticals promises to pay The Monticello Companies, Inc. or order, at South El Monte, California the sum of SIX HUNDRED THOUSAND DOLLARS, with interest adjusted to the date funds are received, on unpaid principal at the rate of ten (10) per cent per annum. Interest only will be payable on the |
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| December 30, 2002 |
U. S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB U. S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB (MARK ONE) ý ANNUAL REPORT UNDER SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2002 o TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER 1-7335 LEE PHARMACEUTICALS (Name of small business issuer in its charter) CALI |
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| December 30, 2002 |
Exhibit 10.94 SECURED PROMISSORY NOTE $50,000.00 Pasadena, California August 22, 2002 FOR VALUE RECEIVED, the undersigned hereby jointly and severally (if applicable) promises to pay to PREFERRED BUSINESS CREDIT, INC., a California Corporation, at 300 N. Lake Avenue, Suite 930 Pasadena, California 91101, or at such other address as the holder may specify in writing, the principal sum of Fifty Thou |
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| December 30, 2002 |
Exhibit 10.93 SECURED PROMISSORY NOTE $50,000.00 Pasadena, California April 23, 2002 FOR VALUE RECEIVED, the undersigned hereby jointly and severally (if applicable) promises to pay to PREFERRED BUSINESS CREDIT, INC., a California Corporation, at 300 N. Lake Avenue, Suite 930 Pasadena, California 91101, or at such other address as the holder may specify in writing, the principal sum of Fifty Thous |
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| December 30, 2002 |
MODIFICATION OF LOAN AND SECURITY AGREEMENT EXHIBIT 10.91 MODIFICATION OF LOAN AND SECURITY AGREEMENT WHEREAS, this AGREEMENT is in reference to a loan which is evidenced by an instrument entitled LOAN AND SECURITY AGREEMENT (“AGREEMENT”), dated February 20, 2001, executed by and between LEE PHARMACEUTICALS as “BORROWER” AND PREFERRED BUSINESS CREDIT, INC. (“PBC”) as “LENDER.” NOW, THEREFORE, it is agreed by the undersigned parties that the |
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| August 14, 2002 |
Exhibit 10.5 PROMISSORY NOTE $60,000 Dated: April 23, 2002 At: South El Monte, California FOR VALUE RECEIVED, the undersigned LEE PHARMACEUTICALS, INC., a California corporation with its principal place of business located at 1444 Santa Anita Avenue, South El Monte, California 91733 (“Maker”) promises to pay to the order of U.S. DERMATOLOGICS, INC., with its principal place of business located at |
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| August 14, 2002 |
EXHIBIT 10.4 STRAIGHT NOTE $200,000 South El Monte, California July 1, 2002 For value received, Lee Pharmaceuticals promises to pay Roberts Proprietaries Inc. or order, at South El Monte, California the sum of TWO HUNDRED THOUSAND DOLLARS, with interest from July 1, 2002, on unpaid principal at the rate of twenty (20) per cent per annum; principal is payable monthly, commencing on August 1, 2002, |
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| August 14, 2002 |
STRAIGHT NOTE $100,000 South El Monte, California April 3, 2002 EXHIBIT 10.1 STRAIGHT NOTE $100,000 South El Monte, California April 3, 2002 For value received, Lee Pharmaceuticals promises to pay Mark DiSalvo or order, at South El Monte, California the sum of ONE HUNDRED THOUSAND DOLLARS, with interest from April 3, 2002, on unpaid principal at the rate of twenty-four (24) per cent per annum; principal is payable monthly, commencing on May 25, 2002, with mont |
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| August 14, 2002 |
EXHIBIT 10.3 STRAIGHT NOTE $150,000 South El Monte, California May 24, 2002 For value received, Lee Pharmaceuticals promises to pay Mark DiSalvo or order, at South El Monte, California the sum of ONE HUNDRED AND FIFTY THOUSAND DOLLARS, with interest from May 24, 2002, on unpaid principal at the rate of thirty (30) per cent per annum; principal is payable at maturity. This note has a due date of Ju |
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| August 14, 2002 |
EXHIBIT 10.2 STRAIGHT NOTE $100,000 South El Monte, California May 15, 2002 For value received, Lee Pharmaceuticals promises to pay Mark DiSalvo or order, at South El Monte, California the sum of ONE HUNDRED THOUSAND DOLLARS, with interest from May 15, 2002, on unpaid principal at the rate of twenty-four (24) per cent per annum; principal is payable monthly, commencing on June 25, 2002, with month |
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| August 14, 2002 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2002 OR o 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 1-7335 LEE PHARMACEUTICALS (Exact name of sm |
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| May 15, 2002 |
