Grundläggande statistik
| CIK | 1003929 |
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 VIA Pharmaceuticals, Inc.
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| March 25, 2011 |
OMB APPROVAL OMB Number: 3235-0167 Expires: October 31, 2013 Estimated average burden hours per response . |
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| March 24, 2011 |
Exhibit 21.1 Exhibit 21.1 VIA PHARMACEUTICALS, INC. LIST OF SUBSIDIARIES Name Place of Incorporation Vascular Genetics Inc. Delaware VIA Pharma UK Limited England and Wales |
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| March 24, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2010 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 NO. |
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| March 24, 2011 |
Exhibit 10.19 Exhibit 10.19 SECOND AMENDMENT TO AMENDED AND RESTATED PROMISSORY NOTE THIS SECOND AMENDMENT TO AMENDED AND RESTATED PROMISSORY NOTE (this “Amendment") is entered into as of March 24, 2011 by and among BAY CITY CAPITAL FUND IV, L.P. (“Investor”) and VIA PHARMACEUTICALS, INC., a Delaware corporation (the “Company"). Investor and the Company are sometimes referred to in this Amendment, |
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| March 24, 2011 |
Exhibit 10.20 SECOND AMENDMENT TO AMENDED AND RESTATED PROMISSORY NOTE THIS SECOND AMENDMENT TO AMENDED AND RESTATED PROMISSORY NOTE (this “Amendment") is entered into as of March 24, 2011 by and among BAY CITY CAPITAL FUND IV CO-INVESTMENT FUND, L.P. (“Investor”) and VIA PHARMACEUTICALS, INC., a Delaware corporation (the “Company"). Investor and the Company are sometimes referred to in this Amend |
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| February 11, 2011 |
sc13g UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* VIA Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 92554T103 (CUSIP Number) December 31, 2010 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design |
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| January 18, 2011 |
AMENDMENT TO AMENDED AND RESTATED PROMISSORY NOTE Exhibit 10.2 Exhibit 10.2 AMENDMENT TO AMENDED AND RESTATED PROMISSORY NOTE THIS AMENDMENT TO AMENDED AND RESTATED PROMISSORY NOTE (this “Amendment”) is entered into as of January 14, 2011 by and among BAY CITY CAPITAL FUND IV CO-INVESTMENT FUND, L.P. (“Investor”) and VIA PHARMACEUTICALS, INC., a Delaware corporation (the “Company”). Investor and the Company are sometimes referred to in this Amend |
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| January 18, 2011 |
AMENDMENT TO AMENDED AND RESTATED PROMISSORY NOTE EX-10.1 2 c11161exv10w1.htm EXHIBIT 10.1 Exhibit 10.1 AMENDMENT TO AMENDED AND RESTATED PROMISSORY NOTE THIS AMENDMENT TO AMENDED AND RESTATED PROMISSORY NOTE (this “Amendment”) is entered into as of January 14, 2011 by and among BAY CITY CAPITAL FUND IV, L.P. (“Investor”) and VIA PHARMACEUTICALS, INC., a Delaware corporation (the “Company”). Investor and the Company are sometimes referred to in t |
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| January 18, 2011 |
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): January 14, 2011 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 0-27264 33-0687976 (State or other jurisdiction of incorporation) (Commissio |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010. sv8pos As filed with the Securities and Exchange Commission on December 30, 2010. Registration No. 333-158276 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporati |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010. sv8pos As filed with the Securities and Exchange Commission on December 30, 2010. Registration No. 333-145505 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 33-0687976 (State or other jurisdiction of |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010. sv8pos As filed with the Securities and Exchange Commission on December 30, 2010. Registration No. 333-149988 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 33-0687976 (State or other jurisdiction of |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010 As filed with the Securities and Exchange Commission on December 30, 2010 Registration No. |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010 As filed with the Securities and Exchange Commission on December 30, 2010 Registration No. |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010. As filed with the Securities and Exchange Commission on December 30, 2010. Registration No. 333-148075 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or o |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010 As filed with the Securities and Exchange Commission on December 30, 2010 Registration No. |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010 POST-EFFECTIVE AMENDMENT NO. 1 As filed with the Securities and Exchange Commission on December 30, 2010 Registration No. 333-115077 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 33-0687976 (State or |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010. sv8pos As filed with the Securities and Exchange Commission on December 30, 2010. Registration No. 333-20239 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporatio |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010. sv8pos As filed with the Securities and Exchange Commission on December 30, 2010. Registration No. 333-134383 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporati |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010 POST-EFFECTIVE AMENDMENT NO. 1 As filed with the Securities and Exchange Commission on December 30, 2010 Registration No. 333-49944 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 33-0687976 (State or |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010 As filed with the Securities and Exchange Commission on December 30, 2010 Registration No. |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010. sv8pos As filed with the Securities and Exchange Commission on December 30, 2010. Registration No. 333-117945 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 33-0687976 (State or other jurisdiction of |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010. sv8pos As filed with the Securities and Exchange Commission on December 30, 2010. Registration No. 333-108314 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 33-0687976 (State or other jurisdiction of |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010 As filed with the Securities and Exchange Commission on December 30, 2010 Registration No. |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010 As filed with the Securities and Exchange Commission on December 30, 2010 Registration No. |
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| December 30, 2010 |
As filed with the Securities and Exchange Commission on December 30, 2010. As filed with the Securities and Exchange Commission on December 30, 2010. Registration No. 333-36020 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 33-0687976 (State or other jurisdiction of (I.R.S. |
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| November 22, 2010 |
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): November 22, 2010 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 0-27264 33-0687976 (State or other Jurisdiction of Incorporation) |
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| November 17, 2010 |
Schedule 13D Amendment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 15, 2010 |
Exhibit 4.8 THIS WARRANT AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. SUCH SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. |
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| November 15, 2010 |
Exhibit 10.4 Exhibit 10.4 THIS AMENDED AND RESTATED PROMISSORY NOTE HAS BEEN ACQUIRED FOR INVESTMENT AND HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THIS AMENDED AND RESTATED PROMISSORY NOTE MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPL |
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| November 15, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 15, 2010 |
Exhibit 10.2 Exhibit 10.2 OMNIBUS AMENDMENT THIS OMNIBUS AMENDMENT (this “Amendment”) is entered into as of November 15, 2010 by and among BAY CITY CAPITAL FUND IV, L.P. and BAY CITY CAPITAL FUND IV CO-INVESTMENT FUND, L.P. (each, an “Investor” and collectively, the “Investors”), BAY CITY CAPITAL LLC, a Delaware limited liability company (“BCC”), and VIA PHARMACEUTICALS, INC., a Delaware corporati |
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| November 15, 2010 |
Exhibit 4.11 Exhibit 4.11 SECOND AMENDMENT TO THE SECOND AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT THIS SECOND AMENDMENT TO THE SECOND AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT (this “Second Amendment”), dated as of November 15, 2010, is made and entered into by and among VIA PHARMACEUTICALS, INC., a Delaware corporation (the “Company”), and each of the parties listed on Exhibit |
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| November 15, 2010 |
Exhibit 4.7 THIS WARRANT AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. SUCH SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. |
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| November 15, 2010 |
Exhibit 10.3 THIS AMENDED AND RESTATED PROMISSORY NOTE HAS BEEN ACQUIRED FOR INVESTMENT AND HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THIS AMENDED AND RESTATED PROMISSORY NOTE MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE |
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| November 4, 2010 |
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): October 29, 2010 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 0-27264 33-0687976 (State or other jurisdiction of incorporation) ( |
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| November 4, 2010 |
SECURED PROMISSORY NOTE $200,000 October 29, 2010 San Francisco, California Exhibit 10.1 Exhibit 10.1 THIS SECURED PROMISSORY NOTE HAS BEEN ACQUIRED FOR INVESTMENT AND HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THIS SECURED PROMISSORY NOTE MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LA |
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| September 29, 2010 |
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 28, 2010 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 0-27264 33-0687976 (State or other Jurisdiction of Incorporation) |
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| August 16, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 28, 2010 |
