Basisstatistiken
| CIK | 94784 |
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 Alseres Pharmaceuticals, Inc.
SEC Filings (Chronological Order)
Auf dieser Seite finden Sie eine vollständige, chronologische Liste der SEC-Einreichungen, mit Ausnahme der Eigentumseinreichungen, die wir an anderer Stelle bereitstellen.
| November 21, 2014 |
Entry into a Material Definitive Agreement 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 18, 2014 |
ALSE / Alseres Pharmaceuticals, Inc. 15-12G - - 15-12G 15-12G OMB APPROVAL OMB Number: 3235-0167 Expires: December 31, 2014 Estimated average burden hours per response 1. |
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| August 14, 2014 |
ALSE / Alseres Pharmaceuticals, Inc. 10-Q - Quarterly Report - 10-Q 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| May 23, 2014 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| May 16, 2014 |
FORM NT 10-Q OMB APPROVAL OMB Number: 3235-0058 Expires: August 31, 2015 Estimated average burden hours per response 2. |
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| April 10, 2014 |
EX-21 2 d688028dex21.htm EX-21 Exhibit 21 SUBSIDIARIES OF THE REGISTRANT Name of Subsidiary State of Incorporation Acumed Pharmaceuticals, Inc. Delaware Alseres Neurodiagnostics, Inc Delaware Ara Pharmaceuticals, Inc. Delaware Boston Life Sciences International, Inc. Delaware Coda Pharmaceuticals, Inc. Delaware Neurobiologics, Inc. Delaware ProCell Pharmaceuticals, Inc. Delaware |
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| April 10, 2014 |
10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| March 31, 2014 |
NT 10-K OMB APPROVAL OMB Number: 3235-0058 Expires: April 30, 2009 Estimated average burden hours per response 2. |
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| January 6, 2014 |
Entry into a Material Definitive Agreement - 8-K 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| December 17, 2013 |
Entry into a Material Definitive Agreement - 8-K 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 12, 2013 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Jurisdiction of Incorporation (Commis |
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| November 14, 2013 |
10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| August 9, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2013 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| July 31, 2013 |
Entry into a Material Definitive Agreement - 8-K 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 30, 2013 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Jurisdiction of Incorporation (Commission |
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| May 17, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2013 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| May 16, 2013 |
NT 10-Q OMB APPROVAL OMB Number: 3235-0058 Expires: August 31, 2015 Estimated average burden hours per response 2. |
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| April 1, 2013 |
EX-21 2 d444203dex21.htm EX-21 Exhibit 21 SUBSIDIARIES OF THE REGISTRANT Name of Subsidiary State of Incorporation Acumed Pharmaceuticals, Inc. Delaware Alseres Neurodiagnostics, Inc Delaware Ara Pharmaceuticals, Inc. Delaware Boston Life Sciences International, Inc. Delaware Coda Pharmaceuticals, Inc. Delaware Neurobiologics, Inc. Delaware ProCell Pharmaceuticals, Inc. Delaware |
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| April 1, 2013 |
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) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2012 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| February 21, 2013 |
Entry into a Material Definitive Agreement - FORM 8-K 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): February 15, 2013 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Jurisdiction of Incorporation (C |
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| February 7, 2013 |
Entry into a Material Definitive Agreement - FORM 8-K 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): February 1, 2013 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Jurisdiction of Incorporation (Co |
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| January 28, 2013 |
ALSE / Alseres Pharmaceuticals, Inc. / INGALLS & SNYDER LLC Passive Investment SC 13G/A 1 alspha13gaisdec12.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.9 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - |
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| January 28, 2013 |
ALSE / Alseres Pharmaceuticals, Inc. / INGALLS & SNYDER VALUE PARTNERS L P Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.6 )* ALSERES PHARMACEUTICALS, INC - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 12/31/2012 - (Date |
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| January 8, 2013 |
Entry into a Material Definitive Agreement - FORM 8-K 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 31, 2012 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Jurisdiction of Incorporation (C |
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| November 14, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2012 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| August 13, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2012 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| August 6, 2012 |
Entry into a Material Definitive Agreement 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 31, 2012 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorporation (Commission F |
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| July 23, 2012 |
10.7 PROMISSORY NOTE July 17, 2012 $150,000 Hopkinton, Massachusetts EX-10.7 2 d382958dex107.htm PROMISSORY NOTE 10.7 PROMISSORY NOTE July 17, 2012 $150,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the princip |
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| July 23, 2012 |
Entry into a Material Definitive Agreement 8-K 1 d382958d8k.htm FORM 8-K Table of Contents 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 17, 2012 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Oth |
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| July 2, 2012 |
Entry into a Material Definitive Agreement - FORM 8-K Form 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| June 13, 2012 |
Entry into a Material Definitive Agreement - FORM 8-K 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 7, 2012 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Jurisdiction of Incorporation (Commis |
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| June 13, 2012 |
EX-10.7 Exhibit 10.7 PROMISSORY NOTE June 7, 2012 $135,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $135,000, together |
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| May 11, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2012 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| May 8, 2012 |
Ex-10.7 Exhibit 10.7 PROMISSORY NOTE May 3, 2012 $150,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $150,000, together w |
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| May 8, 2012 |
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 2, 2012 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Jurisdiction of Incorporation (Commiss |
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| May 8, 2012 |
Entry into a Material Definitive Agreement - FORM 8-K 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 3, 2012 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Jurisdiction of Incorporation (Commiss |
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| March 29, 2012 |
Subsidiaries of the Registrant Exhibit 21 SUBSIDIARIES OF THE REGISTRANT Name of Subsidiary State of Incorporation Acumed Pharmaceuticals, Inc. Delaware Ara Pharmaceuticals, Inc. Delaware Boston Life Sciences International, Inc. Delaware Coda Pharmaceuticals, Inc. Delaware Neurobiologics, Inc. Delaware ProCell Pharmaceuticals, Inc. Delaware |
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| March 29, 2012 |
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) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2011 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| March 19, 2012 |
Form 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| February 7, 2012 |
