Delaware
|
|
95-4078884
|
(State
or other jurisdiction of incorporation or
organization)
|
|
(I.R.S.
Employer Identification No.)
|
|
|
|
4B Cedar Brook Drive
Cranbury, New Jersey
|
|
08512
|
(Address
of principal executive offices)
|
|
(Zip
Code)
|
Title of Each Class
|
Trading Symbol
|
Name of Each Exchange
on Which Registered
|
Common
Stock, par value $.01 per share
|
PTN
|
NYSE
American
|
Large accelerated filer
☐
|
Accelerated filer
☒
|
|
|
Non-accelerated filer
☐
|
Smaller reporting company
☒
|
|
|
|
Emerging growth company
☐
|
|
Page
|
|
Business
|
1
|
|
Risk
Factors
|
15
|
|
Unresolved Staff
Comments
|
37
|
|
Properties
|
37
|
|
Legal
Proceedings
|
37
|
|
Mine
Safety Disclosures
|
37
|
|
Market
for Registrant’s Common Equity, Related Stockholder Matters
and Issuer Purchases of Equity Securities
|
38
|
|
Selected Financial
Data
|
38
|
|
Management’s
Discussion and Analysis of Financial Condition and Results of
Operations
|
38
|
|
Quantitative and
Qualitative Disclosures About Market Risk
|
44
|
|
Financial
Statements and Supplementary Data
|
45
|
|
Changes
in and Disagreements with Accountants on Accounting and Financial
Disclosure
|
70
|
|
Controls and
Procedures
|
70
|
|
Other
Information
|
71
|
|
Directors,
Executive Officers and Corporate Governance
|
72
|
|
Executive
Compensation
|
76
|
|
Security Ownership
of Certain Beneficial Owners and Management and Related Stockholder
Matters
|
84
|
|
Certain
Relationships and Related Transactions, and Director
Independence
|
88
|
|
Principal
Accounting Fees and Services
|
88
|
|
Exhibits, Financial
Statement Schedules
|
89
|
|
Form
10-K Summary
|
93
|
Period
|
Total Number of
Shares Purchased (1)
|
Weighted Average
Price Paid per Share
|
Total Number of
Shares Purchased as Part of Publicly Announced Plans or
Programs
|
Maximum Number of
Shares that May Yet be Purchased Under Announced Plans or
Programs
|
April 1-30,
2019
|
3,450
|
$1.13
|
-
|
-
|
May 1-31,
2019
|
-
|
-
|
-
|
-
|
June 1-30,
2019
|
37,994
|
1.31
|
-
|
-
|
Total
|
41,444
|
1.29
|
-
|
-
|
|
Payments due by
Period
|
||||
|
Total
|
Less than 1
Year
|
1 - 3
Years
|
3 - 5
Years
|
More than 5
Years
|
|
|
|
|
|
|
Facility operating
leases
|
$255,120
|
$255,120
|
$-
|
$-
|
$-
|
Notes payable,
including interest
|
835,485
|
835,485
|
-
|
-
|
-
|
|
|
|
|
|
|
Total contractual
obligations
|
$1,090,605
|
$1,090,605
|
$-
|
$-
|
$-
|
|
Page
|
|
|
Report
of Independent Registered Public Accounting Firm
|
46
|
|
|
Consolidated
Balance Sheets
|
47
|
|
|
Consolidated
Statements of Operations
|
48
|
|
|
Consolidated
Statements of Comprehensive Income (Loss)
|
49
|
|
|
Consolidated
Statements of Stockholders’ Equity (Deficiency)
|
50
|
|
|
Consolidated
Statements of Cash Flows
|
51
|
|
|
Notes
to Consolidated Financial Statements
|
52
|
PALATIN TECHNOLOGIES, INC.