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): July 27, 2010 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 0-27264 33-0687976 (State or other Jurisdiction of Incorporation) (Com |
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| July 16, 2010 |
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): July 15, 2010 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 0-27264 33-0687976 (State or other Jurisdiction of Incorporation) (Com |
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| June 30, 2010 |
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): June 29, 2010 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 0-27264 33-0687976 (State or other Jurisdiction of Incorporation) (Commission F |
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| June 7, 2010 |
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): May 26, 2010 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 0-27264 33-0687976 (State or other Jurisdiction of Incorporation) (Comm |
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| May 17, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 6, 2010 |
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): April 30, 2010 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 0-27264 33-0687976 (State or other jurisdiction of incorporation) (Commission |
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| May 6, 2010 |
VIA PHARMACEUTICALS, INC 750 Battery Street Suite 330 San Francisco, CA 94111 October 13, 2006 Exhibit 10.1 VIA PHARMACEUTICALS, INC 750 Battery Street Suite 330 San Francisco, CA 94111 October 13, 2006 CONFIDENTIAL Ms. Karen Wright 2512 Poppy Drive Burlingame, CA 94010 Dear Karen: Via Pharmaceuticals, Inc., (“VIA”), is pleased to extend the following offer of employment to you: • Start Date: You will commence full-time employment beginning December 4, 2006 reporting to Jim Stewart, Sr. Vic |
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| April 30, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K/A Amendment No. 1 Form 10-K/A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K/A Amendment No. |
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| April 30, 2010 |
EX-21.1 2 c99972exv21w1.htm EXHIBIT 21.1 Exhibit 21.1 VIA PHARMACEUTICALS, INC. LIST OF SUBSIDIARIES Name Place of Incorporation Vascular Genetics Inc. Delaware VIA Pharma UK Limited England and Wales |
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| March 31, 2010 |
Exhibit 10.12 THIS PROMISSORY NOTE HAS BEEN ACQUIRED FOR INVESTMENT AND HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THIS PROMISSORY NOTE MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. THIS PROMISSORY NOTE IS |
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| March 31, 2010 |
Exhibit 4.6 THIS WARRANT AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. SUCH SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. |
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| March 31, 2010 |
Exhibit 4.8 AMENDMENT NO. 1 TO THE SECOND AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT THIS AMENDMENT NO. 1 (this “Amendment”) TO THE SECOND AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT, dated as of March 26, 2010, is made and entered into by and among VIA PHARMACEUTICALS, INC., a Delaware corporation (the “Company”), and each of the parties listed on Exhibit A hereto, as such Exhibit |
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| March 31, 2010 |
Exhibit 10.2 Exhibit 10.2 VIA PHARMACEUTICALS, INC. NOTE AND WARRANT PURCHASE AGREEMENT THIS NOTE AND WARRANT PURCHASE AGREEMENT (this “Agreement”) is made as of March 26, 2010 by and among VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and the investors listed on Schedule A hereto (each of which is herein referred to as an “Investor”). THE PARTIES HEREBY AGREE AS FOLLOWS: SECT |
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| March 31, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2009 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 NO. |
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| March 31, 2010 |
Exhibit 10.11 THIS PROMISSORY NOTE HAS BEEN ACQUIRED FOR INVESTMENT AND HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THIS PROMISSORY NOTE MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. THIS PROMISSORY NOTE IS |
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| March 31, 2010 |
Exhibit 4.5 Exhibit 4.5 THIS WARRANT AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. SUCH SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECUR |
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| March 31, 2010 |
Exhibit 21.1 VIA PHARMACEUTICALS, INC. LIST OF SUBSIDIARIES Name Place of Incorporation Vascular Genetics Inc. Delaware VIA Pharma UK Limited England and Wales |
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| March 30, 2010 |
sc13dza UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3 )* VIA Pharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 92554T 103 (CUSIP Number) Bay City Capital LLC 750 Battery Street, Suite 400 San Francisco California 94111 (415) 676-3830 with a copy to: David Sikes, Esq. J |
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| March 1, 2010 |
FOURTH AMENDMENT TO PROMISSORY NOTE Exhibit 10.2 Exhibit 10.2 FOURTH AMENDMENT TO PROMISSORY NOTE THIS FOURTH AMENDMENT TO PROMISSORY NOTE (this “Amendment”) is made and entered as of February 26, 2010, by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Bay City Capital Fund IV Co-Investment Fund, L.P., or its registered assigns (the “Holder”). RECITALS 1. The Holder agreed to lend to the Company i |
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| March 1, 2010 |
FOURTH AMENDMENT TO PROMISSORY NOTE Exhibit 10.1 FOURTH AMENDMENT TO PROMISSORY NOTE THIS FOURTH AMENDMENT TO PROMISSORY NOTE (this “Amendment”) is made and entered as of February 26, 2010, by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Bay City Capital Fund IV, L.P., or its registered assigns (the “Holder”). RECITALS 1. The Holder agreed to lend to the Company in the aggregate up to $9,789,000 |
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| March 1, 2010 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): February 26, 2010 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 0-27264 33-0687976 (State or other Jurisdiction of Incorporation) (Commissi |
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| December 29, 2009 |
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 29, 2009 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 0-27264 33-0687976 (State or other Jurisdiction of Incorporation) (Commissi |
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| December 29, 2009 |
VIA PHARMACEUTICALS RECEIVES DELISTING NOTIFICATION FROM NASDAQ Exhibit 99.1 VIA PHARMACEUTICALS RECEIVES DELISTING NOTIFICATION FROM NASDAQ San Francisco, CA, December 29, 2009 — VIA Pharmaceuticals, Inc. (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascular and metabolic disease, today announced that on December 29, 2009, it received a written notice from the listing qualifications staff of the NA |
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| December 22, 2009 |
THIRD AMENDMENT TO PROMISSORY NOTE Exhibit 10.1 Exhibit 10.1 THIRD AMENDMENT TO PROMISSORY NOTE THIS THIRD AMENDMENT TO PROMISSORY NOTE (this “Amendment”) is made and entered as of December 22, 2009, by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Bay City Capital Fund IV, L.P., or its registered assigns (the “Holder”). RECITALS 1. The Holder agreed to lend to the Company in the aggregate up to |
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| December 22, 2009 |
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): December 22, 2009 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 0-27264 33-0687976 (State or other jurisdiction of incorporation) |
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| December 22, 2009 |
THIRD AMENDMENT TO PROMISSORY NOTE Exhibit 10.2 Exhibit 10.2 THIRD AMENDMENT TO PROMISSORY NOTE THIS THIRD AMENDMENT TO PROMISSORY NOTE (this “Amendment”) is made and entered as of December 22, 2009, by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Bay City Capital Fund IV Co-Investment Fund, L.P., or its registered assigns (the “Holder”). RECITALS 1. The Holder agreed to lend to the Company in |
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| November 12, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 30, 2009 |
SECOND AMENDMENT TO PROMISSORY NOTE exv10w1 Exhibit 10.1 SECOND AMENDMENT TO PROMISSORY NOTE THIS SECOND AMENDMENT TO PROMISSORY NOTE (this “Amendment”) is made and entered as of October 30, 2009, by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Bay City Capital Fund IV, L.P., or its registered assigns (the “Holder”). RECITALS 1. The Holder agreed to lend to the Company in the aggregate up to $9, |
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| October 30, 2009 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): October 30, 2009 VIA PHARMACEUTICALS, INC. |
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| October 30, 2009 |
SECOND AMENDMENT TO PROMISSORY NOTE Exhibit 10.2 SECOND AMENDMENT TO PROMISSORY NOTE THIS SECOND AMENDMENT TO PROMISSORY NOTE (this “Amendment”) is made and entered as of October 30, 2009, by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Bay City Capital Fund IV Co-Investment Fund, L.P., or its registered assigns (the “Holder”). RECITALS 1. The Holder agreed to lend to the Company in the aggregat |
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| October 9, 2009 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): October 9, 2009 VIA PHARMACEUTICALS, INC. |
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| October 9, 2009 |
exv99w1 Exhibit 99.1 Investor Presentation October 2009 V 10.4; 10 09 09 SAFE HARBOR This presentation contains "forward-looking" statements within the meaning of the Private Securities Litigation Reform Act of 1995. These statements relate to future events or to our future financial performance and involve known and unknown risks, uncertainties and other factors that may cause our actual results, |
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| September 28, 2009 |
FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 23, 2009 VIA PHARMACEUTICALS, INC. |
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| September 28, 2009 |