ALSE / Alseres Pharmaceuticals, Inc. / INGALLS & SNYDER VALUE PARTNERS L P Passive Investment SC 13G/A 1 alspha13gaisvpdec3111.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.5 )* ALSERES PHARMACEUTICALS, INC - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 |
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| February 7, 2012 |
ALSE / Alseres Pharmaceuticals, Inc. / INGALLS & SNYDER LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.8 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 12/31/11 - (Date o |
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| January 25, 2012 |
Press Release Exhibit 10.1 Navidea Biopharmaceuticals Enters into Option Agreement to License Parkinson’s Disease Imaging Agent — Licensing would add second neuro-imaging candidate to growing Navidea Biopharmaceuticals pipeline — January 25, 2012 - DUBLIN, OH - Navidea Biopharmaceuticals, Inc. (NYSE Amex: NAVB), a specialty pharmaceutical company focused on precision diagnostic radiopharmaceutical |
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| January 25, 2012 |
Entry into a Material Definitive Agreement 8-K 1 d290154d8k.htm FORM 8-K Table of Contents 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 19, 2012 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or |
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| December 29, 2011 |
Entry into a Material Definitive Agreement Table of Contents 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, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Jurisdiction of Incorpo |
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| December 27, 2011 |
Schedule 13D/A - OMB APPROVAL - OMB Number: Expires: Estimated average burden hours per form................... - UNITED STAES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No.4)* Alseres Pharmaceuticals, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 021152103 - (CUSIP Number) Thomas Gips |
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| December 27, 2011 |
Schedule 13D/A - OMB APPROVAL - OMB Number: Expires: Estimated average burden hours per form................... - UNITED STAES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No.13)* Alseres Pharmaceuticals, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 021152103 - (CUSIP Number) Robert L. |
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| December 22, 2011 |
Schedule 13D/A - OMB APPROVAL - OMB Number: Expires: Estimated average burden hours per form................... - UNITED STAES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No.12)* Alseres Pharmaceuticals, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 021152103 - (CUSIP Number) Robert L. |
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| December 22, 2011 |
Schedule 13D/A - OMB APPROVAL - OMB Number: Expires: Estimated average burden hours per form................... - UNITED STAES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No.3)* Alseres Pharmaceuticals, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 021152103 - (CUSIP Number) Thomas Gips |
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| December 21, 2011 |
Entry into a Material Definitive Agreement Table of Contents 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 16, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Jurisdiction of Incorpo |
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| December 19, 2011 |
Schedule 13D/A - OMB APPROVAL - OMB Number: Expires: Estimated average burden hours per form................... - UNITED STAES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No.2)* Alseres Pharmaceuticals, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 021152103 - (CUSIP Number) Thomas Gips |
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| December 19, 2011 |
Schedule 13D/A - OMB APPROVAL - OMB Number: Expires: Estimated average burden hours per form................... - UNITED STAES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No.11)* Alseres Pharmaceuticals, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 021152103 - (CUSIP Number) Robert L. |
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| December 14, 2011 |
Entry into a Material Definitive Agreement 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 9, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorporation (Commissio |
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| December 14, 2011 |
Exhibit 10.7 PROMISSORY NOTE December 9, 2011 $100,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc. (the ?Maker?), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $100,000, together with |
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| December 5, 2011 |
Entry into a Material Definitive Agreement Table of Contents 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 30, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- (Commission (IRS |
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| November 10, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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, 2011 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| October 19, 2011 |
Exhibit 10.7 PROMISSORY NOTE October 18, 2011 $100,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc. (the ?Maker?), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $100,000, together with |
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| October 19, 2011 |
Entry into a Material Definitive Agreement 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 18, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- (Commission (IRS Employer diction o |
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| September 12, 2011 |
PROMISSORY NOTE September 8, 2011 $100,000 Hopkinton, Massachusetts Exhibit 10.7 PROMISSORY NOTE September 8, 2011 $100,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc. (the ?Maker?), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $100,000, together wit |
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| September 12, 2011 |
e8vk 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 8, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- (Commission (IRS Employer dic |
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| August 29, 2011 |
Entry into a Material Definitive Agreement Table of Contents 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): August 23, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorpo |
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| August 29, 2011 |
PROMISSORY NOTE $200,000 August 23, 2011 Hopkinton, Massachusetts Exhibit 10.7 PROMISSORY NOTE $200,000 August 23, 2011 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc. (the ?Maker?), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $100,000, together with |
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| August 11, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 June 30, 2011 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| August 8, 2011 |
Entry into a Material Definitive Agreement 8-K 1 b87617e8vk.htm FORM 8-K Table of Contents 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): August 2, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Ot |
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| July 29, 2011 |
EX-10.7 2 b87523exv10w7.htm EX-10.7 Exhibit 10.7 PROMISSORY NOTE July 21, 2011 $100,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the princip |
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| July 29, 2011 |
Entry into a Material Definitive Agreement 8-K 1 b87523e8vk.htm FORM 8-K Table of Contents 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 21, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Oth |
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| July 18, 2011 |
PROMISSORY NOTE July 11, 2011 $100,000 Hopkinton, Massachusetts EX-10.7 2 b87291exv10w7.htm EX-10.7 Exhibit 10.7 PROMISSORY NOTE July 11, 2011 $100,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the princip |
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| July 18, 2011 |
Entry into a Material Definitive Agreement Table of Contents 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 11, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- (Commission (IRS Emp |
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| June 24, 2011 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| June 24, 2011 |