|
|||||||||
and Subsidiary
|
|||||||||
Consolidated Statements of Stockholders’ Equity
(Deficiency)
|
|
|
|
|
Additional
|
Accumulated Other
|
|
|
|
|
Preferred
Stock
|
Common
Stock
|
Paid-in
|
Comprehensive
|
Accumulated
|
|
||
|
Shares
|
Amount
|
Shares
|
Amount
|
Capital
|
Income
(Loss)
|
Deficit
|
Total
|
Balance, June 30,
2016
|
4,030
|
$40
|
68,568,055
|
$685,680
|
$325,142,509
|
$(1,944)
|
$(343,412,252)
|
$(17,585,967)
|
Stock-based
compensation
|
-
|
-
|
579,400
|
5,794
|
1,751,465
|
-
|
-
|
1,757,259
|
Sale of common stock
units, net of costs
|
-
|
-
|
36,866,097
|
368,661
|
23,488,312
|
-
|
-
|
23,856,973
|
Withholding taxes
related to restricted stock units
|
-
|
-
|
(75,993)
|
(760)
|
(26,328)
|
-
|
-
|
(27,088)
|
Warrant
exercises
|
-
|
-
|
54,577,802
|
545,778
|
(381,420)
|
-
|
-
|
164,358
|
Unrealized gains on
investments
|
-
|
-
|
-
|
-
|
-
|
1,354
|
-
|
1,354
|
Net
loss
|
-
|
-
|
-
|
-
|
-
|
-
|
(13,331,533)
|
(13,331,533)
|
Balance, June 30,
2017
|
4,030
|
40
|
160,515,361
|
1,605,153
|
349,974,538
|
(590)
|
(356,743,785)
|
(5,164,644)
|
Cumulative effect of
accounting change
|
-
|
-
|
-
|
-
|
4,835
|
-
|
(4,835)
|
-
|
Stock-based
compensation
|
-
|
-
|
795,041
|
7,951
|
3,510,400
|
-
|
-
|
3,518,351
|
Sale of common stock ,
net of costs
|
-
|
-
|
1,283,754
|
12,838
|
1,244,936
|
-
|
-
|
1,257,774
|
Withholding taxes
related to restricted stock units
|
-
|
-
|
(27,465)
|
(275)
|
(20,511)
|
-
|
-
|
(20,786)
|
Warrant
exercises
|
-
|
-
|
37,778,614
|
377,786
|
2,133,243
|
-
|
-
|
2,511,029
|
Option
exercises
|
-
|
-
|
208,900
|
2,089
|
157,792
|
-
|
-
|
159,881
|
Unrealized gains on
investments
|
-
|
-
|
-
|
-
|
-
|
590
|
-
|
590
|
Net
income
|
-
|
-
|
-
|
-
|
-
|
-
|
24,702,714
|
24,702,714
|
Balance, June 30,
2018
|
4,030
|
40
|
200,554,205
|
2,005,542
|
357,005,233
|
-
|
(332,045,906)
|
26,964,909
|
Cumulative effect of
accounting change
|
-
|
-
|
-
|
-
|
-
|
-
|
500,000
|
500,000
|
Stock-based
compensation
|
-
|
-
|
327,692
|
3,277
|
3,478,800
|
-
|
-
|
3,482,077
|
Sale of common stock ,
net of costs
|
-
|
-
|
24,785,814
|
247,858
|
32,888,202
|
-
|
-
|
33,136,060
|
Withholding taxes
related to restricted stock units
|
-
|
-
|
(67,038)
|
(670)
|
(65,322)
|
-
|
-
|
(65,992)
|
Withholding taxes
related to stock options
|
-
|
-
|
(37,994)
|
(380)
|
(49,391)
|
-
|
-
|
(49,771)
|
Warrant
exercises
|
-
|
-
|
1,115,333
|
11,153
|
797,781
|
-
|
-
|
808,934
|
Option
exercises
|
-
|
-
|
137,351
|
1,374
|
(1,374)
|
-
|
-
|
-
|
Net
income
|
-
|
-
|
-
|
-
|
-
|
-
|
35,773,027
|
35,773,027
|
Balance, June 30,
2019
|
4,030
|
$40
|
226,815,363
|
$2,268,154
|
$394,053,929
|
$-
|
$(295,772,879)
|
$100,549,244
|
|
Balance at June 30,
2018
|
Net
Adjustment
|
Balance at July 1,
2018
|
Deferred
revenue
|
$500,000
|
$(500,000)
|
$-
|
Accumulated
deficit
|
(332,045,906)
|
500,000
|
(331,545,906)
|
|
June
30,
|
June
30,
|
|
2019
|
2018
|
Clinical study
costs