VIA PHARMACEUTICALS RECEIVES ANTICIPATED DEFICIENCY NOTICE FROM NASDAQ EX-99.1 Exhibit 99.1 VIA PHARMACEUTICALS RECEIVES ANTICIPATED DEFICIENCY NOTICE FROM NASDAQ San Francisco, CA, September 28, 2009 — VIA Pharmaceuticals, Inc. (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascular and metabolic disease, today announced that on September 23, 2009, it received a deficiency letter from The NASDAQ Stock Marke |
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| September 18, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 15, 2009 VIA PHARMACEUTICALS, INC. |
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| September 18, 2009 |
VIA PHARMACEUTICALS RECEIVES ANTICIPATED DEFICIENCY NOTICE FROM NASDAQ exv99w1 Exhibit 99.1 VIA PHARMACEUTICALS RECEIVES ANTICIPATED DEFICIENCY NOTICE FROM NASDAQ San Francisco, CA, September 18, 2009 — VIA Pharmaceuticals, Inc. (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascular and metabolic disease, today announced that on September 15, 2009, it received a deficiency letter from the NASDAQ Stock Marke |
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| September 11, 2009 |
FIRST AMENDMENT TO PROMISSORY NOTE exv10w1 Exhibit 10.1 FIRST AMENDMENT TO PROMISSORY NOTE THIS FIRST AMENDMENT TO PROMISSORY NOTE (this “Amendment”) is made and entered as of September 11, 2009, by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Bay City Capital Fund IV, L.P., or its registered assigns (the “Holder”). RECITALS 1. The Holder agreed to lend to the Company in the aggregate up to $9, |
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| September 11, 2009 |
FIRST AMENDMENT TO PROMISSORY NOTE Exhibit 10.2 FIRST AMENDMENT TO PROMISSORY NOTE THIS FIRST AMENDMENT TO PROMISSORY NOTE (this “Amendment”) is made and entered as of September 11, 2009, by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Bay City Capital Fund IV Co-Investment Fund, L.P., or its registered assigns (the “Holder”). RECITALS 1. The Holder agreed to lend to the Company in the aggregat |
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| September 11, 2009 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 11, 2009 VIA PHARMACEUTICALS, INC. |
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| August 14, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 14, 2009 VIA PHARMACEUTICALS, INC. |
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| August 12, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q e10vq Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 17, 2009 |
VIA PHARMACEUTICALS RECEIVES ANTICIPATED NOTICE FROM NASDAQ Exhibit 99.1 VIA PHARMACEUTICALS RECEIVES ANTICIPATED NOTICE FROM NASDAQ San Francisco, CA, July 17, 2009 — VIA Pharmaceuticals, Inc. (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascular and metabolic disease, today announced that it received a Staff Determination letter, dated July 15, 2009, from the NASDAQ Stock Market stating that t |
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| July 17, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): July 15, 2009 VIA PHARMACEUTICALS, INC. |
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| July 9, 2009 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): July 9, 2009 VIA PHARMACEUTICALS, INC. |
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| July 9, 2009 |
Investor Presentation July 2009 V 7.2; 7 8 09 SAFE HARBOR This presentation contains "forward-looking" statements within the meaning of the Private Securities Litigation Reform Act of 1995. These statements relate to future events or to our future financial performance and involve known and unknown risks, uncertainties and other factors that may cause our actual results, levels of activity, perfor |
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| June 29, 2009 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): June 29, 2009 VIA PHARMACEUTICALS, INC. |
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| May 19, 2009 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): May 19, 2009 VIA PHARMACEUTICALS, INC. |
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| May 13, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q e10vq Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 1, 2009 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): May 1, 2009 VIA PHARMACEUTICALS, INC. |
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| May 1, 2009 |
exv99w1 Exhibit 99.1 VIA PHARMACEUTICALS ANNOUNCES POSITIVE PHASE 2 RESULTS OF VIA-2291 IN CARDIOVASCULAR PATIENTS USING SERIAL MDCT IMAGING OF CORONARY PLAQUE Data Presented at American Heart Association ATVB Conference Shows Reduction in Non-Calcified Plaque Volume and Fewer New Plaque Lesions in Treated Patients Washington, D.C. and San Francisco, CA, May 1, 2009 — VIA Pharmaceuticals, Inc. (NA |
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| April 17, 2009 |
def14a Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 3, 2009 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): March 31, 2009 VIA PHARMACEUTICALS, INC. |
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| April 3, 2009 |
VIA PHARMACEUTICALS RECEIVES ANTICIPATED NOTICE FROM NASDAQ exv99w1 Exhibit 99.1 VIA PHARMACEUTICALS RECEIVES ANTICIPATED NOTICE FROM NASDAQ San Francisco, CA, April 3, 2009 – VIA Pharmaceuticals, Inc. (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascular and metabolic disease, today announced that it has received a letter, dated March 31, 2009, from the staff of the NASDAQ Stock Market informin |
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| March 30, 2009 |
As filed with the Securities and Exchange Commission on March 30, 2009. sv8 As filed with the Securities and Exchange Commission on March 30, 2009. Registration No. 333- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 33-0687976 (I.R.S. Employe |
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| March 27, 2009 |
exv21w1 Exhibit 21.1 VIA PHARMACEUTICALS, INC. LIST OF SUBSIDIARIES Name Place of Incorporation Vascular Genetics Inc. Delaware VIA Pharma UK Limited England and Wales |
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| March 27, 2009 |
e10vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2008 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 NO. |
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| March 27, 2009 |
VIA PHARMACEUTICALS COMPLIES WITH NASDAQ RULES exv99w1 Exhibit 99.1 VIA PHARMACEUTICALS COMPLIES WITH NASDAQ RULES San Francisco, CA, March 27, 2009 — VIA Pharmaceuticals, Inc. (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascular and metabolic disease, today announced, in compliance with NASDAQ Marketplace Rule 4350(b)(1)(B), that the independent audit report included in the Compan |
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| March 27, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): March 23, 2009 VIA PHARMACEUTICALS, INC. |
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| March 13, 2009 |
sc13dza UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2 )* VIA Pharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 92554T 103 (CUSIP Number) Bay City Capital LLC 750 Battery Street, Suite 400 San Francisco California 94111 (415) 676-3830 with a copy to: Justin MacCarthy, E |
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| March 12, 2009 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): March 12, 2009 VIA PHARMACEUTICALS, INC. |
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| March 12, 2009 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): March 12, 2009 VIA PHARMACEUTICALS, INC. |
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| March 12, 2009 |
PROMISSORY NOTE Up to $211,000 March 12, 2009 San Francisco, California exv10w3 Exhibit 10.3 THIS PROMISSORY NOTE HAS BEEN ACQUIRED FOR INVESTMENT AND HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THIS PROMISSORY NOTE MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. THIS PROMISSORY N |
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| March 12, 2009 |
SECOND AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT Exhibit 4.3 SECOND AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT THIS SECOND AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of March 12, 2009, is made and entered into by and among VIA PHARMACEUTICALS, INC., a Delaware corporation (the “Company”), and each of the parties listed on Exhibit A hereto, as such Exhibit A may be amended from time to time (collective |
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| March 12, 2009 |
WARRANT TO PURCHASE COMMON STOCK OF VIA PHARMACEUTICALS, INC. Exhibit 4.2 THIS WARRANT AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. SUCH SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. |
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| March 12, 2009 |
VIA PHARMACEUTICALS SECURES FINANCING UP TO $10.0 MILLION Exhibit 99.1 VIA PHARMACEUTICALS SECURES FINANCING UP TO $10.0 MILLION San Francisco, CA, March 12, 2009 — VIA Pharmaceuticals, Inc. (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascular and metabolic disease, today announced it has entered into a $10.0 million secured note purchase agreement (together with certain ancillary agreements, |
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| March 12, 2009 |
PROMISSORY NOTE Up to $9,789,000 March 12, 2009 San Francisco, California exv10w2 Exhibit 10.2 THIS PROMISSORY NOTE HAS BEEN ACQUIRED FOR INVESTMENT AND HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. THIS PROMISSORY NOTE MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. THIS PROMISSORY N |
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| March 12, 2009 |
WARRANT TO PURCHASE COMMON STOCK OF VIA PHARMACEUTICALS, INC. Exhibit 4.1 THIS WARRANT AND THE SHARES PURCHASABLE HEREUNDER HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR QUALIFIED UNDER ANY STATE SECURITIES LAWS. SUCH SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR QUALIFICATION OR AN EXEMPTION THEREFROM UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS. |
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| March 12, 2009 |
VIA PHARMACEUTICALS, INC. NOTE AND WARRANT PURCHASE AGREEMENT exv10w1 Exhibit 10.1 VIA PHARMACEUTICALS, INC. NOTE AND WARRANT PURCHASE AGREEMENT THIS NOTE AND WARRANT PURCHASE AGREEMENT (this “Agreement”) is made as of March 12, 2009 by and among VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and the investors listed on Schedule A hereto (each of which is herein referred to as an “Investor”). THE PARTIES HEREBY AGREE AS FOLLOWS: SECTION 1 |