PROMISSORY NOTE June 20, 2011 $100,000 Hopkinton, Massachusetts Exhibit 10.7 PROMISSORY NOTE June 20, 2011 $100,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc. (the ?Maker?), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $100,000, together with in |
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| June 7, 2011 |
Schedule 13D/A - OMB APPROVAL - OMB Number: Expires: Estimated average burden hours per form................... - UNITED STAES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.10)* Alseres Pharmaceuticals, Inc. - (Name of Issuer) Common - (Title of Class of Securities) 021152103 - (CUSIP Number) Robert L. Gi |
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| June 7, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.4 )* ALSERES PHARMACEUTICALS, INC - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 06/01/11 - (Date of |
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| June 7, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 8 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 06/01/11 - (Date |
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| June 7, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.7 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 06/06/11 - (Date o |
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| June 6, 2011 |
Entry into a Material Definitive Agreement Table of Contents 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 1, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Jurisdiction of Incorporatio |
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| June 6, 2011 |
PROMISSORY NOTE June 1, 2011 $200,000 Hopkinton, Massachusetts Exhibit 10.7 PROMISSORY NOTE June 1, 2011 $200,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc. (the ?Maker?), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $200,000, together with int |
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| June 6, 2011 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 13, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q e10vq Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 March 31, 2011 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| May 11, 2011 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 11, 2011 |
PROMISSORY NOTE $200,000 May 10, 2011 Hopkinton, Massachusetts EX-10.7 2 b86577exv10w7.htm EX-10.7 Exhibit 10.7 PROMISSORY NOTE $200,000 May 10, 2011 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principa |
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| May 4, 2011 |
Entry into a Material Definitive Agreement Table of Contents 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 2, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorporati |
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| May 4, 2011 |
PROMISSORY NOTE May 2, 2011 $170,000 Hopkinton, Massachusetts EX-10.7 2 b86271exv10w7.htm EX-10.7 Exhibit 10.7 PROMISSORY NOTE May 2, 2011 $170,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal |
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| April 5, 2011 |
e8vk 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 1, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorporation (Commiss |
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| April 5, 2011 |
PROMISSORY NOTE April 1, 2011 $170,000 Hopkinton, Massachusetts Exhibit 10.7 PROMISSORY NOTE April 1, 2011 $170,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the ?Maker?), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $170,000, together with i |
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| March 31, 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 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| March 31, 2011 |
EX-10.61 4 b84090exv10w61.htm EX-10.61 Exhibit 10.61 PROMISSORY NOTE October 18, 2010 $165,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the |
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| March 31, 2011 |
EX-10.60 3 b84090exv10w60.htm EX-10.60 Exhibit 10.60 PROMISSORY NOTE September 20, 2010 $100,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, t |
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| March 31, 2011 |
EX-10.54 2 b84090exv10w54.htm EX-10.54 Exhibit 10.54 PROMISSORY NOTE May 24, 2010 $75,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the prin |
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| March 31, 2011 |
EX-21 5 b84090exv21.htm EX-21 Exhibit 21 SUBSIDIARIES OF THE REGISTRANT Name of Subsidiary State of Incorporation Acumed Pharmaceuticals, Inc. Delaware Ara Pharmaceuticals, Inc. Delaware Boston Life Sciences International, Inc. Delaware Coda Pharmaceuticals, Inc. Delaware Neurobiologics, Inc. Delaware ProCell Pharmaceuticals, Inc. Delaware |
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| March 22, 2011 |
PROMISSORY NOTE March 16, 2011 $150,000 Hopkinton, Massachusetts EX-10.7 2 b85655exv10w7.htm EX-10.7 Exhibit 10.7 PROMISSORY NOTE March 16, 2011 $150,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the princ |
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| March 22, 2011 |
Entry into a Material Definitive Agreement Table of Contents 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): March 16, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Jurisdiction of Incorporat |
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| March 10, 2011 |
Entry into a Material Definitive Agreement Table of Contents 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): March 4, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorpora |
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| March 10, 2011 |
PROMISSORY NOTE March 4, 2011 $100,000 Hopkinton, Massachusetts Exhibit 10.7 PROMISSORY NOTE March 4, 2011 $100,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the ?Maker?), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $100,000, together with i |
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| February 14, 2011 |
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Alseres Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 021152103 (CUSIP Number) December 31, 2010 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule p |
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| February 10, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.6 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 12/31/10 - (Date o |
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| February 9, 2011 |
PROMISSORY NOTE February 8, 2011 $150,000 Hopkinton, Massachusetts Exhibit 10.7 PROMISSORY NOTE February 8, 2011 $150,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the ?Maker?), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $150,000, together wit |
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| February 9, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 7 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 12/31/10 - (Date |
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| February 9, 2011 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| February 9, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.3 )* ALSERES PHARMACEUTICALS, INC - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 12/31/10 - (Date of |
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| January 13, 2011 |
PROMISSORY NOTE January 7, 2011 $200,000 Hopkinton, Massachusetts EX-10.7 2 b84324exv10w7.htm EX-10.7 Exhibit 10.7 PROMISSORY NOTE January 7, 2011 $200,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the prin |
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| January 13, 2011 |
Entry into a Material Definitive Agreement 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 7, 2011 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorporation (Commission |
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| January 3, 2011 |
Schedule 13D/A - OMB APPROVAL - OMB Number: Expires: Estimated average burden hours per form................... - UNITED STAES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.9)* Alseres Pharmaceuticals, Inc. - - (Name of Issuer) Common - - (Title of Class of Securities) 021152103 - - (CUSIP Number) Robert |
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| January 3, 2011 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 3, 2011 |
Schedule 13D/A - OMB APPROVAL - OMB Number: Expires: Estimated average burden hours per form................... - UNITED STAES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.9)* Alseres Pharmaceuticals, Inc. - - (Name of Issuer) Common - - (Title of Class of Securities) 021152103 - - (CUSIP Number) Robert |