|
$61,798
|
$145,994
|
Insurance
premiums
|
87,937
|
42,605
|
Other
|
487,554
|
325,089
|
|
$637,289
|
$513,688
|
|
June 30,
|
June 30,
|
|
2019
|
2018
|
Office
equipment
|
$1,193,162
|
$1,193,162
|
Laboratory
equipment
|
585,795
|
558,205
|
Leasehold
improvements
|
751,226
|
751,226
|
|
2,530,183
|
2,502,593
|
Less:
Accumulated depreciation and amortization
|
(2,388,644)
|
(2,338,558)
|
|
$141,539
|
$164,035
|
|
June
30,
|
June
30,
|
|
2019
|
2018
|
Clinical study
costs
|
$943,721
|
$983,410
|
Other research
related expenses
|
1,361,414
|
590,236
|
Professional
services
|
317,500
|
297,731
|
Other
|
226,057
|
231,644
|
|
$2,848,692
|
$2,103,021
|
|
June
30,
|
June
30,
|
|
2019
|
2018
|
Notes payable under
venture loan
|
$333,333
|
$6,333,334
|
Unamortized related
debt discount
|
(295)
|
(33,535)
|
Unamortized debt
issuance costs
|
(142)
|
(18,138)
|
Notes
payable
|
332,896
|
6,281,661
|
|
|
|
Less: current
portion
|
332,896
|
5,948,763
|
|
|
|
Long-term
portion
|
$-
|
$332,898
|
Year
Ending June 30,
|
|
2020
|
$333,333
|
Less: Unamortized
debt discount and issuance costs
|
(437)
|
Net
|
$332,896
|
Shares of
Common
|
|
Exercise Price
per
|
|
Latest
Termination
|
Stock
|
|
Share
|
|
Date
|
666,666
|
|
0.75
|
|
December
23, 2019
|
2,191,781
|
|
0.91
|
|
July 2,
2020
|
549,450
|
|
0.91
|
|
July 2,
2020
|
9,441,313
|
|
0.70
|
|
August
4, 2021
|
25,000
|
|
0.70
|
|
August
4, 2021
|
9,414,503
|
|
0.80
|
|
December
6, 2021
|
22,288,713
|
|
|
|
|
|
Number of
Shares
|
Weighted Average
Exercise Price
|
Weighted Average
Remaining Term in Years
|
Aggregate Intrinsic
Value
|
|
|
|
|
|
|
|
|
|
|
Outstanding - July
1, 2016
|
5,261,740
|
1.21
|
6.2
|
|
|
|
|
|
|
Granted
|
4,119,000
|
0.46
|
|
|
Forfeited
|
(410,388)
|
1.12
|
|
|
Expired
|
(43,220)
|
22.59
|
|
|
|
|
|
|
|
Outstanding - June
30, 2017
|
8,927,132
|
0.76
|
7.5
|
|
|
|
|
|
|
Granted
|
4,182,550
|
0.90
|
|
|
Forfeited
|
(39,500)
|
1.70
|
|
|
Exercised
|
(208,900)
|
0.77
|
|
|
Expired
|
(85,820)
|
6.95
|
|
|
|
|
|
|
|
Outstanding - June
30, 2018
|
12,775,462
|
0.76
|
7.7
|
|
|
|
|
|
|
Granted
|
2,340,200
|
1.34
|
|
|
Forfeited
|
(280,362)
|
0.62
|
|
|
Exercised
|
(270,500)
|
0.64
|
|
|
Expired
|
(129,150)
|
1.77
|
|
|
Outstanding - June
30, 2019
|
14,435,650
|
$0.85
|
7.3
|
$5,021,759
|
|
|
|
|
|
Exercisable at June
30, 2019
|
8,226,113
|
$0.77
|
6.1
|
$3,311,791
|
|
|
|
|
|
Expected to vest at
June 30, 2019
|
6,209,537
|
$0.95
|
8.9
|
$1,709,968
|
|
2019
|
2018
|
2017
|
|
|
|
|
Risk-free interest
rate
|
1.9%
|
1.8%
|
1.7%
|
Volatility
factor
|
69.3%
|
52.6%
|
75.0%
|
Dividend
yield
|
0%
|
0%
|
0%
|
Expected option
life (years)
|
6.1
|
6.0
|
6.2
|
Weighted average
grant date fair value
|
$0.85
|
$0.58
|
$0.27
|
|
2019
|
2018
|
2017
|
Outstanding at
beginning of year
|
9,323,876
|
5,209,617
|
2,665,768
|
Granted
|
1,517,450
|
4,914,550
|
3,192,000
|
Forfeited
|
(182,351)
|
(5,250)
|
(68,751)
|
Vested
|
(331,142)