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| February 13, 2009 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): January 15, 2009 VIA PHARMACEUTICALS, INC. |
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| February 10, 2009 |
viapharmaceuticals13g-a1.htm - Generated by SEC Publisher for SEC Filing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) VIA Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 92554T103 (CUSIP Number) December 31, 2008 (Date of Event Which Req |
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| February 10, 2009 |
viapharmaceuticals13g-a1.htm - Generated by SEC Publisher for SEC Filing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) VIA Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 92554T103 (CUSIP Number) December 31, 2008 (Date of Event Which Req |
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| February 10, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) VIA Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 92554T103 (CUSIP Number) December 31, 2008 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| February 3, 2009 |
VIA PHARMACEUTICALS, INC. CONSULTING AGREEMENT Exhibit 10.1 VIA PHARMACEUTICALS, INC. CONSULTING AGREEMENT This Consulting Agreement (“Agreement”) is entered into as of January 29, 2009 by and between VIA Pharmaceuticals, Inc. (the “Company”) and Adeoye Olukotun, MD (“Consultant”). The Company desires to retain Consultant as an independent contractor to perform consulting services for the Company, and Consultant is willing to perform such serv |
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| February 3, 2009 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): January 29, 2009 VIA PHARMACEUTICALS, INC. |
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| December 23, 2008 |
RESEARCH, DEVELOPMENT AND COMMERCIALIZATION AGREEMENT Exhibit 10.2 RESEARCH, DEVELOPMENT AND COMMERCIALIZATION AGREEMENT This Research, Development and Commercialization Agreement (“Agreement”) is signed as of this 18th day of December, 2008, by and between: on the one hand, Hoffmann-La Roche Inc., with its principal place of business at 340 Kingsland Street, Nutley, New Jersey 07110 USA (“Roche Nutley”), and F. Hoffmann-La Roche Ltd, a Swiss corpora |
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| December 23, 2008 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 17, 2008 VIA PHARMACEUTICALS, INC. |
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| December 23, 2008 |
exv99w1 Exhibit 99.1 VIA PHARMACEUTICALS LICENSES DRUG CANDIDATES FROM ROCHE TO EXPAND CARDIOVASCULAR PIPELINE TO INCLUDE METABOLIC DISEASE -VIA Adds IND-Ready THR Beta Agonist and Preclinical DGAT1 Inhibitor Candidates— San Francisco, CA, December 23, 2008 — VIA Pharmaceuticals, Inc. (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascula |
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| December 23, 2008 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 18, 2008 VIA PHARMACEUTICALS, INC. |
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| December 23, 2008 |
RESEARCH, DEVELOPMENT AND COMMERCIALIZATION AGREEMENT Exhibit 10.1 RESEARCH, DEVELOPMENT AND COMMERCIALIZATION AGREEMENT This Research, Development and Commercialization Agreement (“Agreement”) is entered into as of this 18th day of December, 2008, by and between: on the one hand, Hoffmann-La Roche Inc., with its principal place of business at 340 Kingsland Street, Nutley, New Jersey 07110 USA (“Roche Nutley”), and F. Hoffmann-La Roche Ltd, a Swiss c |
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| December 23, 2008 |
Exhibit 10.1 VIA PHARMACEUTICALS, INC. RESTRICTED STOCK AGREEMENT Name: VIA Pharmaceuticals, Inc. 2007 Incentive Award Plan Address: Total number of shares of Restricted Stock Purchase Price: $0.00 Taxpayer Identification Number: Grant Date: Vesting Commencement Date: Signature: 1. Restricted Stock Grant. Effective on the Grant Date, you have been granted an award of restricted Common Stock of VIA |
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| November 12, 2008 |
exv99w1 Exhibit 99.1 Investor Presentation November, 2008 2 SAFE HARBOR This presentation contains "forward-looking" statements within the meaning of the Private Securities Litigation Reform Act of 1995. These statements relate to future events or to our future financial performance and involve known and unknown risks, uncertainties and other factors that may cause our actual results, levels of ac |
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| November 12, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q e10vq Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 12, 2008 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): November 12, 2008 VIA PHARMACEUTICALS, INC. |
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| November 10, 2008 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): November 9, 2008 VIA PHARMACEUTICALS, INC. |
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| November 10, 2008 |
Exhibit 99.1 VIA PHARMACEUTICALS ANNOUNCES POSITIVE RESULTS OF PHASE 2 STUDIES OF VIA-2291 IN PATIENTS WITH SERIOUS CARDIOVASCULAR DISEASE - In Two Studies Drug was Well-Tolerated, Significantly Inhibited Leukotriene Production, and Reduced Inflammation– - Webcast Conference Call to Discuss Results on Monday, November 10 at 8:30 a.m. ET- New Orleans and San Francisco, Nov. 9, 2008 – VIA Pharmaceut |
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| August 12, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q e10vq Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 30, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 VIA Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 92554T103 (CUSIP Number) August 8, 2007 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
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| July 30, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 VIA Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 92554T103 (CUSIP Number) August 8, 2007 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
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| July 30, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 VIA Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 92554T103 (CUSIP Number) August 8, 2007 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
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| May 29, 2008 |
e10vqza UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q/A (Amendment No. 1) (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2008 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 |
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| May 14, 2008 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): May 14, 2008 VIA PHARMACEUTICALS, INC. |
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| May 14, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q e10vq Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 14, 2008 |
exv99w1 Exhibit 99.1 Investor Presentation May, 2008 3 SAFE HARBOR This presentation contains "forward-looking" statements within the meaning of the Private Securities Litigation Reform Act of 1995. These statements relate to future events or to our future financial performance and involve known and unknown risks, uncertainties and other factors that may cause our actual results, levels of activit |
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| April 17, 2008 |
FOURTH AMENDED AND RESTATED BYLAWS VIA PHARMACEUTICALS, INC. exv3w1 Exhibit 3.1 FOURTH AMENDED AND RESTATED BYLAWS OF VIA PHARMACEUTICALS, INC. TABLE OF CONTENTS Page ARTICLE I. OFFICES 1 Section 1. REGISTERED OFFICES 1 Section 2. OTHER OFFICES 1 ARTICLE II. MEETINGS OF STOCKHOLDERS 1 Section 1. PLACE OF MEETINGS 1 Section 2. ANNUAL MEETINGS OF STOCKHOLDERS 1 Section 3. QUORUM; ADJOURNED MEETINGS AND NOTICE THEREOF 1 Section 4. CONDUCT OF BUSINESS 2 Section |
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| April 17, 2008 |
def14a Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 17, 2008 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): April 16, 2008 VIA PHARMACEUTICALS, INC. |
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| April 17, 2008 |
VIA PHARMACEUTICALS, INC. CODE OF BUSINESS CONDUCT AND ETHICS exv14w1 Exhibit 14.1 VIA PHARMACEUTICALS, INC. CODE OF BUSINESS CONDUCT AND ETHICS This Code of Business Conduct and Ethics (the “Code”) was adopted by the Board of Directors (the “Board”) of VIA Pharmaceuticals, Inc. (“VIA” or the “Company”) on June 5, 2007, and amended by the Board on April 16, 2008. This Code summarizes the standards that must guide our actions. As a guiding principle at VIA, w |
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| March 31, 2008 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): March 28, 2008 VIA PHARMACEUTICALS, INC. |
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| March 31, 2008 |
As filed with the Securities and Exchange Commission on March 31, 2008. sv8 As filed with the Securities and Exchange Commission on March 31, 2008. Registration No. 333- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 33-0687976 (State or other jurisdiction of incorporation or organization) (I.R.S. Employe |
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| March 31, 2008 |
VIA PHARMACEUTICALS COMPLIES WITH NASDAQ RULE exv99w1 Exhibit 99.1 VIA PHARMACEUTICALS COMPLIES WITH NASDAQ RULE San Francisco, CA, March 28, 2008 — VIA Pharmaceuticals, Inc. (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascular disease, announced today, in compliance with NASDAQ Marketplace Rule 4350(b)(1)(B), that the independent audit report included in the Company’s Annual Repo |
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| March 28, 2008 |
e10vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2007 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 NO. |
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| March 28, 2008 |
exv10w15 Exhibit 10.15 750 Battery Street, Suite 330 San Francisco, California 94111 office 415.283-2200 fax 415.283-2201 www.viapharmaceuticals.com December 18, 2007 CONFIDENTIAL Dr. Rebecca Taub 1218 Valley Road Villanova, PA 19085 Dear Becky: VIA Pharmaceuticals, Inc., (“VIA”), is pleased to extend the following offer of employment to you: Ÿ Start Date: You will commence employment beginning Ja |