Exhibit 10.1 STRAIGHT NOTE $240,000 South El Monte, California February 22, 2002 For value received, Lee Pharmaceuticals promises to pay Mark DiSalvo or order, at South El Monte, California the sum of TWO HUNDRED AND FORTY THOUSAND DOLLARS, with interest from February 22, 2002, on unpaid principal at the rate of twenty four (24) per cent per annum; principal is payable monthly, commencing on March |
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| May 15, 2002 |
Exhibit 10.2 STRAIGHT NOTE $360,000 South El Monte, California February 22, 2002 For value received, Lee Pharmaceuticals promises to pay Mark DiSalvo or order, at South El Monte, California the sum of THREE HUNDRED AND SIXTY THOUSAND DOLLARS, with interest from February 22, 2002, on unpaid principal at the rate of twenty four (24) per cent per annum; principal is payable monthly, commencing on Mar |
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| May 15, 2002 |
SECURITIES AND EXCHANGE COMMISSION 10QSB 1 j389710qsb.htm 10QSB SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2002 OR o 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 1 - 7335 LEE P |
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| February 13, 2002 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2001 OR o 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 1-7335 LEE PHARMACEUTICALS (Exact name o |
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| February 13, 2002 |
Exhibit 10.1 STRAIGHT NOTE $300,000 South El Monte, California November 15, 2001 For value received, Lee Pharmaceuticals promises to pay Mark DiSalvo or order, at South El Monte, California the sum of THREE HUNDRED THOUSAND DOLLARS, with interest from November 15, 2001, on unpaid principal at the rate of twenty (20) per cent per annum; principal is payable monthly, commencing on December 25, 2001, |
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| January 18, 2002 |
Prepared by MERRILL CORPORATION QuickLinks - Click here to rapidly navigate through this document SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| December 26, 2001 |
AMENDED AND RESTATED SECURITY AGREEMENT Exhibit 10.77 AMENDED AND RESTATED SECURITY AGREEMENT This AMENDED AND RESTATED SECURITY AGREEMENT (the "Agreement") is made as of July 23, 2001, by and between LEE PHARMACEUTICALS, INC., a California corporation ("Grantor") and AP PHARMA, INC. (formerly Advanced Polymer Systems, Inc.), a Delaware corporation ("AP" or "Secured Party"). PRELIMINARY STATEMENT A. Pursuant to the Asset Purchase and Sa |
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| December 26, 2001 |
MODIFICATION OF SECURED PROMISSORY NOTE EXHIBIT 10.82 MODIFICATION OF SECURED PROMISSORY NOTE WHEREAS, this agreement is in reference to a loan which is evidenced by an instrument entitled Secured Promissory Note (NOTE), dated March 16, 2001 executed by LEE PHARMACEUTICALS for the original principal sum of One Hundred Thousand and 00/100 Dollars ($100,000.00) and payable to the order of PREFERRED BUSINESS CREDIT, INC. Principal balance |
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| December 26, 2001 |
Exhibit 10.78 PROMISSORY NOTE $512,000.00 Dated: July 23, 2001 At: South El Monte, California FOR VALUE RECEIVED, the undersigned LEE PHARMACEUTICALS INC., a California corporation with its principal place of business located at 1444 Santa Anita Avenue, South El Monte, California 91733 ("Maker"), promises to pay to the order of AP PHARMA, INC. (formerly Advanced Polymer Systems, Inc.), a corporati |
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| December 26, 2001 |
FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2001 U. S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB (MARK ONE) ý ANNUAL REPORT UNDER SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2001 o TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER 1-7335 LEE PHARMACEUTICALS (Name of small business issuer in its charter) CALI |
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| December 26, 2001 |
EXHIBIT 10.81 SECURED PROMISSORY NOTE $100,000.00 Pasadena, California &# 160; March 16, 2001 FOR VALUE RECEIVED, the undersigned hereby jointly and severally (if applicable) promises to pay to PREFERRED BUSINESS CREDIT, INC., a California Corporation, at P.O. Box 60307, Pasadena, California 91116, or at such other address as the holder may specify in writing, the principal sum of One Hundred Thou |
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| December 26, 2001 |
RESTRUCTURING AND OFFSET AGREEMENT Exhibit 10.76 RESTRUCTURING AND OFFSET AGREEMENT This RESTRUCTURING AND OFFSET AGREEMENT (the "Agreement") is entered into by and among AP Pharma, Inc. (formerly Advanced Polymer Systems, Inc.), a Delaware corporation ("AP"), Premier Consumer Products, Inc., a Delaware Corporation ("Premier") and Lee Pharmaceuticals, Inc., a California company ("Lee") as of this day of July 23, 2001. R E C I T A L |
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| December 26, 2001 |