|
(795,041)
|
(579,400)
|
Outstanding at end
of year
|
10,327,833
|
9,323,876
|
5,209,617
|
|
|
|
|
|
June
30,
|
June
30,
|
|
2019
|
2018
|
Net operating loss
carryforwards
|
$18,724,000
|
$29,504,000
|
Research and
development and AMT tax credits
|
6,207,000
|
5,649,000
|
Foreign tax
credits
|
583,000
|
583,000
|
Basis differences
in fixed assets and other
|
1,072,000
|
1,734,000
|
|
26,586,000
|
37,470,000
|
Valuation
allowance
|
(26,586,000)
|
(37,470,000)
|
Net deferred tax
assets
|
$-
|
$-
|
|
Three Months Ended
|
|||
|
June 30,
|
March 31,
|
December 31,
|
September 30,
|
|
2019
|
2019
|
2018
|
2018
|
|
(amounts in
thousands, except per share data)
|
|||
Revenues
|
$60,265
|
$-
|
$-
|
$35
|
Operating
expenses
|
8,080
|
5,763
|
5,050
|
5,663
|
Other
income(expense), net
|
39
|
36
|
8
|
(54)
|
Income
(loss) before income taxes
|
52,224
|
(5,727)
|
(5,042)
|
(5,682)
|
Income
taxes
|
-
|
-
|
-
|
-
|
Net
income (loss)
|
$52,224
|
$(5,727)
|
$(5,042)
|
$(5,682)
|
Basic
net income (loss) per common share
|
$0.25
|
$(0.03)
|
$(0.02)
|
$(0.03)
|
Diluted
net income (loss) per common share
|
$0.23
|
$(0.03)
|
$(0.02)
|
$(0.03)
|
Weighted
average number of
|
|
|
|
|
common
shares outstanding
|
|
|
|
|
used
in computing basic net
|
|
|
|
|
income
(loss) per common share
|
212,253,194
|
207,016,304
|
206,487,984
|
205,009,278
|
Weighted
average number of
|
|
|
|
|
common
shares outstanding
|
|
|
|
|
used
in computing diluted net
|
|
|
|
|
income
(loss) per common share
|
228,526,106
|
207,016,304
|
206,487,984
|
205,009,278
|
|
Three Months Ended
|
|||
|
June 30,
|
March 31,
|
December 31,
|
September 30,
|
|
2018
|
2018
|
2017
|
2017
|
|
(amounts in
thousands, except per share data)
|
|||
Revenues
|
$20,618
|
$8,963
|
$10,612
|
$26,942
|
Operating
expenses
|
8,349
|
9,480
|
7,671
|
15,708
|
Other
expense, net
|
(185)
|
(241)
|
(310)
|
(405)
|
Income
(loss) before income taxes
|
12,083
|
(758)
|
2,631
|
10,829
|
Income
taxes
|
(276)
|
19
|
399
|
(225)
|
Net
income (loss)
|
$11,807
|
$(739)
|
$3,030
|
$10,604
|
Basic
net income (loss) per common share
|
$0.06
|
$-
|
$0.02
|
$0.05
|
Diluted
net income (loss) per common share
|
$0.06
|
$-
|
$0.01
|
$0.05
|
Weighted
average number of
|
|
|
|
|
common
shares outstanding
|
|
|
|
|
used
in computing basic net
|
|
|
|
|
income
(loss) per common share
|
200,581,435
|
197,485,758
|
197,238,056
|
197,112,400
|
Weighted
average number of
|
|
|
|
|
common
shares outstanding
|
|
|
|
|
used
in computing diluted net
|
|
|
|
|
income
(loss) per common share
|
211,047,927
|
197,485,758
|
202,711,616
|
201,360,736
|
Name
|
|
Age
|
|
Position with Palatin
|
Carl
Spana, Ph.D.
|
|
57
|
|
Chief
Executive Officer, President and a Director
|
John
K.A. Prendergast, Ph.D. (3)
|
|
65
|
|
Director, Chairman
of the Board of Directors
|
Robert
K. deVeer, Jr. (1) (2)
|
|
73
|
|
Director
|
J.
Stanley Hull (1) (2)
|
|
67
|
|
Director
|
Alan W.