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| March 28, 2008 |
exv21w1 Exhibit 21.1 VIA PHARMACEUTICALS, INC. LIST OF SUBSIDIARIES Name Place of Incorporation Vascular Genetics Inc. Delaware VIA Pharma UK Limited England and Wales |
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| March 28, 2008 |
exv4w2 Exhibit 4.2 THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND HAVE BEEN ACQUIRED FOR INVESTMENT AND NOT WITH A VIEW TO, OR IN CONNECTION WITH, THE SALE OR DISTRIBUTION THEREOF. NO SUCH SALE OR DISTRIBUTION MAY BE EFFECTED WITHOUT AN EFFECTIVE REGISTRATION STATEMENT RELATED THERETO OR AN OPINION OF COUNSEL IN A FORM SATISFAC |
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| March 28, 2008 |
exv10w28 Exhibit 10.28 OFFICE LEASE 750 Battery Street San Francisco,California Basic Lease Information Date: October 13, 2005 Landlord: James P. Edmondson Tenant: VIA Pharmaceuticals, Inc., a Delaware corporation Building (section 1.1): The office building known as 750 Battery Street, San Francisco, California, comprising ninety-four thousand three hundred sixty-nine (94,369) square feet of renta |
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| March 28, 2008 |
exv10w25 Exhibit 10.25 CHANGE IN CONTROL AGREEMENT THIS CHANGE IN CONTROL AGREEMENT (this “Agreement”), dated as of January 14, 2008, is made by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Rebecca Taub, M.D. (“Executive”). WITNESSETH: WHEREAS, Executive is a senior executive of the Company or its subsidiaries and has made and is expected to continue to make m |
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| March 28, 2008 |
exv10w29 Exhibit 10.29 THIS LEASE is made this 24 day of July, 2006, between 100 & RW CRA LLC, having an office at 2 Research Way, Princeton, NJ 08540, hereinafter called “Landlord”, and Via Pharmaceuticals, Inc. with an office located at 101 College Road East, Princeton, New Jersey 08540, hereinafter called “Tenant”. LEASE OF PREMISES Landlord hereby leases to Tenant and Tenant hereby hires from |
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| January 22, 2008 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): January 22, 2008 VIA PHARMACEUTICALS, INC. |
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| January 22, 2008 |
EXHIBIT 99.1 Investor Presentation January 2008 3 SAFE HARBOR This presentation contains "forward-looking" statements within the meaning of the Private Securities Litigation Reform Act of 1995. These statements relate to future events or to our future financial performance and involve known and unknown risks, uncertainties and other factors that may cause our actual results, levels of activity, pe |
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| January 16, 2008 |
exv99w1 Exhibit 99.1 VIA PHARMACEUTICALS NAMES REBECCA TAUB SENIOR VICE PRESIDENT OF RESEARCH AND DEVELOPMENT - Industry Veteran Joins Company as Lead Product Progresses in Phase 2 Trials - SAN FRANCISCO, Jan. 16, 2008 — VIA Pharmaceuticals (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascular disease, announced today that Rebecca A. Ta |
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| January 16, 2008 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): January 16, 2008 VIA PHARMACEUTICALS, INC. |
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| January 8, 2008 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): January 7, 2008 VIA PHARMACEUTICALS, INC. |
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| January 8, 2008 |
exv99w1 Exhibit 99.1 VIA PHARMACEUTICALS ENROLLS FIRST PATIENT IN PHASE 2 CLINICAL TRIAL TO MEASURE IMPACT OF VIA-2291 TO REDUCE VASCULAR INFLAMMATION — Comprehensive Phase 2 Program to Provide Initial Proof-of-Concept Data This Year — San Francisco, CA, January 7, 2008 — VIA Pharmaceuticals (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardio |
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| December 21, 2007 |
Exhibit 10.3 CHANGE IN CONTROL AGREEMENT THIS CHANGE IN CONTROL AGREEMENT (this “Agreement”), dated as of December 21, 2007, is made by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Adeoye Olukotun, M.D., (“Executive”). WITNESSETH: WHEREAS, Executive is a senior executive of the Company or its subsidiaries and has made and is expected to continue to make major |
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| December 21, 2007 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 14, 2007 VIA PHARMACEUTICALS, INC. |
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| December 21, 2007 |
e8vkza Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K/A (Amendment No. |
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| December 21, 2007 |
exv10w2 Exhibit 10.2 CHANGE IN CONTROL AGREEMENT THIS CHANGE IN CONTROL AGREEMENT (this “Agreement”), dated as of December 21, 2007, is made by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and James G. Stewart (“Executive”). WITNESSETH: WHEREAS, Executive is a senior executive of the Company or its subsidiaries and has made and is expected to continue to make majo |
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| December 21, 2007 |
exv10w1 Exhibit 10.1 CHANGE IN CONTROL AGREEMENT THIS CHANGE IN CONTROL AGREEMENT (this “Agreement”), dated as of December 21, 2007, is made by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Lawrence K. Cohen, Ph.D. (“Executive”). WITNESSETH: WHEREAS, Executive is a senior executive of the Company or its subsidiaries and has made and is expected to continue to m |
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| December 21, 2007 |
Exhibit 10.3 CHANGE IN CONTROL AGREEMENT THIS CHANGE IN CONTROL AGREEMENT (this “Agreement”), dated as of December 21, 2007, is made by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Adeoye Olukotun, M.D., (“Executive”). WITNESSETH: WHEREAS, Executive is a senior executive of the Company or its subsidiaries and has made and is expected to continue to make major |
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| December 21, 2007 |
Exhibit 10.1 CHANGE IN CONTROL AGREEMENT THIS CHANGE IN CONTROL AGREEMENT (this “Agreement”), dated as of December 21, 2007, is made by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Lawrence K. Cohen, Ph.D. (“Executive”). WITNESSETH: WHEREAS, Executive is a senior executive of the Company or its subsidiaries and has made and is expected to continue to make majo |
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| December 21, 2007 |
exv10w2 Exhibit 10.2 CHANGE IN CONTROL AGREEMENT THIS CHANGE IN CONTROL AGREEMENT (this “Agreement”), dated as of December 21, 2007, is made by and between VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and James G. Stewart (“Executive”). WITNESSETH: WHEREAS, Executive is a senior executive of the Company or its subsidiaries and has made and is expected to continue to make majo |
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| December 19, 2007 |
exv10w1 EXHIBIT 10.1 VIA PHARMACEUTICALS, INC. STOCK OPTION AGREEMENT Name: VIA Pharmaceuticals, Inc. 2007 Incentive Award Plan Address: Grant: Option to purchase shares of Common Stock Taxpayer Incentive Stock Option Identification Number: Non-Qualified Stock Option Signature: Exercise Price: $ Grant Date: Vesting Commencement Date: 1. Grant of Option. Effective on the Grant Date, you have been g |
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| December 19, 2007 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 14, 2007 VIA PHARMACEUTICALS, INC. |
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| December 14, 2007 |
As filed with the Securities and Exchange Commission on December 14, 2007. sv8 Table of Contents As filed with the Securities and Exchange Commission on December 14, 2007. |
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| November 14, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2007 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 numb |
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| November 5, 2007 |
def14a Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 30, 2007 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): October 25, 2007 VIA PHARMACEUTICALS, INC. |
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| October 30, 2007 |
EX-99.1 2 f34944exv99w1.htm EXHIBIT 99.1 Exhibit 99.1 VIA PHARMACEUTICALS EXPANDS CLINICAL TRIAL PROGRAM FOR VIA-2291 IN ACUTE CORONARY SYNDROME —Third Trial to Utilize FDG-PET Imaging— San Francisco, CA, October 25, 2007 — VIA Pharmaceuticals (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascular disease, announced today that it will so |
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| October 16, 2007 |
6,996,914 Shares VIA Pharmaceuticals, Inc. Common Stock Prospectus Table of Contents FILED PURSUANT TO RULE 424(B)(3) REGISTRATION NO: 333-145504 PROSPECTUS 6,996,914 Shares VIA Pharmaceuticals, Inc. |
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| October 15, 2007 |
As filed with the Securities and Exchange Commission on October 15, 2007 Form S-3 Amendment #3 Table of Contents As filed with the Securities and Exchange Commission on October 15, 2007 Registration No. |
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| October 15, 2007 |
VIA Pharmaceuticals, Inc. 750 Battery Street, Suite 330 San Francisco, CA 94111 VIA Pharmaceuticals, Inc. 750 Battery Street, Suite 330 San Francisco, CA 94111 October 15, 2007 VIA EDGAR TRANSMISSION Gregory S. Belliston Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Mail Stop 6010 Washington, D.C. 20549 Re: VIA Pharmaceuticals, Inc. Registration Statement on Form S-3 (File No. 333-145504) Dear Mr. Belliston: Pursuant to Rule 461 under |
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| October 10, 2007 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): October 10, 2007 VIA PHARMACEUTICALS, INC. |
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| October 10, 2007 |
VIA PHARMACEUTICALS ANNOUNCES POSITIVE DSMB RECOMMENDATION FOR VIA-2291 CLINICAL TRIALS Press Release Exhibit 99.1 FOR IMMEDIATE RELEASE VIA PHARMACEUTICALS ANNOUNCES POSITIVE DSMB RECOMMENDATION FOR VIA-2291 CLINICAL TRIALS San Francisco, CA, October 10, 2007 – VIA Pharmaceuticals (NASDAQ: VIAP) a biotechnology company focused on the development of compounds for the treatment of cardiovascular disease, announced today that its independent Data Safety Monitoring Board (DSMB) for its |