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| December 10, 2010 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| December 10, 2010 |
10.7 PROMISSORY NOTE December 9, 2010 $160,000 Hopkinton, Massachusetts EX-10.7 2 b83733exv10w7.htm EX-10.7 10.7 PROMISSORY NOTE December 9, 2010 $160,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal s |
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| November 29, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 17 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 03/01/10 - (Date |
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| November 12, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q e10vq Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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, 2010 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| November 5, 2010 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 5, 2010 |
PROMISSORY NOTE November 4, 2010 $250,000 Hopkinton, Massachusetts exv10w7 Exhibit 10.7 PROMISSORY NOTE November 4, 2010 $250,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $250,000, toge |
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| September 16, 2010 |
Exhibit 10.7 NOTE PURCHASE AGREEMENT NOTE PURCHASE AGREEMENT (this ?Agreement?), dated as of September 10, 2010, by and among Highbridge International LLC (?Seller?), Alseres Pharmaceuticals, Inc. (the ?Company?) and Robert L. Gipson (?Gipson?). For the purposes of this Agreement, affiliates of Gipson ( ?Affiliates?) shall include members of his family, Ingalls & Snyder LLC, its officers, employee |
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| September 16, 2010 |
PROMISSORY NOTE September 13, 2010 $7000,000 Hopkinton, Massachusetts Exhibit 10.8 PROMISSORY NOTE September 13, 2010 $7000,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the ?Maker?), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $700,000, together |
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| September 16, 2010 |
e8vk 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 10, 2010 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorporation (Co |
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| September 8, 2010 |
e8vk 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 7, 2010 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorporation (Com |
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| September 8, 2010 |
PROMISSORY NOTE September 7, 2010 $150,000 Hopkinton, Massachusetts exv10w7 Exhibit 10.7 PROMISSORY NOTE September 7, 2010 $150,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $150,000, tog |
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| August 16, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 June 30, 2010 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| August 3, 2010 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 3, 2010 |
PROMISSORY NOTE August 2, 2010 $ 200,000 Hopkinton, Massachusetts exv10w7 Exhibit 10.7 PROMISSORY NOTE August 2, 2010 $ 200,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $200,000, toget |
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| July 8, 2010 |
e8vk 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 1, 2010 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- (Commission (IRS Employer diction |
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| July 8, 2010 |
PROMISSORY NOTE $200,000 July 1, 2010 Hopkinton, Massachusetts exv10w7 Exhibit 10.7 PROMISSORY NOTE $200,000 July 1, 2010 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $200,000, together |
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| June 11, 2010 |
Entry into a Material Definitive Agreement 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 10, 2010 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Jurisdiction of Incorporation (Commission Fil |
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| June 11, 2010 |
PROMISSORY NOTE June 10, 2010 $150,000 Hopkinton, Massachusetts exv10w7 Exhibit 10.7 PROMISSORY NOTE June 10, 2010 $150,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $150,000, togethe |
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| May 28, 2010 | ||
| May 17, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 March 31, 2010 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| April 30, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A Amendment No. |
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| April 21, 2010 |
Entry into a Material Definitive Agreement 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 20, 2010 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorporation (Commission |
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| April 21, 2010 |
PROMISSORY NOTE April 20, 2010 $200,000 Hopkinton, Massachusetts exv10w7 Exhibit 10.7 PROMISSORY NOTE April 20, 2010 $200,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $200,000, togeth |
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| March 31, 2010 |
exv10w19 Exhibit 10.19 Confidential Materials omitted and filed separately with the Securities and Exchange Commission. Asterisks denote omissions. December 18, 2009 Ken Rice Alseres Pharmaceuticals Inc. 239 South Street Hopkinton, MA 01748 USA RE: Amendment #10 to Altropane Agreement Reference is made to the agreement between MDS Nordion, a division of MDS (Canada) Inc., and Alseres Pharmaceutica |
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| March 31, 2010 |
Executive Officer Compensation Summary exv10w54 Exhibit 10.54 Executive Officer Compensation Summary Alseres Pharmaceuticals, Inc.’s (“the Company’s”) executive officers consist of (i) Peter G. Savas, Chairman and Chief Executive Officer; (ii) Mark J. Pykett, President and Chief Operating Officer; and (iii) Kenneth L. Rice, Jr., Executive Vice President, Finance and Administration, Chief Financial Officer and Secretary. 2009 Base Salar |
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| March 31, 2010 |
Exhibit 10.49 PROMISSORY NOTE February 10, 2010 $100,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the ?Maker?), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $100,000, together w |
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| March 31, 2010 |
EX-10.52 8 b78727exv10w52.htm EX-10.52 Exhibit 10.52 PROMISSORY NOTE March 25, 2010 $200,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the p |
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| March 31, 2010 |
exv10w33 Exhibit 10.33 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of January 8, 2009, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the “Company”), and each investor identified on the signature pages hereto (individually, an “Investor” and collectively, the “I |
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| March 31, 2010 |
EX-10.51 7 b78727exv10w51.htm EX-10.51 Exhibit 10.51 PROMISSORY NOTE March 9, 2010 $100,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the pr |
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| March 31, 2010 |
10-K 1 b78727e10vk.htm ALSERES PHARMACEUTICALS, INC. 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 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the trans |
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| March 31, 2010 |
EX-21 11 b78727exv21.htm EX-21 Exhibit 21 SUBSIDIARIES OF THE REGISTRANT Name of Subsidiary State of Incorporation Acumed Pharmaceuticals, Inc. Delaware Ara Pharmaceuticals, Inc. Delaware Boston Life Sciences International, Inc. Delaware Coda Pharmaceuticals, Inc. Delaware Neurobiologics, Inc. Delaware ProCell Pharmaceuticals, Inc. Delaware |
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| March 31, 2010 |
AMENDMENT NO. 1 TO LICENSE AGREEMENT EX-10.25 3 b78727exv10w25.htm EX-10.25 Exhibit 10.25 AMENDMENT NO. 1 TO LICENSE AGREEMENT THIS AMENDMENT (this “Amendment”) dated as of April 23, 2009 (“Amendment Effective Date”) is between Alseres Pharmaceuticals, Inc. (f/k/a Boston Life Sciences, Inc.), a Delaware corporation with offices at 85 Main Street, Hopkinton, MA 01748 (“Alseres”) and BioAxone Therapeutic Inc., a Canadian corporation wi |
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| March 31, 2010 |