Dunton, M.D. (1) (2)
|
|
65
|
|
Director
|
Angela
Rossetti (1) (3)
|
|
66
|
|
Director
|
Arlene
M. Morris (2) (3)
|
|
67
|
|
Director
|
Anthony
M. Manning, Ph.D. (3)
|
|
57
|
|
Director
|
Name
|
|
Age
|
|
Position with
Palatin
|
Carl
Spana, Ph.D.
|
|
57
|
|
Chief
Executive Officer, President and Director
|
Stephen
T. Wills, MST, CPA
|
|
62
|
|
Chief
Financial Officer, Chief Operating Officer, Executive Vice
President, Secretary and Treasurer
|
Name and Principal Position
|
Fiscal
Year
|
Salary
($)
|
Stock
awards (1) ($)
|
Option
awards (1) ($)
|
Nonequity incentive plan compensation (2) ($)
|
All other compensation (3) ($)
|
Total
($)
|
Carl Spana,
Ph.D.,
Chief Executive
Officer
|
2019
|
505,400
|
616,668
|
632,225
|
506,000
|
14,118
|
2,274,411
|
and
President
|
2018
|
490,700
|
1,418,500
|
1,029,882
|
263,000
|
13,857
|
3,215,939
|
Stephen T.
Wills,
MST,
CPA,
|
2019
|
461,700
|
527,826
|
542,151
|
462,000
|
14,085
|
2,007,762
|
Chief Financial
Officer, Chief Operating
Officer and Executive Vice President
|
2018
|
448,300
|
1,189,125
|
869,371
|
240,000
|
13,827
|
2,760,623
|
Name
|
Fees earned or
paid in cash ($)
|
Stock awards ($)
(1) (2)
|
Option
awards
($) (1)
(2)
|
Total
($)
|
John K.A.
Prendergast, Ph.D.
|
97,500
|
112,600
|
57,800
|
267,900
|
Robert K. deVeer,
Jr.
|
62,500
|
42,900
|
42,900
|
148,300
|
J. Stanley
Hull
|
55,000
|
42,900
|
42,900
|
140,800
|
Alan W. Dunton,
M.D.
|
84,375
|
42,900
|
42,900
|
170,175
|
Angela
Rossetti
|
52,500
|
42,900
|
42,900
|
138,300
|
Arlene
Morris
|
52,500
|
42,900
|
42,900
|
138,300
|
Anthony Manning,
Ph.D.
|
45,000
|
42,900
|
42,900
|
130,800
|
Class
|
Name of beneficial owner
|
Amount and nature of beneficial ownership
|
Percent of class
|
Percent of total voting power
|
Common
|
Carl Spana,
Ph.D.
|
5,993,852(1)
|
2.6%
|
*
|
Common
|
Stephen T.
Wills
|
5,314,239(2)
|
2.3%
|
*
|
Common
|
John K.A.
Prendergast, Ph.D.
|
980,349(3)
|
*
|
*
|
Common
|
Robert K. deVeer,
Jr.
|
572,472(4)
|
*
|
*
|
Common
|
J. Stanley
Hull
|
525,132(5)
|
*
|
*
|
Common
|
Alan W. Dunton,
M.D.
|
481,684(6)
|
*
|
*
|
Common
|
Angela
Rossetti
|
406,332(7)
|
*
|
*
|
Common
|
Arlene M.
Morris
|
348,332(8)
|
*
|
*
|
Common
|
Anthony M. Manning,
Ph.D.
|
137,332(9)
|
*
|
*
|
|
|
|
|
|
|
All current
directors and executive officers as a group (nine
persons)
|
14,759,724(10)
|
6.2%
|
1.2%
|
Class
|
|
Name and address of beneficial
owner
|
|
Amount and
nature of beneficial ownership (1)
|
|
|
Percent of class
|
|
|
Percent of total
voting power
|
|
Common
|
|
BlackRock,
Inc.
55 East
52nd Street
New
York, NY 10055
|
|
14,271,664
|
(2)
|
|
6.3
|
%
|
|
6.1
|
%
|
Series
A Preferred
|
|
Steven
N. Ostrovsky
43
Nikki Ct.