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| October 1, 2007 |
As filed with the Securities and Exchange Commission on October 1, 2007 Amendment #2 to Form S-3 Table of Contents As filed with the Securities and Exchange Commission on October 1, 2007 Registration No. |
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| August 30, 2007 |
As filed with the Securities and Exchange Commission on August 30, 2007 Amendment No. 1 to Form S-3 Table of Contents As filed with the Securities and Exchange Commission on August 30, 2007 Registration No. 333-145504 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 33-0687976 (State or O |
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| August 30, 2007 |
Correspondence Sears Tower, Suite 5800 233 S. Wacker Dr. Chicago, Illinois 60606 Tel: +312.876.7700 Fax: +312.993.9767 www.lw.com FIRM / AFFILIATE OFFICES August 30, 2007 Gregory S. Belliston Securities and Exchange Commission Division of Corporate Finance 100 F. Street, N.E. Mail Stop 6010 Washington, D.C. 20549 Barcelona New Jersey Brussels New York Chicago Northern Virginia Frankfurt Orange Cou |
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| August 16, 2007 |
As filed with the Securities and Exchange Commission on August 16, 2007 Form S-3 Table of Contents As filed with the Securities and Exchange Commission on August 16, 2007 Registration No. |
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| August 16, 2007 |
Form of Specimen Stock Certificate The Corporation will furnish without charge to each stockholder who so requests the powers, designations, preferences and relative, participating, optional, or other special rights of each class of stock or series thereof and the qualifications, limitations or restrictions of such preferences and/or rights. |
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| August 16, 2007 |
As filed with the Securities and Exchange Commission on August 16, 2007. As filed with the Securities and Exchange Commission on August 16, 2007. Registration No. 333- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 VIA PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 33-0687976 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer I |
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| August 15, 2007 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 15, 2007 VIA PHARMACEUTICALS, INC. |
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| August 15, 2007 |
Slide Presentation 1 VIA Pharmaceuticals VIA Pharmaceuticals Presentation Presentation August 2007 Exhibit 99. |
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| August 14, 2007 |
PATENT RIGHTS AND RELATED ASSETS PURCHASE AGREEMENT Exhibit 10.6 PATENT RIGHTS AND RELATED ASSETS PURCHASE AGREEMENT THIS PATENT RIGHTS AND RELATED ASSETS PURCHASE AGREEMENT (this “Agreement”), dated as of January 25th, 2007, is by and between VIA PHARMACEUTICALS, INC., a Delaware corporation having an address of 750 Battery St., Suite 330, San Francisco, California 94111 (the “Acquirer”), and NEURO3D, S.A., a French corporation having an address o |
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| August 14, 2007 |
Conversion Agreement Exhibit 10.19 CONVERSION AGREEMENT THIS CONVERSION AGREEMENT (the “Agreement”) is made and entered into on the 11th day of May, 2007, by and between CORAUTUS GENETICS INC., a Delaware corporation (the “Company”), and BOSTON SCIENTIFIC CORPORATION, a Delaware corporation (“BSC”). WHEREAS, the Company has issued to BSC One Million Three Hundred Eighty-Five Thousand Three Hundred |
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| August 14, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 14, 2007 |
CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF INCORPORATION CORAUTUS GENETICS INC. Certificate of Amendment Exhibit 3.8 CERTIFICATE OF AMENDMENT TO THE RESTATED CERTIFICATE OF INCORPORATION OF CORAUTUS GENETICS INC. Corautus Genetics Inc., a corporation organized under and existing under the laws of the State of Delaware (the “Corporation”), certifies that: FIRST: The name of the Corporation is Corautus Genetics Inc. The Corporation was originally incorporated under the name “Ur |
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| August 14, 2007 |
CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF INCORPORATION CORAUTUS GENETICS INC. Certificate of Amendment Exhibit 3.9 CERTIFICATE OF AMENDMENT TO THE RESTATED CERTIFICATE OF INCORPORATION OF CORAUTUS GENETICS INC. Corautus Genetics Inc., a corporation organized under and existing under the laws of the State of Delaware (the “Corporation”), certifies that: FIRST: The name of the Corporation is Corautus Genetics Inc. The Corporation was originally incorporated under the name “Ur |
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| August 14, 2007 |
Exclusive Option Agreement Exhibit 10.8 EXCLUSIVE OPTION AGREEMENT THIS AGREEMENT is made and entered into as of 27 day of March (the “Effective Date”) by and between SANTEN PHARMACEUTICAL CO., LTD. (“SANTEN”), a Japanese corporation having a place of business at 9-19, Shimoshinjo 3-chome, Higashiyodogawa-ku, Osaka 533-8651, Japan, and VIA PHARMACEUTICALS, INC. (“VIA”), a Delaware corporation havi |
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| August 14, 2007 |
APPENDIX A STUDY – ARTERIOSCLEROSIS PROJECT Research Agreement Exhibit 10.5 THIS RESEARCH AGREEMENT is made on 25th September 2006 BETWEEN (1) VIA PHARMACEUTICALS INC. 750 Battery Street, Suite 330 San Francisco, CA 94111 (“Company”); and (2) UNIVERSITY OF LIVERPOOL of The Foundation Building, 765 Brownlow Hill Liverpool, L69 7ZX (“University”). WHEREAS A The University has expertise in the field of tachykinin in vitro and in vivo models fo |
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| August 14, 2007 |
Exhibit 10.4 EXCLUSIVE LICENSE AGREEMENT This Agreement, effective August 10, 2005 ( the “Effective Date”) is between VIA Pharmaceuticals, Inc. a corporation organized and existing under the laws of the State of Delaware and having its principal place of business at 750 Battery Street, Suite 400, San Francisco CA 94111 (“VIA”) and Abbott Laboratories, a corporation organized and existing under the |
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| August 14, 2007 |
AMENDMENT NO. 1 PATENT RIGHTS AND RELATED ASSETS PURCHASE AGREEMENT Exhibit 10.7 AMENDMENT NO. 1 TO PATENT RIGHTS AND RELATED ASSETS PURCHASE AGREEMENT THIS AMENDMENT NO. 1 TO THE PATENT RIGHTS AND RELATED ASSETS PURCHASE AGREEMENT (this “Amendment”), dated as of February 23rd, 2007, is by and between VIA PHARMACEUTICALS, INC., a Delaware corporation having an address of 750 Battery St., Suite 330, San Francisco, California 94111 (the “Acquirer”), and NEURO3D, S.A |
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| August 14, 2007 |
CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF INCORPORATION CORAUTUS GENETICS INC. Certificate of Amendment Exhibit 3.7 CERTIFICATE OF AMENDMENT TO THE RESTATED CERTIFICATE OF INCORPORATION OF CORAUTUS GENETICS INC. Corautus Genetics Inc., a corporation organized under and existing under the laws of the State of Delaware (the “Corporation”), certifies that: FIRST: The name of the Corporation is Corautus Genetics Inc. The Corporation was originally incorporated under the name “Ur |
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| August 14, 2007 |
VIA PHARMACEUTICALS, INC. 2004 STOCK PLAN STOCK OPTION AGREEMENT Standard Director Form Exhibit 10.18 VIA PHARMACEUTICALS, INC. 2004 STOCK PLAN STOCK OPTION AGREEMENT Unless otherwise defined herein, the terms defined in the 2004 Stock Plan shall have the same defined meanings in this Stock Option Agreement. I. NOTICE OF STOCK OPTION GRANT Name: Address: The undersigned Optionee has been granted an Option to purchase Common Stock of the Company, subject to the |
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| August 14, 2007 |
Subsidiaries Exhibit 21.1 VIA PHARMACEUTICALS, INC. LIST OF SUBSIDIARIES Name Place of Incorporation Vascular Genetics Inc. Delaware VIA Pharma UK Limited England and Wales |
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| August 14, 2007 |
Exhibit 10.3 S04-121: GWK EXCLUSIVE AGREEMENT This Agreement between THE BOARD OF TRUSTEES OF THE LELAND STANFORD JUNIOR UNIVERSITY (“Stanford”), an institution of higher education having powers under the laws of the State of California, and VIA Pharmaceuticals (“VIA”), a Delaware corporation having a principal place of business at 750 Battery Street, Suite 400, San Francisco, CA 94111, is effecti |
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| August 9, 2007 |
VIA PHARMACEUTICALS ANNOUNCES COMPLETION OF ITS $25 MILLION PRIVATE PLACEMENT OF COMMON STOCK Press Release Exhibit 99.1 FOR IMMEDIATE RELEASE VIA PHARMACEUTICALS ANNOUNCES COMPLETION OF ITS $25 MILLION PRIVATE PLACEMENT OF COMMON STOCK San Francisco, CA, August 8, 2007 – VIA Pharmaceuticals, Inc. (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascular disease, announced today that it has completed the second and final closing of |
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| August 9, 2007 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 8, 2007 VIA PHARMACEUTICALS, INC. |
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| August 9, 2007 |
Amendment No. 1 to Schedule 13-D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* VIA Pharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 92554T 103 (CUSIP Number) Bay City Capital Management LLC 750 Battery Street, Suite 400 San Francisco California 94111 (415) 676-3830 |
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| August 6, 2007 |
Warrant Issued to Trout Partners LLC Exhibit 99.1 THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND HAVE BEEN ACQUIRED FOR INVESTMENT AND NOT WITH A VIEW TO, OR IN CONNECTION WITH, THE SALE OR DISTRIBUTION THEREOF. NO SUCH SALE OR DISTRIBUTION MAY BE EFFECTED WITHOUT AN EFFECTIVE REGISTRATION STATEMENT RELATED THERETO OR AN OPINIO |
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| August 6, 2007 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): July 31, 2007 VIA PHARMACEUTICALS, INC. |
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| July 25, 2007 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): July 20, 2007 VIA PHARMACEUTICALS, INC. |
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| July 25, 2007 |
