UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-K/A
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF
THE SECURITIES AND EXCHANGE ACT OF 1934
For the twelve months ended December 29, 2001
Commission File Number: 0-4829-03
NABI BIOPHARMACEUTICALS
(Exact name of registrant as specified in its charter)
| Delaware | 59-1212264 | |
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| (State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification No.) |
5800 Park of Commerce Boulevard N.W., Boca Raton, Fl 33487
(Address of principal executive offices, including zip code)
(561) 989-5800
(Registrant’s telephone number, including area code)
NABI
(Former name)
Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding twelve months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. [X] Yes [ ] No
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of Registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this form of the 10-K. [ ]
As of February 22, 2002, 38,554,061 shares of common stock were outstanding, of which 38,079,014 shares were held of record by non-affiliates. The aggregate market value of shares held by non-affiliates was approximately $215,527,220 based on the closing price per share of such common stock on such date as reported by Nasdaq Stock Market.
Documents Incorporated by Reference
Portions of the definitive Proxy Statement for the annual meeting of shareholders, which will be filed within 120 days of the close of the Registrant’s fiscal year ended December 29, 2001, are incorporated by reference into Part III.
Pursuant to Rule 12b-15 of the Securities Exchange Act of 1934, “Item 4A. Executive Officers of the Registrant” is amended and restated in its entirety as follows:
ITEM 4A. EXECUTIVE OFFICERS OF THE REGISTRANT
The executive officers of Nabi Biopharmaceuticals are as follows:
| Name | Age | Position | ||||||
David J. Gury |
63 | Chairman of the Board, President and | ||||||
| Chief Executive Officer | ||||||||
Thomas H. McLain |
44 | Executive Vice President and | ||||||
| Chief Operating Officer | ||||||||
Robert B. Naso, Ph.D. |
57 | Senior Vice President, Quality, Regulatory | ||||||
| and Product Development | ||||||||
Mark L. Smith |
40 | Senior Vice President, Finance, | ||||||
| Chief Financial Officer, Chief Accounting | ||||||||
| Officer and Treasurer | ||||||||
C. Thomas Johns |
55 | Senior Vice President, Manufacturing | ||||||
| Operations | ||||||||
Gary A. Siskowski |
56 | Senior Vice President, Sales and | ||||||
| Marketing | ||||||||
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DAVID J. GURY has served as Chairman of the Board, President and Chief Executive Officer since April 3, 1992. Previously, from May 1984, Mr. Gury served as President and Chief Operating Officer for Nabi Biopharmaceuticals. Mr. Gury has been a director of Nabi Biopharmaceuticals since 1984. From July 1977 until his employment by Nabi Biopharmaceuticals, Mr. Gury was employed by Alpha Therapeutic Corporation (formerly Abbott Scientific Products) as Vice President, Plasma Supply (through May 1984), General Manager, Plasma Operations (through October 1981) and Director of Plasma Procurement (through October 1980). In these capacities, Mr. Gury had executive responsibilities for antibody procurement and operation of plasmapheresis centers.
THOMAS H. MCLAIN has served as Executive Vice President and Chief Operating Officer since April 2001. From 1998 to April 2001 Mr. McLain served Nabi Biopharmaceuticals as Senior Vice President, Corporate Services and Chief Financial Officer. From 1988 to 1998, Mr. McLain was employed by Bausch & Lomb, Inc. where, as Staff Vice President, Business Process Reengineering, he led a cross-functional team to restructure the global finance and purchasing organizations. During his tenure with Bausch & Lomb, Mr. McLain held various positions of increasing responsibility, including Staff Vice President, Accounting and Reporting and Assistant Corporate Controller. Before joining Bausch & Lomb, Mr. McLain practiced with the accounting firm of Ernst & Young LLP.
ROBERT B. NASO, PH.D. has served as Senior Vice President Quality, Regulatory and Product Development, since August 1998. From 1995 to August 1998, Dr. Naso served Nabi Biopharmaceuticals as Senior Vice President, Research and Development and General Manager, Rockville Operations. From 1992 to 1995 Dr. Naso served as Vice President of Research and Development (through 1995) and Vice President of Research (through 1994) of Univax Biologics, Inc. From 1983 to 1992, Dr. Naso was employed at Johnson and Johnson where he held various positions of increasing responsibility in research and development.
MARK L. SMITH has served as Senior Vice President of Finance, Chief Financial Officer and Chief Accounting Officer since April 2001. From August 1999 to April 2001, Mr. Smith served Nabi Biopharmaceuticals as Vice President of Finance and Chief Accounting Officer and as Senior Director of Finance and Chief Accounting Officer. Prior to joining Nabi Biopharmaceuticals, Mr. Smith served as Vice President of Finance and Administration and Chief Financial Officer of Neuromedical Systems, Inc., a company that manufactured a medical testing device, where he played a leadership role in that company’s strategic restructuring and sale in connection with a pre-packaged Chapter 11 proceeding under Federal bankruptcy laws. Prior to joining Neuromedical Systems in 1998, Mr. Smith served in various financial executive capacities at Genzyme Corporation from 1996 until 1998 and as Vice President of Finance and Administration and Chief Financial Officer of Genetrix, Inc. from 1991 until 1996.
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Before joining Genetrix Inc., Mr. Smith practiced with the accounting firm of PriceWaterhouseCoopers LLP in both Australia and the U.S.
C. THOMAS JOHNS has served as Senior Vice President, Manufacturing Operations since October 2001. From 1997 to October 2001, Mr. Johns served Nabi Biopharmaceuticals as Vice President of Laboratory Services and Diagnostic Products and as Senior Director of Laboratory Services. Prior to joining Nabi Biopharmaceuticals, Mr. Johns served as General Manager of MRL Reference Laboratory from 1993 to 1997. From 1978 to 1993, Mr. Johns was employed at Nichols Institute Regional Laboratory where he held various positions of increasing responsibility in operations.
GARY A. SISKOWSKI has served as Senior Vice President, Sales and Marketing since October 2001. From June 2000 to October 2001, Mr. Siskowski served Nabi Biopharmaceuticals as Vice President of New Business Development. Prior to joining Nabi Biopharmaceuticals, Mr. Siskowski co-founded Advanced Biologics, a clinical research organization specializing in anti-infectives and served as Vice President of Business Development. From 1988 to 1994, Mr. Siskowski was employed at Ortho-McNeil to develop and launch products with the Anti-Infectives Franchise. From 1969 to 1988, Mr. Siskowski was employed at Roche Laboratories where he held various positions of increasing responsibility, ultimately holding the position of Product Director for the Anti-Infectives Franchise.
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Nabi Biopharmaceuticals
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| NABI BIOPHARMACEUTICALS | ||
| Date: April 05, 2002 | By: /s/ Thomas H. McLain | |
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Thomas H. McLain Executive Vice President and Chief Operating Officer |
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