Morganville,
NJ 07751
|
|
500
|
|
|
12.4
|
%
|
|
*
|
|
Series
A Preferred
|
|
Thomas
L. Cassidy IRA Rollover
38
Canaan Close
New
Canaan, CT 06840
|
|
500
|
|
|
12.4
|
%
|
|
*
|
|
Series
A Preferred
|
|
Jonathan
E. Rothschild
300
Mercer St., #28F
New
York, NY 10003
|
|
500
|
|
|
12.4
|
%
|
|
*
|
|
Series
A Preferred
|
|
Arthur
J. Nagle
19
Garden Avenue
Bronxville,
NY 10708
|
|
250
|
|
|
6.2
|
%
|
|
*
|
|
Series
A Preferred
|
|
Thomas
P. and Mary E. Heiser, JTWROS
10
Ridge Road
Hopkinton,
MA 01748
|
|
250
|
|
|
6.2
|
%
|
|
*
|
|
Series
A Preferred
|
|
Carl F.
Schwartz
31 West
87th St.
New
York, NY 10016
|
|
250
|
|
|
6.2
|
%
|
|
*
|
|
Series
A Preferred
|
|
Michael
J. Wrubel
3650 N.
36 Avenue, #39
Hollywood,
FL 33021
|
|
250
|
|
|
6.2
|
%
|
|
*
|
|
Series
A Preferred
|
|
Myron
M. Teitelbaum, M.D.
175
Burton Lane
Lawrence,
NY 11559
|
|
250
|
|
|
6.2
|
%
|
|
*
|
|
Series
A Preferred
|
|
Laura
Gold Galleries Ltd. Profit Sharing Trust Park South Gallery at
Carnegie Hall
154
West 57th Street, Suite 114
New
York, NY 10019
|
|
250
|
|
|
6.2
|
%
|
|
*
|
|
Series
A Preferred
|
|
Laura
Gold
180 W.
58th Street
New
York, NY 10019
|
|
250
|
|
|
6.2
|
%
|
|
*
|
|
Series
A Preferred
|
|
Nadji
T. Richmond
20 E.
Wedgewood Glen
The
Woodlands, TX 77381
|
|
230
|
|
|
5.7
|
%
|
|
*
|
|
Exhibit Number
|
Description
|
Filed Herewith
|
Form
|
Filing Date
|
SEC File No.
|
Equity Distribution Agreement, dated April 20, 2018, by and between
Palatin Technologies, Inc. and Canaccord Genuity LLC
|
|
8-K
|
April 20, 2018
|
001-15543
|
|
Equity Distribution Agreement, dated June 21, 2019, by and between
Palatin Technologies, Inc. and Canaccord Genuity LLC
|
|
8-K
|
June 21, 2019
|
001-15543
|
|
Restated Certificate of Incorporation of Palatin Technologies,
Inc., as amended.
|
|
10-K
|
September 27, 2013
|
001-15543
|
|
Bylaws of Palatin Technologies, Inc.
|
|
10-Q
|
February 8, 2008
|
001-15543
|
|
Form of Series A 2012 Warrant.
|
|
8-K
|
July 6, 2012
|
001-15543
|
|
Form of Series B 2012 Warrant.
|
|
8-K
|
July 6, 2012
|
001-15543
|
|
Form of
Series C 2014 Common Stock Purchase Warrant.
|
|
8-K
|
December
30,
2014
|
001-15543
|
|
Form of
Series D 2014 Common Stock Purchase Warrant.
|
|
8-K
|
December
30,
2014
|
001-15543
|
|
Form of
Series E 2015 Common Stock Purchase Warrant.
|
|
8-K
|
July 7,
2015
|
001-15543
|
|
Form of
Series F 2015 Common Stock Purchase Warrant.
|
|
8-K
|
July 7,
2015
|
001-15543
|
|
Form of
Series G 2015 Common Stock Purchase Warrant.
|
|
8-K
|
July 7,
2015
|
001-15543
|
|
Form of
Series H 2016 Common Stock Purchase Warrant.
|
|
8-K
|
August
2, 2016
|
001-15543
|
|
Form of
Series I 2016 Common Stock Purchase Warrant.
|
|
8-K
|
August
2, 2016
|
001-15543
|
|
Form of
Series J 2016 Common Stock Purchase Warrant.
|
|
8-K
|
December
1, 2016
|
001-15543
|
|
|
Form of
warrant issued to PSL Business Development Consulting and SARL
Avisius in connection with a contract for financial advisory
services.
|
|
10-Q
|
February
10, 2017
|
001-15543
|
Description
of Securities
|
X
|
|
|
|
|
10.1†
|
1996 Stock Option Plan, as amended.
|
|
10-K
|
September 28, 2009
|
001-15543
|
10.2†
|
Form of Option Certificate (Incentive Option) Under the 2005 Stock
Plan.