VIA PHARMACEUTICALS APPROVED FOR NASDAQ LISTING HEARINGS PANEL CONCLUDES PROCEEDINGS Exhibit 99.1 FOR IMMEDIATE RELEASE VIA PHARMACEUTICALS APPROVED FOR NASDAQ LISTING HEARINGS PANEL CONCLUDES PROCEEDINGS San Francisco, CA, July 20, 2007 – VIA Pharmaceuticals, Inc. (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascular disease, announced today that it received notification from The NASDAQ Stock Market that it has been ap |
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| July 17, 2007 |
SCHEDULE 14C (Rule 14c-101) INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION INFORMATION STATEMENT PURSUANT TO SECTION 14(C) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| July 17, 2007 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): July 16, 2007 VIA PHARMACEUTICALS, INC. |
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| July 16, 2007 |
CORRESPONDENCE Cathy A. Birkeland, Esq. Direct Dial: (312) 876-7681 [email protected] Sears Tower, Suite 5800 233 S. Wacker Dr. Chicago, Illinois 60606 Tel: +312.876.7700 Fax: +312.993.9767 www.lw.com FIRM / AFFILIATE OFFICES Barcelona New Jersey Brussels New York Chicago Northern Virginia Frankfurt Orange County Hamburg Paris Hong Kong San Diego London San Francisco Los Angeles Shanghai Madr |
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| July 16, 2007 |
Preliminary Information Statement SCHEDULE 14C (Rule 14c-101) INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION INFORMATION STATEMENT PURSUANT TO SECTION 14(C) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| July 3, 2007 |
Exhibit 10.1 EXECUTION VERSION SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of June 29, 2007, by and among VIA Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 750 Battery Street, Suite 330, San Francisco, CA 94111 (the “Company”), and each investor identified on the signature pages hereto (individually, an “Investor” and c |
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| July 3, 2007 |
Information Statement SCHEDULE 14C (Rule 14c-101) INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION INFORMATION STATEMENT PURSUANT TO SECTION 14(C) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| July 3, 2007 |
VIA PHARMACEUTICALS ANNOUNCES $25 MILLION PRIVATE PLACEMENT OF COMMON STOCK Exhibit 99.1 FOR IMMEDIATE RELEASE VIA PHARMACEUTICALS ANNOUNCES $25 MILLION PRIVATE PLACEMENT OF COMMON STOCK San Francisco, CA, June 29, 2007 – VIA Pharmaceuticals, Inc. (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascular disease, announced today that it has entered into a securities purchase agreement with various institutional and |
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| July 3, 2007 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): June 29, 2007 VIA PHARMACEUTICALS, INC. |
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| July 3, 2007 |
LOCK-UP AGREEMENT June __, 2007 Form of Lock-up Agreement Exhibit 10.2 LOCK-UP AGREEMENT June , 2007 VIA Pharmaceuticals, Inc. 750 Battery Street Suite 330 San Francisco, California 94111 Ladies and Gentlemen: This letter is being delivered to you in connection with the private placement (the “Placement”) by VIA Pharmaceuticals, Inc., a Delaware corporation (the “Company”), to “qualified institutional buyers” as such term is def |
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| June 27, 2007 |
FORM 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K/A (Amendment No. |
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| June 27, 2007 |
Unaudited financial statements of VIA Pharmaceuticals, Inc. Exhibit 99.2 VIA PHARMACEUTICALS, INC. (A Development Stage Company) CONDENSED BALANCE SHEETS—UNAUDITED AS OF MARCH 31, 2007 AND DECEMBER 31, 2006 March 31, 2007 December 31, 2006 ASSETS CURRENT ASSETS: Cash and cash equivalents $ 4,542,531 $ 3,337,360 Prepaids and other assets 156,312 111,107 Total current assets 4,698,843 3,448,467 PROP |
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| June 27, 2007 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS Unaudited pro forma condensed combined financial statements Exhibit 99.3 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS The following unaudited pro forma condensed combined financial statements give effect to the business combination of Corautus Genetics Inc. (“Corautus”) and VIA Pharmaceuticals, Inc. (“VIA”), which was completed on June 5, 2007. In connection with the merger, VIA bec |
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| June 27, 2007 |
REPORT OF DELOITTE & TOUCHE LLP, INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Audited Financial Statements of VIA Pharmaceuticals, Inc. Exhibit 99.1 REPORT OF DELOITTE & TOUCHE LLP, INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM The Board of Directors and Stockholders VIA Pharmaceuticals, Inc. We have audited the accompanying balance sheets of VIA Pharmaceuticals, Inc. (the “Company”) (a development stage company) as of December 31, 2006 and 2005, and the related statements |
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| June 20, 2007 |
Amendment No. 1 to Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2007 VIA PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 0-27264 33-0687976 (State or Othe |
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| June 20, 2007 |
Letter from Ernst and Young LLP Exhibit 16.1 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 We have read Item 4.01 of Form 8-K/A dated June 20, 2007, of VIA Pharmaceuticals, Inc. (formerly, Corautus Genetics Inc.) and are in agreement with the statements contained in the second paragraph on page 2 therein. We have no basis to agree or disagree with other statements of t |
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| June 20, 2007 |
SEC CORRESPONDENCE Kerry H. Ducey, Esq. Direct Dial: (312) 876-7696 [email protected] Sears Tower, Suite 5800 233 S. Wacker Dr. Chicago, Illinois 60606 Tel: +312.876.7700 Fax: +312.993.9767 www.lw.com FIRM / AFFILIATE OFFICES June 20, 2007 Ibolya Ignat Staff Accountant Office of Healthcare and Insurance Division of Corporation Finance Securities and Exchange Commission 100 F. Street, N.E. Washing |
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| June 19, 2007 |
AGREEMENT WITH RESPECT TO SCHEDULE 13D Agreement regarding filing of joint Schedule 13D Exhibit 7.1 AGREEMENT WITH RESPECT TO SCHEDULE 13D Each of Bay City Capital LLC, Bay City Capital Management IV LLC, Bay City Capital Fund IV, L.P. and Bay City Capital Fund IV Co-Investment Fund, L.P. hereby express its agreement that the attached Schedule 13D (and any amendments thereto) relating to the common stock of VIA Pharmaceuticals, Inc. is |
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| June 19, 2007 |
Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* VIA Pharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 92554T 103 (CUSIP Number) Bay City Capital Management LLC 750 Battery Street, Suite 400 San Francisco California 94111 (415) 676-3830 with a copy to: David |
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| June 15, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (AMENDMENT No. |
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| June 15, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (AMENDMENT No. |
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| June 11, 2007 |
VIA PHARMACEUTICALS, INC. CODE OF BUSINESS CONDUCT AND ETHICS VIA Pharmaceuticals, Inc. Code of Business Conduct and Ethics Exhibit 14.1 VIA PHARMACEUTICALS, INC. CODE OF BUSINESS CONDUCT AND ETHICS This Code of Business Conduct and Ethics (the “Code”) was adopted by the Board of Directors of VIA Pharmaceuticals, Inc. (“VIA” or the “Company”) on June 5, 2007. This Code summarizes the standards that must guide our actions. As a guiding principle at VIA, we ar |
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| June 11, 2007 |
VIA PHARMACEUTICALS, INC 750 Battery Street Suite 330 San Francisco, CA 94111 October 1, 2006 Letter Agreement Exhibit 10.6 VIA PHARMACEUTICALS, INC 750 Battery Street Suite 330 San Francisco, CA 94111 October 1, 2006 CONFIDENTIAL Mr. James Stewart 632 Oxford Avenue Venice, CA 90291 Dear Jim: Via Pharmaceuticals, Inc., (“VIA”), is pleased to extend the following offer of employment to you: • Start Date: You will commence employment beginning November 20, 2006. VIA acknowledges that you hav |
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| June 11, 2007 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): June 5, 2007 VIA PHARMACEUTICALS, INC. |
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| June 11, 2007 |
Third Amended and Restated Bylaws of VIA Pharmaceuticals, Inc. Exhibit 3.1 THIRD AMENDED AND RESTATED BYLAWS OF VIA PHARMACEUTICALS, INC. TABLE OF CONTENTS Page ARTICLE I. OFFICES 1 Section 1. REGISTERED OFFICES 1 Section 2. OTHER OFFICES 1 ARTICLE II. MEETINGS OF STOCKHOLDERS 1 Section 1. PLACE OF MEETINGS 1 Section 2. ANNUAL MEETINGS OF STOCKHOLDERS 1 Section 3. QUORUM; ADJOURNED MEETINGS AND NO |
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| June 11, 2007 |
VIA PHARMACEUTICALS, INC. 2004 STOCK PLAN STOCK OPTION AGREEMENT VIA Pharmaceuticals, Inc Stock Option Agreement EXHIBIT 10.9 VIA PHARMACEUTICALS, INC. 2004 STOCK PLAN STOCK OPTION AGREEMENT Unless otherwise defined herein, the terms defined in the 2004 Stock Plan shall have the same defined meanings in this Stock Option Agreement. I. NOTICE OF STOCK OPTION GRANT Name: Address: The undersigned Optionee has been granted an Option to purchase Common Stock of the |
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| June 11, 2007 |
VIA PHARMACEUTICALS, INC. 2004 STOCK PLAN (As Conformed through the First Amendment) VIA Pharmaceuticals, Inc 2004 Stock Plan Exhibit 10.8 VIA PHARMACEUTICALS, INC. 2004 STOCK PLAN (As Conformed through the First Amendment) 1. Purposes of the Plan. The purposes of this Plan are to attract and retain the best available personnel for positions of substantial responsibility, to provide additional incentive to Employees, Directors and Consultants and to promote the success of the Comp |
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| June 11, 2007 |
FORM OF LOCK-UP AGREEMENT , 2007 Form Lock-Up Agreement Exhibit 10.1 FORM OF LOCK-UP AGREEMENT , 2007 Corautus Genetics, Inc. 70 Mansell Court Suite 100 Roswell, Georgia 30076 Ladies and Gentlemen: This letter is being delivered to you in connection with the proposed merger (the “Merger”) of Resurgens Merger Corp., a Delaware corporation (“Merger Sub”), with and into VIA Pharmaceuticals, Inc., a Delaware corporation (“Via”), purs |
