Isis Pharmaceuticals, Inc. Form 10K - page V

UNITEDSTATES
SECURITIESANDEXCHANGECOMMISSION
Washington, DC 20549
FORM 10-K
ANNUALREPORTPURSUANTTOSECTION 13OR 15(d)OF
THESECURITIESEXCHANGEACTOF 1934
For the fiscal year endedDecember 31, 2013
Commission file number 0-19125
IsisPharmaceuticals, Inc.
(Exact name ofRegistrant as specified in its charter)
Delaware
33-0336973
(State or other jurisdictionof
incorporation or organization)
(IRSEmployer IdentificationNo.)
2855GazelleCourt, Carlsbad, CA 92010
(Address of principal executive offices, including zip code)
760-931-9200
(Registrant’s telephone number, including area code)
Securities registered pursuant toSection12(b) of theAct:
None
Securities registered pursuant toSection12(g) of theAct:
CommonStock, $.001ParValue
Indicate by checkmarkwhether theRegistrant is awell-known seasoned issuer, as defined inRule 405 of the SecuritiesAct. Yes
No
Indicate by checkmarkwhether theRegistrant is not required to file reports pursuant toSection 13or Section 15(d) of theAct. Yes
No
Indicate by checkmarkwhether theRegistrant (1) has filed all reports required tobe filedbySection 13 or 15(d) of the SecuritiesExchangeAct
of 1934 during the preceding 12months (or for such shorter period that theRegistrant was required to file such reports), and (2) has been subject to
such filing requirements for the past 90 days. Yes
No
Indicate by checkmarkwhether the registrant has submitted electronically and posted on its corporateWeb site, if any, every InteractiveData
File required tobe submitted and posted pursuant toRule 405 ofRegulationS-T (§232.405 of this chapter) during the preceding 12months (or for
such shorter period that the registrant was required to submit andpost such files). Yes
No
Indicate by checkmark if disclosure of delinquent filers pursuant to Item 405of RegulationS-K is not contained herein, andwill not be
contained, to the best ofRegistrant’s knowledge, in definitive proxy or information statements incorporatedby reference inPart III of this Form 10-K
or any amendment to this Form10-K.
Indicate by checkmarkwhether theRegistrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting
company. See definitionof “large accelerated filer,” “accelerated filer” and “smaller reporting company” inRule 12b-2 of theExchangeAct. (Check
one):
Large accelerated filer
Accelerated filer
Non-accelerated filer
(Do not check if a smaller reporting company)
Smaller reporting company
Indicate by checkmarkwhether theRegistrant is a shell company (as defined inRule 12b-2of theAct). Yes
No
The approximate aggregatemarket value of the voting common stock held by non-affiliates of theRegistrant, based upon the last sale price of
the common stock reportedonTheNASDAQGlobal SelectMarket was $2,572,530,925 as of June 30, 2013.*
The number of shares of voting common stock outstanding as of February 21, 2014was 117,270,225.
DOCUMENTS INCORPORATEDBYREFERENCE
(To the extent indicated herein)
Portions of theRegistrant’s definitive ProxyStatement to be filedon or about April 25, 2014with the Securities andExchangeCommission in
connectionwith theRegistrant’s annualmeetingof stockholders to be heldon June 10, 2014 are incorporated by reference intoPart III of thisReport.
TheExhibit Index (ItemNo. 15) located onpages 82 to 87 incorporates several documents by reference as indicated therein.
*
Excludes 18,552,106 shares of common stock held by directors andofficers andby stockholderswhose beneficial ownership is known by the
Registrant to exceed 10%of the common stock outstanding at June 30, 2013. Exclusionof shares held by any person should not be construed to
indicate that such person possesses the power, direct or indirect, to direct or cause the direction of themanagement or policies of theRegistrant,
or that suchperson is controlledby or under common control with theRegistrant.
I,II,III,IV VI,1,2,3,4,5,6,7,8,9,...134
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