|
|
8-K
|
September 21, 2011
|
001-15543
|
10.3†
|
Form of Incentive Stock Option Under the 2005 Stock
Plan.
|
|
8-K
|
September 21, 2011
|
001-15543
|
10.4†
|
Form of Opinion Certificate (Non-Qualified Opinion) Under the 2005
Stock Plan.
|
|
8-K
|
September 21, 2011
|
001-15543
|
10.5†
|
Form of Non-Qualified Stock Option Agreement Under the 2005 Stock
Plan.
|
|
8-K
|
September 21, 2011
|
001-15543
|
10.6†
|
2007 Change in Control Severance Plan.
|
|
10-Q
|
February 8, 2008
|
001-15543
|
10.7†
|
2005 Stock Plan, as amended.
|
|
10-Q
|
May 15, 2009
|
001-15543
|
10.8†
|
Form of Executive Officer Option Certificate.
|
|
10-Q
|
May 14, 2008
|
001-15543
|
10.9†
|
Form of Amended Restricted Stock Unit Agreement.
|
|
10-Q
|
May 14, 2008
|
001-15543
|
Form of Amended Option Certificate (Incentive Option) Under the
2005 Stock Plan.
|
|
10-Q
|
May 14, 2008
|
001-15543
|
|
2011 Stock Incentive Plan, as amended.
|
|
8-K
|
June 27, 2018
|
001-15543
|
|
Form of Restricted Share Unit Agreement Under the 2011 Stock
Incentive Plan.
|
|
10-Q
|
May 13, 2011
|
001-15543
|
|
Form of Nonqualified Stock Option Agreement under the 2011 Stock
Incentive Plan.
|
|
10-Q
|
May 13, 2011
|
001-15543
|
|
Form of Incentive Stock Option Agreement under the 2011 Stock
Incentive Plan.
|
|
10-Q
|
May 13, 2011
|
001-15543
|
|
Form of Restricted Share Unit Agreement under the 2011 Stock
Incentive Plan.
|
|
8-K
|
December 11, 2015
|
001-15543
|
Form of Performance-Based Restricted Share Unit Agreement under the
2011 Stock Incentive Plan.
|
|
8-K
|
December 11, 2015
|
001-15543
|
|
Form of Restricted Share Unit Agreement for Non-Employee Directors
under the 2011 Stock Incentive Plan.
|
|
8-K
|
December 11, 2015
|
001-15543
|
|
Amended form of Restricted Share Unit Agreement under the 2011
Stock Incentive Plan.
|
|
10-Q
|
February 12, 2016
|
001-15543
|
|
Amended form of Performance-Based Restricted Share Unit Agreement
under the 2011 Stock Incentive Plan.
|
|
10-Q
|
February 12, 2016
|
001-15543
|
|
Amended form of Restricted Share Unit Agreement for Non-Employee
Directors under the 2011 Stock Incentive Plan.
|
|
10-Q
|
February 12, 2016
|
001-15543
|
|
Form of Indenture.
|
|
S-3
|
August 17, 2018
|
333-226905
|
|
Amended and Restated Venture Loan and Security Agreement, dated
July 2, 2015, by and between Palatin Technologies, Inc. and Horizon
Technology Finance Corporation, Fortress Credit Co LLC, Horizon
Credit II LLC and Fortress Credit Opportunities V CLO
Limited.
|
|
8-K
|
July 7,
2015
|
001-15543
|
|
10.23††
|
Commercial Supply Agreement dated June 20, 2016, by and between
Catalent Belgium S.A. and Palatin Technologies, Inc.
|
|
10-K
|
September 19, 2016
|
001-15543
|
10.24††
|
Manufacturing Preparation and Services Agreement dated June 20,
2016, by and between Catalent Belgium S.A. and Palatin
Technologies, Inc.
|
|
10-K
|
September 19, 2016
|
001-15543
|
10.25††
|
License Agreement, dated January 8, 2017, by and between AMAG
Pharmaceuticals, Inc. and Palatin Technologies, Inc.
|
|
10-Q
|
February 10, 2017
|
001-15543
|
10.26††
|
License Agreement, dated September 6, 2017, by and between Shanghai
Fosun Pharmaceutical Industrial Development Co., Ltd. and Palatin
Technologies, Inc.
|
|
10-Q
|
November 13, 2017
|
001-15543
|
|
Employment Agreement, effective as of July 1, 2019, between Carl
Spana and Palatin Technologies, Inc.
|
|
8-K
|
June 26, 2019
|
001-15543
|
Employment Agreement, effective as of July 1, 2019, between Stephen
T. Wills and Palatin Technologies, Inc.
|
|
8-K
|
June 26, 2019
|
001-15543
|
|
Subsidiary of Palatin Technologies, Inc.
|
X
|
|
|
|
|
Consent of KPMG LLP.
|
X
|
|
|
|
|
Certification of Chief Executive Officer.
|
X
|
|
|
|
|
Certification of Chief Financial Officer.
|
X
|
|
|
|
|
Certification of principal executive officer pursuant to U.S.C.