Non-Employee Director Compensation Summary exv10w53 Exhibit 10.53 Non-Employee Director Compensation Summary Alseres Pharmaceuticals, Inc.’s (the “Company’s”) non-employee directors at December 31, 2009 consisted of: William L.S. Guinness; Robert S. Langer, Jr.; Michael J. Mullen; John T. Preston; Gary E. Frashier; and Henry Brem. For the year ended December 31, 2009, the Company’s non-employee director compensation was earned as follows, |
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| March 31, 2010 |
EX-10.42 5 b78727exv10w42.htm EX-10.42 Exhibit 10.42 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of August 11, 2009, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the “Company”) and each investor identified on the signature pages hereto (individually, an “Inves |
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| March 26, 2010 | ||
| March 26, 2010 | ||
| March 26, 2010 | ||
| March 26, 2010 | ||
| March 26, 2010 | ||
| March 19, 2010 | ||
| March 4, 2010 |
PROMISSORY NOTE February 26, 2010 $100,000 Hopkinton, Massachusetts exv10w7 Exhibit 10.7 PROMISSORY NOTE February 26, 2010 $100,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $100,000, tog |
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| March 4, 2010 |
Entry into a Material Definitive Agreement 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 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorporation (Commissi |
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| January 28, 2010 |
PROMISSORY NOTE January 22, 2010 $300,000 Hopkinton, Massachusetts exv10w7 Exhibit 10.7 PROMISSORY NOTE January 22, 2010 $300,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $300,000, toge |
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| January 28, 2010 |
e8vk 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 22, 2010 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware (State or Other Juris- diction of Incorporation 0-6533 (Commission File |
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| January 13, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.5 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 12/31/09 - (Date o |
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| January 12, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 7 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 12/31/09 - (Date |
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| January 12, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.2 )* ALSERES PHARMACEUTICALS, INC - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 12/31/09 - (Date of E |
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| January 11, 2010 |
e8vk 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 4, 2010 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorporation (Commi |
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| January 11, 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): January 8, 2010 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorporation (Commission |
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| January 8, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 6 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 12/31/09 - (Date |
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| January 7, 2010 |
e8vk 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 4, 2010 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorporation (Commi |
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| December 28, 2009 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| December 28, 2009 |
PROMISSORY NOTE December 23, 2009 $350,000 Hopkinton, Massachusetts exv10w7 Exhibit 10.7 PROMISSORY NOTE December 23, 2009 $350,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Alseres Pharmaceuticals, Inc.. (the “Maker”), promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadway, New York, New York 10006 or at such other place as the holder of this Note may designate, the principal sum of $350,000, tog |
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| December 28, 2009 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| December 28, 2009 |
AMENDMENT I TO THIRD AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE PURCHASE AGREEMENT exv10w7 Exhibit 10.7 AMENDMENT I TO THIRD AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE PURCHASE AGREEMENT Alseres Pharmaceuticals, Inc. and the Purchasers listed below agree to the following amendment to the Third Amended and Restated Convertible Promissory Note Purchase Agreement: Section 8.1 is replaced in it is entirety as follows: 8.1 Create, incur, assume, guaranty, become liable with res |
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| November 16, 2009 |
EX-10.3 Securities Purchase Agreement dated August 11, 2009 exv10w3 Exhibit 10.3 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of August 11, 2009, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the “Company”) and each investor identified on the signature pages hereto (individually, an “Investor” and collectively, the “Inve |
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| November 16, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q e10vq Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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, 2009 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| November 10, 2009 |
EX-10.7 Securities Purchase Agreement, dated November 4, 2009 Exhibit 10.7 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this ?Agreement?), dated as of November 4, 2009, by and between Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the ?Company?), and Robert Gipson (the ?Investor?). PREAMBLE A. The Company and the Investor are executing and delivering this Agreemen |
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| November 10, 2009 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 6, 2009 | ||
| October 2, 2009 |
EX-10.7 2 b77537exv10w7.htm EX-10.7 Exhibit 10.7 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of September 28, 2009, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the “Company”) and each investor identified on the signature pages hereto (individually, an “Invest |
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| October 2, 2009 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 16, 2009 |
exv10w7 Exhibit 10.7 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of September 10, 2009, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the “Company”) and each investor identified on the signature pages hereto (individually, an “Investor” and collectively, the “I |
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| September 16, 2009 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 1, 2009 |
Table of Contents 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): August 26, 2009 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- (Commission (IRS E |
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| September 1, 2009 |
Ex-10.7 Securities Purchase Agreement, dated August 26, 2009 Exhibit 10.7 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this ?Agreement?), dated as of August 26, 2009, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the ?Company?) and each investor identified on the signature pages hereto (individually, an ?Investor? and collectively, the ?Investors). |
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| August 14, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q e10vq Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 June 30, 2009 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| August 14, 2009 |
exv10w2 Exhibit 10.2 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of May 12, 2009, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the “Company”) and each investor identified on the signature pages hereto (individually, an “Investor” and collectively, the “Investo |
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| August 14, 2009 |
exv10w6 Exhibit 10.6 Confidential Materials omitted and filed separately with the Securities and Exchange Commission. Asterisks denote omissions. AMENDMENT NO. 1 TO LICENSE AGREEMENT THIS AMENDMENT (this “Amendment”) dated as of April 23, 2009 (“Amendment Effective Date”) is between Alseres Pharmaceuticals, Inc. (f/k/a Boston Life Sciences, Inc.), a Delaware corporation with offices at 85 Main Str |