MODIFICATION TO PROMISSORY NOTE EXHIBIT 10.80 MODIFICATION TO PROMISSORY NOTE WHEREAS, on July 3, 1995, Lee Pharmaceuticals ("maker") and Sass DiSalvo ("Holder") entered into an agreement ("Note") whereby Lee Pharmaceuticals was to pay to Sass DiSalvo the sum of Fifty Thousand Dollars; and WHEREAS, on July 6, 1996, the parties thereto modified said Note to extend the maturity date from July 6, 1996, until December 8, 1997, ( a c |
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| December 26, 2001 |
EXHIBIT 10.79 STRAIGHT NOTE $400,000 South El Monte, California August 13, 2001 For value received, Lee Pharmaceuticals promises to pay Mark DiSalvo or order, at South El Monte, California the sum of FOUR HUNDRED THOUSAND DOLLARS, with interest from August 13, 2001, on unpaid principal at the rate of twenty (20) per cent per annum; principal is payable monthly, commencing on September 15, 2001, wi |
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| August 3, 2001 |
PROMISSORY NOTE $200,000 South El Monte, California June 27, 2001 Exhibit 10.1 PROMISSORY NOTE $200,000 South El Monte, California June 27, 2001 For value received, Lee Pharmaceuticals promises to pay Roberts Proprietaries Inc. or order, at South El Monte, California the sum of TWO HUNDRED THOUSAND DOLLARS, with interest from June 27, 2001, on unpaid principal at the rate of twenty (20) per cent per annum; principal is payable monthly, commencing on August 1, 20 |
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| August 3, 2001 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended J u n e 30, 2001 OR o 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 1 - - 7 3 3 5 L E E P H A R M A C E U T I |
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| August 3, 2001 |
EXHIBIT 10.2 AMERICAN INDUSTRIAL REAL ESTATE ASSOCIATION STANDARD SUBLEASE (Long-form to be used with pre-1996 AIR leases) 1. Parties. This Sublease, dated, for reference purposes only, April 17, 2001, is made by and between Lee Pharmaceuticals, a California corporation ("Sublessor") and Bi-Tank, Inc., a California corporation ("Sublessee"). 2. Premises. Sublessor hereby subleases to Sublessee and |
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| May 14, 2001 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB Prepared by MERRILL CORPORATION QuickLinks - Click here to rapidly navigate through this document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 14, 2001 |
Exhibit 10.5 AMERICAN INDUSTRIAL REAL ESTATE ASSOCIATION STANDARD SUBLEASE (LONG-FORM TO BE USED WITH PRE-1996 AIR LEASES) 1. PARTIES. This Sublease, dated, for reference purposes only, March 9 2001, is made by and between Lee Pharmaceuticals, a California corporation ("SUBLESSOR") and Steady Star, Inc ("SUBLESSEE"). 2. PREMISES. Sublessor hereby subleases to Sublessee and Sublessee hereby subleas |
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| May 14, 2001 |
Exhibit 10.6 SUBLEASE GUARANTY THIS GUARANTY is made as of March 9, 2001 by Jing Jing Long (a "Guarantor") in favor of Lee Pharmaceuticals, Inc., a California corporation ("Sublandlord"). W I T N E S S E T H : 1. For valuable consideration, receipt of which is acknowledged, and to induce Sublandlord to enter into a Sublease with Steady Star, Inc., a California corporation ("Sublessee"), Guarantor |
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| May 14, 2001 |
Exhibit 10.3 SECURED PROMISSORY NOTE $400,000.00 Pasadena, California February 20, 2001 FOR VALUE RECEIVED, the undersigned hereby jointly and severally (if applicable) promises to pay to PREFERRED BUSINESS CREDIT, INC., a California corporation, at P. O. Box 60307, Pasadena, CA 91116, or at such other address as the holder may specify in writing, the principal sum of FOUR HUNDRED THOUSAND AND 00/ |
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| May 14, 2001 |
Exhibit 10.2 LOAN AND SECURITY AGREEMENT LEE PHARMACEUTICALS Borrower 1444 Santa Anita Avenue South El Monte, CA 91733 Address 95-2680312 Borrower Fed ID Tax No. $1,400,000.00 Credit Limit February 20, 2001 Date - PREFERRED BUSINESS CREDIT, INC. - February, 2001 TABLE OF CONTENTS 1. DEFINITIONS AND CONSTRUCTION .......................................................1 1.1 Definitions .............. |
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| May 14, 2001 |
Exhibit 10.1 STRAIGHT NOTE $200,000 South E1 Monte, California February 12, 2001 - - For value received, Lee Pharmaceuticals promises to pay Mark DiSalvo or order, at South El Monte, California the sum of TWO HUNDRED THOUSAND DOLLARS, with interest from February 12, 2001, on unpaid principal at the rate of twenty (20) per cent per annum; principal is payable monthly, commencing on April 10, 2001, |
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| May 14, 2001 |
EX-10.4 5 a2046712zex-104.txt EXHIBIT 10.4 Exhibit 10.4 SECURED PROMISSORY NOTE $300,000.00 Pasadena, California February 20, 2001 FOR VALUE RECEIVED, the undersigned hereby jointly and severally (if applicable) promises to pay to PREFERRED BUSINESS CREDIT, INC., a California Corporation, at P. O. Box 60307, Pasadena, CA 91116, or at such other address as the holder may specify in writing, the pri |