Section 1350, as adopted pursuant to Section 906 of the
Sarbanes-Oxley Act of 2002.
|
X
|
|
|
|
|
Certification of principal financial officer pursuant to U.S.C.
Section 1350, as adopted pursuant to Section 906 of the
Sarbanes-Oxley Act of 2002.
|
X
|
|
|
|
|
101.INS
|
XBRL Instance Document.
|
X
|
|
|
|
101.SCH
|
XBRL Taxonomy Extension Schema Document.
|
X
|
|
|
|
101.CAL
|
XBRL Taxonomy Extension Calculation Linkbase Document.
|
X
|
|
|
|
101.LAB
|
XBRL Taxonomy Extension Label Linkbase Document.
|
X
|
|
|
|
101.PRE
|
XBRL Taxonomy Extension Presentation Linkbase
Document.
|
X
|
|
|
|
101.DEF
|
XBRL Taxonomy Extension Definition Linkbase Document.
|
X
|
|
|
|
|
PALATIN TECHNOLOGIES, INC. |
|
|
|
|
|
|
Date: September 12,
2019
|
By:
|
/s/ Carl Spana,
Ph.D.
|
|
|
|
Carl Spana,
Ph.D.
|
|
|
|
President and Chief
Executive Officer (principal
executive officer)
|
|
Signature
|
|
Title
|
|
Date
|
|
|
|
|
|
/s/
Carl Spana
|
|
President,
Chief Executive Officer and Director
|
|
September
12, 2019
|
Carl
Spana
|
|
(principal
executive officer)
|
|
|
|
|
|
|
|
/s/
Stephen T. Wills
|
|
Executive
Vice President, Chief Financial Officer
|
|
September
12, 2019
|
Stephen
T. Wills
|
|
and
Chief Operating Officer (principal financial and accounting
officer)
|
|
|
|
|
|
|
|
/s/
John K. A. Prendergast
|
|
Chairman
and Director
|
|
September
12, 2019
|
John K.
A. Prendergast
|
|
|
|
|
|
|
|
|
|
/s/
Robert K. deVeer, Jr,
|
|
Director
|
|
September
12, 2019
|
Robert
K. deVeer, Jr.
|
|
|
|
|
|
|
|
|
|
/s/ J.
Stanley Hull
|
|
Director
|
|
September
12, 2019
|
J.
Stanley Hull
|
|
|
|
|
|
|
|
|
|
/s/
Alan W. Dunton
|
|
Director
|
|
September
12, 2019
|
Alan W.
Dunton
|
|
|
|
|
|
|
|
|
|
/s/
Angela Rossetti
|
|
Director
|
|
September
12, 2019
|
Angela
Rossetti
|
|
|
|
|
|
|
|
|
|
/s/
Arlene M. Morris
|
|
Director
|
|
September
12, 2019
|
Arlene
M. Morris
|
|
|
|
|
|
|
|
|
|
/s/
Anthony M. Manning
|
|
Director
|
|
September
12, 2019
|
Anthony
M. Manning
|
|
|
|
|
Name of
Subsidiary
|
State of
Incorporation
|
Name
Under Which
Subsidiary Does
Business
|
RhoMed
Incorporated
|
New
Mexico
|
RhoMed
Incorporated
|
/s/
Carl Spana
|
Carl
Spana, President and Chief Executive Officer
|
/s/
Stephen T. Wills
|
Stephen
T. Wills, Executive Vice President, Chief Financial Officer and
Chief Operating Officer
|
/s/
Carl Spana
|
Carl
Spana, President and Chief Executive Officer (Principal Executive
Officer)
|
/s/
Stephen T. Wills
|
Stephen
T. Wills, Executive Vice President, Chief Financial Officer and
Chief Operating Officer (Principal Financial Officer)
|