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| August 3, 2009 | ||
| July 29, 2009 |
Table of Contents 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 23 , 2009 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- (Commission (IRS Em |
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| July 29, 2009 |
exv10w7 Exhibit 10.7 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of July 23, 2009, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the “Company”) and each investor identified on the signature pages hereto (individually, an “Investor” and collectively, the “Invest |
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| July 13, 2009 |
Ex-10.7 Securities Purchase Agreement, dated July 9, 2009 Exhibit 10.7 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this ?Agreement?), dated as of July 9, 2009, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the ?Company?) and each investor identified on the signature pages hereto (individually, an ?Investor? and collectively, the ?Investors). PRE |
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| July 13, 2009 |
Table of Contents 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 9 , 2009 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- (Commission (IRS Emp |
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| June 22, 2009 |
Table of Contents 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 10, 2009 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorpora |
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| June 22, 2009 |
Ex-10.7 Securities Purchase Agreement, dated June 10, 2009 exv10w7 Exhibit 10.7 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of June 10, 2009, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the “Company”) and each investor identified on the signature pages hereto (individually, an “Investor” and collectively, the “Invest |
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| May 15, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 March 31, 2009 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| May 15, 2009 |
EX-10.6 SECURITIES PURCHASE AGREEMENT ROBERT L. GIPSON Exhibit 10.6 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of March 31, 2009, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the “Company”) and each investor identified on the signature pages hereto (individually, an “Investor” and collectively, the “Investors). P |
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| May 11, 2009 |
Alseres Shares Begin Trading on the Pink Sheets OTC Market EX-99.1 2 b75433apexv99w1.htm EX-99.1 PRESS RELEASE DATED MAY 7, 2009 EXHIBIT 99.1 Press Release dated May 7, 2009 Alseres Shares Begin Trading on the Pink Sheets OTC Market Hopkinton, MA —May 7, 2009 — Alseres Pharmaceuticals, Inc. (NASDAQ: ALSE; Alseres) announced today that effective on Friday, May 8, 2009 trading in its shares on the NASDAQ Capital Market will be suspended. Effective at the sa |
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| May 11, 2009 |
e8vk 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 11, 2009 (May 6, 2009) ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- (Commission (IRS Emp |
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| April 30, 2009 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A Amendment No. |
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| April 23, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 16 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 04/16/2009 - (Da |
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| April 23, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 15 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 03/31/2009 - (Da |
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| April 22, 2009 |
Table of Contents 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 16, 2009 ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorpor |
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| April 22, 2009 |
exv10w1 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of April 16, 2009, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the “Company”) and each investor identified on the signature pages hereto (individually, an “Investor” and collectively, the “Inves |
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| April 15, 2009 |
Table of Contents 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 9, 2009 (April 9, 2009) ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- dict |
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| April 15, 2009 |
exv99w1 Exhibit 99.1 Alseres Pharmaceuticals, Inc. Receives Notice of De-Listing of Its Securities for Failure to Regain Compliance with Continued Listing Requirements Hopkinton, MA —April 14, 2009 — Alseres Pharmaceuticals, Inc. (NASDAQ: ALSE) announced that on April 9, 2009 it received a NASDAQ Staff Determination indicating that the Company has not regained compliance with the minimum $35 milli |
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| April 7, 2009 |
Financial Statements and Exhibits, Other Events Table of Contents 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 7, 2009 (April 6, 2009) ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- dict |
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| April 7, 2009 |
Alseres Receives Special Protocol Assessment Agreement from FDA for Phase III Trial of Altropane Exhibit 99.1 Alseres Receives Special Protocol Assessment Agreement from FDA for Phase III Trial of Altropane Agreement opens clear path to NDA for early diagnosis of Parkinsonian Syndromes Hopkinton, MA ?April 6, 2009 ? Alseres Pharmaceuticals, Inc. (NASDAQ: ALSE) announced today that it has reached agreement with the US Food and Drug Administration (FDA) under the Special Protocol Assessment (SP |
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| April 2, 2009 |
As filed with the Securities and Exchange Commission on April 2, 2009 Table of Contents As filed with the Securities and Exchange Commission on April 2, 2009 Registration No. |
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| March 31, 2009 |
EX-10.37 Non-Employee Director Compensation Summary exv10w37 Exhibit 10.37 Non-Employee Director Compensation Summary Alseres Pharmaceuticals, Inc.’s (the “Company’s”) non-employee directors currently consist of: William L.S. Guinness; Robert S. Langer, Jr.; Michael J. Mullen; John T. Preston; Gary E. Frashier; and Henry Brem. For the year ended December 31, 2008, the Company’s non-employee director compensation was earned as follows, however, the |
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| March 31, 2009 |
EX-10.38 Executive Officer Compensation Summary Exhibit 10.38 Executive Officer Compensation Summary Alseres Pharmaceuticals, Inc.’s (the “Company’s”) executive officers consist of: (i) Peter G. Savas, Chairman and Chief Executive Officer; (ii) Mark J. Pykett, President and Chief Operating Officer; and (iii) Kenneth L. Rice, Jr., Executive Vice President, Finance and Administration, Chief Financial Officer and Secretary. 2008 Incentive Compensa |
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| March 31, 2009 |
EX-10.44 Amended and Restated 1990 Non-Employee Directors' Non Qualified Stock Option Plan exv10w44 EXHIBIT 10.44 ALSERES PHARMACEUTICALS, INC. SECOND AMENDED AND RESTATED 1990 NON-EMPLOYEE DIRECTORS’ NON-QUALIFIED STOCK OPTION PLAN 1. Objectives. The objectives of the Alseres Pharmaceuticals, Inc. Second Amended and Restated 1990 Non-Employee Directors’ Non-Qualified Stock Option Plan (as amended from time to time, the “Plan”) are to assist Alseres Pharmaceuticals, Inc. (the “Company”) |
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| March 31, 2009 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 31, 2009 |
EX-10.33 Securities Purchase Agreement, dated January 8, 2009 exv10w33 Exhibit 10.33 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of January 8, 2009, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the “Company”), and each investor identified on the signature pages hereto (individually, an “Investor” and collectively, the “I |
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| March 31, 2009 |