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| June 11, 2007 |
Amendment to Letter Agreement Exhibit 10.7 AMENDMENT TO LETTER AGREEMENT This Amendment to Letter Agreement (the “Amendment”) is entered into this 4th day of June, 2007 between VIA Pharmaceuticals, Inc. (“VIA”) and James Stewart (the “Executive”). WHEREAS, the Executive is employed by VIA pursuant to the terms of an offer letter dated October 1, 2006 (the “Letter Agreement”); WHEREAS, the Executiv |
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| June 11, 2007 |
AMENDMENT TO EMPLOYMENT AGREEMENT Lawerence Cohen Amendment to Employment Agreement Exhibit 10.3 AMENDMENT TO EMPLOYMENT AGREEMENT This Amendment to Employment Agreement (the “Amendment”) is entered into this 4th day of June, 2007 between VIA Pharmaceuticals, Inc. (“VIA”) and Lawrence Cohen (the “Executive”). WHEREAS, the Executive and VIA entered into an employment agreement dated August 10, 2004 (the “Employment Agreement”); WHE |
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| June 11, 2007 |
AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT Amended and Restated Registration Rights Agreement EXHIBIT 10.11 AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT THIS AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of June 5, 2007, is made and entered into by and among VIA PHARMACEUTICALS, INC., a Delaware corporation (the “Company”), and each of the stockholders of the Company listed on Exhibit A hereto, as su |
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| June 11, 2007 |
VIA PHARMACEUTICALS, INC. EMPLOYMENT AGREEMENT Adeoye Olukotun Employment Agreement Exhibit 10.4 VIA PHARMACEUTICALS, INC. EMPLOYMENT AGREEMENT This Agreement is entered into as August 12, 2004, (the “Effective Date”) by and between VIA Pharmaceuticals, Inc. (the “Company”), and Adeoye Olukotun (“Executive”). 1. Duties and Scope of Employment. (a) Positions and Duties. As of the Effective Date, Executive will serve as Chief Medical Officer of |
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| June 11, 2007 |
VIA PHARMACEUTICALS, INC. 2004 STOCK PLAN STOCK OPTION AGREEMENT VIA Pharmaceuticals, Inc. Early Excercise Form of Stock Option Agreement Exhibit 10.10 VIA PHARMACEUTICALS, INC. 2004 STOCK PLAN STOCK OPTION AGREEMENT Unless otherwise defined herein, the terms defined in the 2004 Stock Plan shall have the same defined meanings in this Stock Option Agreement. I. NOTICE OF STOCK OPTION GRANT Name: Address: The undersigned Optionee has been granted an Option to pur |
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| June 11, 2007 |
VIA PHARMACEUTICALS, INC. EMPLOYMENT AGREEMENT Employment Agreement Exhibit 10.2 VIA PHARMACEUTICALS, INC. EMPLOYMENT AGREEMENT This Agreement is entered into as of August 10, 2004, by and between VIA Pharmaceuticals, Inc. (the “Company”), and Lawrence Cohen (“Executive”). 1. Duties and Scope of Employment. (a) Positions and Duties. As of the Effective Date (as defined below), Executive will serve as President, Chief Executive Officer and Trea |
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| June 11, 2007 |
VIA Pharmaceuticals Receives NASDAQ Deficiency Notice Press Release Exhibit 99.1 FOR IMMEDIATE RELEASE VIA Pharmaceuticals Receives NASDAQ Deficiency Notice San Francisco, CA, June 11, 2007 – VIA Pharmaceuticals, Inc. (NASDAQ: VIAP) a biotechnology company focused on the development of compounds for the treatment of cardiovascular disease, announced today that, as expected, it received a letter dated June 7, 2007 from The NASDAQ Stock Market formally |
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| June 11, 2007 |
Letter from Ernst & Young LLP Exhibit 16.1 EXHIBIT 16 TO FORM 8-K June 11, 2007 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 We have read Item 4.01 of Form 8-K dated June 11, 2007, of VIA Pharmaceuticals, Inc. (formerly, Corautus Genetics Inc.) and are in agreement with the statements contained in the second paragraph on page 2 therein. We have no basis to agree or di |
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| June 11, 2007 |
AMENDMENT TO EMPLOYMENT AGREEMENT Adeoye Olukotun Amendment to Employment Agreement Exhibit 10.5 AMENDMENT TO EMPLOYMENT AGREEMENT This Amendment to Employment Agreement (the “Amendment”) is entered into this 4th day of June, 2007 between VIA Pharmaceuticals, Inc. (“VIA”) and Adeoye Olukotun (the “Executive”). WHEREAS, the Executive and VIA entered into an employment agreement dated August 12, 2004 (the “Employment Agreement”); WH |
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| June 7, 2007 |
rrd143248161538.html EXHIBIT 24.1 POWER OF ATTORNEY Know all by these present, that the undersigned party hereby constitutes and appoints each of Gordon Chin, James Stewart, and Karen Wright, signing singly, such party's true and lawful attorney-in-fact to: (1) execute for and on behalf of such party, all documents relating to the reporting of beneficial ownership of securities required to be file |
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| June 7, 2007 |
rrd143214161453.html EXHIBIT 24.1 POWER OF ATTORNEY Know all by these present, that the undersigned party hereby constitutes and appoints each of Gordon Chin, James Stewart, and Karen Wright, signing singly, such party's true and lawful attorney-in-fact to: (1) execute for and on behalf of such party, all documents relating to the reporting of beneficial ownership of securities required to be file |
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| June 7, 2007 |
rrd143216161452.html EXHIBIT 24.1 POWER OF ATTORNEY Know all by these present, that the undersigned party hereby constitutes and appoints each of Gordon Chin, James Stewart, and Karen Wright, signing singly, such party's true and lawful attorney-in-fact to: (1) execute for and on behalf of such party, all documents relating to the reporting of beneficial ownership of securities required to be file |
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| June 7, 2007 |
rrd143190161448.html EXHIBIT 24.1 POWER OF ATTORNEY Know all by these present, that the undersigned party hereby constitutes and appoints each of Gordon Chin, James Stewart, and Karen Wright, signing singly, such party's true and lawful attorney-in-fact to: (1) execute for and on behalf of such party, all documents relating to the reporting of beneficial ownership of securities required to be file |
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| June 7, 2007 |
rrd143208161450.html EXHIBIT 24.1 POWER OF ATTORNEY Know all by these present, that the undersigned party hereby constitutes and appoints each of Gordon Chin, James Stewart, and Karen Wright, signing singly, such party's true and lawful attorney-in-fact to: (1) execute for and on behalf of such party, all documents relating to the reporting of beneficial ownership of securities required to be file |
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| June 7, 2007 |
rrd143213161445.html EXHIBIT 24.1 POWER OF ATTORNEY Know all by these present, that the undersigned party hereby constitutes and appoints each of Gordon Chin, James Stewart, and Karen Wright, signing singly, such party's true and lawful attorney-in-fact to: (1) execute for and on behalf of such party, all documents relating to the reporting of beneficial ownership of securities required to be file |
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| June 7, 2007 |
rrd143221161454.html EXHIBIT 24.1 POWER OF ATTORNEY Know all by these present, that the undersigned party hereby constitutes and appoints each of Gordon Chin, James Stewart, and Karen Wright, signing singly, such party's true and lawful attorney-in-fact to: (1) execute for and on behalf of such party, all documents relating to the reporting of beneficial ownership of securities required to be file |
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| June 7, 2007 |
rrd143188161420.html EXHIBIT 24.1 POWER OF ATTORNEY Know all by these present, that the undersigned party hereby constitutes and appoints each of Gordon Chin, James Stewart, and Karen Wright, signing singly, such party's true and lawful attorney-in-fact to: (1) execute for and on behalf of such party, all documents relating to the reporting of beneficial ownership of securities required to be file |
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| June 6, 2007 |
Press Release Exhibit 99.1 FOR IMMEDIATE RELEASE VIA PHARMACEUTICALS AND CORAUTUS GENETICS COMPLETE MERGER TO FORM VIA PHARMACEUTICALS, INC. Nasdaq panel grants extension to satisfy listing requirements. SAN FRANCISCO, CA, June 5, 2007 – VIA Pharmaceuticals, Inc. (NASDAQ: VIAP), a biotechnology company focused on the development of compounds for the treatment of cardiovascular disease, announced t |
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| June 6, 2007 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): June 5, 2007 VIA PHARMACEUTICALS, INC. |
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| June 5, 2007 |
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): June 4, 2007 CORAUTUS GENETICS INC. (Exact Na\me Of Registrant As Specified In Charter) Delaware 0-27264 33-0687976 (State of Incorporation) (Commission File No.) (I.R.S. Emp |
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| June 5, 2007 |
Press Release dated June 4, 2007 EXHIBIT 99.1 CORAUTUS GENETICS STOCKHOLDERS APPROVE MERGER WITH VIA PHARMACEUTICALS AND RELATED PROPOSALS BOARD SETS 1:15 RATIO FOR REVERSE STOCK SPLIT ATLANTA, GA, June 4, 2007 – Corautus Genetics Inc. (NASDAQ: VEGF), a development stage company dedicated to the development of innovative products in the life sciences industry, announced today that its stockholders |
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| May 29, 2007 |
Form 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 (Date of earliest event reported): May 22, 2007 CORAUTUS GENETICS INC. (Exact Name Of Registrant As Specified In Charter) Delaware 0-27264 33-0687976 (State of Incorporation) (Commission File No.) (I.R.S. Employer Identific |
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| May 29, 2007 |
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): May 22, 2007 CORAUTUS GENETICS INC. (Exact Name Of Registrant As Specified In Charter) Delaware 0-27264 33-0687976 (State of Incorporation) (Commission File No.) (I.R.S. Employer Identification No. |