EX-10.45 Amended and Restated Omnibus Stock Option Plan EXHIBIT 10.45 ALSERES PHARMACEUTICALS, INC. SECOND AMENDED AND RESTATED OMNIBUS STOCK OPTION PLAN 1. Purpose; Types of Construction. The purpose of the Alseres Pharmaceuticals, Inc. Second Amended and Restated Omnibus Stock Option Plan is to afford an incentive to selected employees, independent contractors and Scientific Advisors of Alseres Pharmaceuticals, Inc. (the “Company”), or any Subsidiary |
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| March 31, 2009 |
Alseres Pharmaceuticals, Inc. Complies With NASDAQ Rule Regarding Recently Filed 10-K Exhibit 99.1 Alseres Pharmaceuticals, Inc. Complies With NASDAQ Rule Regarding Recently Filed 10-K HOPKINTON, Mass., March 31, 2009 ? Alseres Pharmaceuticals, Inc. (Nasdaq: ALSE) today announced that the report of the Company?s independent registered public accounting firm regarding the Company?s 2008 financial statements contained an explanatory paragraph regarding the Company?s ability to contin |
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| March 31, 2009 |
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 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| March 31, 2009 |
EX-10.46 Amended and Restated 1998 Omnibus Stock Option Plan EXHIBIT 10.46 AMENDED AND RESTATED ALSERES PHARMACEUTICALS, INC. 1998 OMNIBUS STOCK OPTION PLAN 1. Purpose; Types of Options; Construction. The purpose of the Alseres Pharmaceuticals, Inc. 1998 Omnibus Stock Option Plan is to afford an incentive to selected employees, consultants, independent contractors, directors and Scientific Advisors of Alseres Pharmaceuticals, Inc. (the ?Company?), or any Su |
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| March 31, 2009 |
EX-21 Subsidiaries of the Registrant exv21 Exhibit 21 SUBSIDIARIES OF THE REGISTRANT STATE OF NAME OF SUBSIDIARY INCORPORATION Acumed Pharmaceuticals, Inc. Delaware Ara Pharmaceuticals, Inc. Delaware Boston Life Sciences International, Inc. Delaware Coda Pharmaceuticals, Inc. Delaware Neurobiologics, Inc. Delaware ProCell Pharmaceuticals, Inc. Delaware |
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| March 31, 2009 |
EX-10.47 Amended and Restated 2005 Stock Incentive Plan EXHIBIT 10.47 ALSERES PHARMACEUTICALS, INC. AMENDED AND RESTATED 2005 STOCK INCENTIVE PLAN 1. Purpose The purpose of this Amended and Restated 2005 Stock Incentive Plan (the ?Plan?) of Alseres Pharmaceuticals, Inc., a Delaware corporation (the ?Company?), is to advance the interests of the Company?s stockholders by enhancing its ability to attract, retain and motivate persons who make or are expec |
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| March 25, 2009 |
EX-4.1 Certificate of Designations, Rights and Preferences of Series F Convertible Preferred Stock Exhibit 4.1 CERTIFICATE OF DESIGNATIONS, RIGHTS AND PREFERENCES of SERIES F CONVERTIBLE PREFERRED STOCK of ALSERES PHARMACEUTICALS, INC. ALSERES PHARMACEUTICALS, INC., a Delaware corporation (the ?Corporation?), pursuant to Section 151 of the General Corporation Law of the State of Delaware, does hereby make this Certificate of Designations, Rights and Preferences and does hereby state and certify |
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| March 25, 2009 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this ?Agreement?), dated as of March 19, 2009, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the ?Company?) and each investor identified on the signature pages hereto (individually, an ?Investor? and collectively, the ?Investors). P |
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| March 25, 2009 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 11, 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): March 11, 2009 (March 4, 2009) ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorporat |
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| February 27, 2009 |
EX-10.1 SECURITIES PURCHASE AGREEMENT EX-10.1 2 b74464apexv10w1.htm EX-10.1 SECURITIES PURCHASE AGREEMENT Exhibit 10.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement” ), dated as of February 24, 2009, by and between Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the “Company” ), and Cato Holding Company, a North Carolina corpo |
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| February 27, 2009 |
EX-10.2 LETTER AGREEMENT CATO BIO VENTURES Exhibit 10.2 February 24, 2009 Allen Cato, MD, PhD Cato BioVentures 4364 South Alston Avenue Durham, NC 27713 Ladies and Gentlemen: Reference is hereby made to that certain Securities Purchase Agreement, of even date herewith, by and between Alseres Pharmaceuticals, Inc. (the ?Company?) and the Investor listed therein (the ?Purchase Agreement?). Capitalized terms not otherwise defined shall have t |
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| February 27, 2009 |
Table of Contents 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 27, 2009 (February 24, 2009) ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Jur |
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| February 27, 2009 |
Alseres Pharmaceuticals, Inc. Announces $200,000 Financing Exhibit 99.1 Alseres Pharmaceuticals, Inc. Announces $200,000 Financing HOPKINTON, MA., February 27, 2009 ? Alseres Pharmaceuticals, Inc. (Nasdaq: ALSE), today announced that on February 24, 2009 it entered into a securities purchase agreement (the ?Agreement?) with Cato Holding Company (d/b/a Cato BioVentures) for the private placement of 200,000 shares of common stock of the Company at a purchas |
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| February 18, 2009 |
e8vk 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 18, 2009 (February 11, 2009) ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- (Commissi |
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| February 18, 2009 |
PROMISSORY NOTE February 11, 2009 $1,000,000 Hopkinton, Massachusetts exv10w1 Exhibit 10.1 PROMISSORY NOTE February 11, 2009 $1,000,000 Hopkinton, Massachusetts FOR VALUE RECEIVED, Neurobiologics, Inc. (the “Maker”), in keeping with a resolution of its Board of Directors adopted on even date herewith and approving the making of this Promissory Note, promises to pay to Robert L Gipson, or order, at the offices of Robert L. Gipson, c/o Ingalls & Snyder LLC, 61 Broadwa |
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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)* Alseres Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 021152103 (CUSIP Number) December 31, 2008 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design |
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| January 30, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 14 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 12/31/2008 - (Da |
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| January 30, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.4 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 12/31/08 - (Date o |
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| January 30, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 6 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 12/31/08 - (Date |
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| January 30, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 5 )* ALSERES PHARMACEUTICALS, INC. - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 12/31/08 - (Date |
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| January 30, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB NUMBER: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....11 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1 )* ALSERES PHARMACEUTICALS, INC - (Name of Issuer) COMMON STOCK - (Title of Class of Securities) 021152103 - (CUSIP Number) 12/31/08 - (Date of E |
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| January 28, 2009 |
Termination of a Material Definitive Agreement 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 28, 2009 (January 22, 2009) ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incor |
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| January 20, 2009 |
e8vkza UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A 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 20, 2009 (January 15, 2009) ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction |
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| January 16, 2009 | ||
| January 16, 2009 | ||
| January 16, 2009 | ||
| January 16, 2009 |
Table of Contents 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 16, 2009 (January 14, 2009) ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris |
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| January 16, 2009 | ||
| January 15, 2009 | ||
| January 15, 2009 | ||
| January 13, 2009 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 13, 2009 |
Alseres Pharmaceuticals, Inc. Announces $1 Million Financing Exhibit 99.1 Alseres Pharmaceuticals, Inc. Announces $1 Million Financing HOPKINTON, Mass., January 13, 2009 — Alseres Pharmaceuticals, Inc. (Nasdaq: ALSE), today announced that on January 8, 2009 it entered into a securities purchase agreement (the “Agreement”) with Robert Gipson for the private placement of 1,000,000 shares of common stock of the Company at a purchase price of $1.00 per share. T |
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| January 12, 2009 |
Table of Contents 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 12, 2009 (January 8, 2009) ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- |
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| January 12, 2009 |
Alseres Pharmaceuticals, Inc. Receives Notice of Non-Compliance with Continued Listing Requirements Exhibit 99.1 Alseres Pharmaceuticals, Inc. Receives Notice of Non-Compliance with Continued Listing Requirements Hopkinton, MA ? January 12, 2009 ? Alseres Pharmaceuticals, Inc. today announced that on January 8, 2009, it received notice from the NASDAQ Stock Market (?NASDAQ?) that for the last 10 consecutive trading days, the market value of its listed securities has been below the minimum $35 mi |
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| January 12, 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): January 12, 2009 (January 9, 2008) ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incorp |
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| January 6, 2009 |
exv10w2 Exhibit 10.2 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is made and entered into as of December 31, 2008 by and between ALSERES PHARMACEUTICALS, INC., a Delaware corporation (the “Company”), and Mark Pykett (“Executive”). This Agreement amends, restates and supersedes, in its entirety, the Employment Agreement dated March 31, 2006 |
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| January 6, 2009 |
TABLE OF CONTENTS Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. Item 9.01 Financial Statements and Exhibits. SIGNATURE EXHIBIT INDEX EX-10.1 Amended and Restated Employment Agreement, dated December 31, 2008, between the Company and Peter G. Savas EX-10.2 Amended and Restated Employment A |
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| January 6, 2009 |
exv10w1 Exhibit 10.1 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is made and entered into as of December 31, 2008 by and between ALSERES PHARMACEUTICALS, INC., a Delaware corporation (the “Company”), and Peter G. Savas (“Executive”). This Agreement amends, restates and supersedes, in its entirety, the Employment Agreement dated March 31, 2 |
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| January 6, 2009 |
Exhibit 10.3 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is made and entered into as of December 31, 2008 by and between ALSERES PHARMACEUTICALS, INC., a Delaware corporation (the “Company”), and Kenneth L. Rice Jr. (“Executive”). This Agreement amends, restates and supersedes, in its entirety, the Employment Agreement dated March 31, 2006 |
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| December 8, 2008 |
Ex-10.1 Amendment No.9 to Manufacturing Agreement Exhibit 10.1 Confidential Materials omitted and filed separately with the Securities and Exchange Commission. Asterisks denote omission. 447 March Road Tel: +1 613 592-2790 Ottawa, Ontario Fax: +1 613 592-6937 K2K 1X8 Canada www.mdsnordion.com November 28, 2008 Richard Thorn, Ph.D. Alseres Pharmaceuticals Inc. 239 South Street Hopkinton, MA 01748 USA Dear Richard, Re: Amendment #9 to Agreement bet |
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| December 8, 2008 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| December 3, 2008 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Table of Contents 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 3, 2008 (November 27, 2008) ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juri |
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| December 3, 2008 |
Ex-10.1 Extension to Option Agreement, dated November 27, 2008 Exhibit 10.1 EXTENSION TO OPTION AGREEMENT THIS EXTENSION TO OPTION AGREEMENT (this ?Extension?) dated as of November 27, 2008 is between Alseres Pharmaceuticals, Inc., a Delaware corporation with offices at 239 South Street, Hopkinton, MA 01748 (?Alseres?) and BioAxone Therapeutic Inc.(?BA?), a Canadian corporation with offices at 1100 Boulevard Rene Levesque Oues, 25th floor, Montreal,QC h35bc9. |
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| November 25, 2008 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 25, 2008 |
Alseres Pharmaceuticals, Inc. Announces $1 Million Financing exv99w1 Exhibit 99.1 Alseres Pharmaceuticals, Inc. Announces $1 Million Financing HOPKINTON, Mass., November 21, 2008 — Alseres Pharmaceuticals, Inc. (Nasdaq: ALSE), today announced that it has entered into a securities purchase agreement with Robert Gipson for the private placement of 543,478 shares of common stock of the Company, together with warrants to purchase 543,478 additional shares of co |
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| November 25, 2008 |
EX-10.3 LETTER AGREEMENT ROBERT GIPSON exv10w3 Exhibit 10.3 Alseres Pharmaceuticals, Inc. 239 South Street Hopkinton, MA 01748 Robert L. Gipson Ingalls & Snyder, LLC 61 Broadway New York, NY 10006 Ladies and Gentlemen: Reference is hereby made to that certain Securities Purchase Agreement, of even date herewith, by and between Alseres Pharmaceuticals, Inc. (the “Company”) and the Investors listed therein (the “Purchase Agreement”). Cap |
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| November 25, 2008 |
EX-10.1 SECURITIES PURCHASE AGREEMENT exv10w1 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of November 20, 2008, by and among Alseres Pharmaceuticals, Inc., a Delaware corporation with headquarters located at 239 South Street, Hopkinton, MA 01748 (the “Company”), and each investor identified on the signature pages hereto (individually, an “Investor” and collectively, the “I |
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| November 25, 2008 |
exv10w2 Exhibit 10.2 FORM OF WARRANT THIS WARRANT AND THE SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED, SOLD OR OTHERW |
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| November 14, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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, 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 Number 0-6533 ALSERES PHARMACEUTICALS, INC. |
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| November 13, 2008 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 13, 2008 |
Alseres Pharmaceuticals, Inc. Reports Third Quarter 2008 Operational and Financial Results Exhibit 99.1 Alseres Pharmaceuticals, Inc. Reports Third Quarter 2008 Operational and Financial Results Conference Call To Be Held Friday, November 14, 2008 at 9:00 a.m. Eastern Time Hopkinton, MA ? November 13, 2008 ? Alseres Pharmaceuticals, Inc. (NASDAQ: ALSE) today reports operational and financial results for the quarter ended September 30, 2008 and provides further information for fiscal yea |
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| October 30, 2008 |
exv10w1 Exhibit 10.1 EXTENSION TO OPTION AGREEMENT THIS EXTENSION TO OPTION AGREEMENT (this “Extension”) dated as of October 27, 2008 is between Alseres Pharmaceuticals, Inc., a Delaware corporation with offices at 239 South Street, Hopkinton, MA 01748 (“Alseres”) and BioAxone Therapeutic Inc.(“BA”), a Canadian corporation with offices at 1100 Boulevard Rene-Levesque Ouest, 25th floor, Montreal,QC |
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| October 30, 2008 |
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): October 30, 2008 (October 27, 2008) ALSERES PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 0-6533 87-0277826 (State or Other Juris- diction of Incor |
