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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 DARA Biosciences, Inc.
SEC Filings (Chronological Order)
Denne side giver en komplet, kronologisk liste over SEC-arkiveringer, eksklusive ejerskabsregistreringer, som vi leverer andre steder.
| December 14, 2015 |
Form 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-23776 MIDATECH PHARMA US INC. (Exact name of registrant as spec |
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| December 11, 2015 |
FORM S-8 POS As filed with the Securities and Exchange Commission on December 11, 2015. |
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| December 11, 2015 |
FORM S-8 POS As filed with the Securities and Exchange Commission on December 11, 2015. |
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| December 11, 2015 |
POS AM As filed with the Securities and Exchange Commission on December 11, 2015. Registration No. 333-179637 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 8 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Midatech Pharma US Inc. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of |
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| December 11, 2015 |
POS AM As filed with the Securities and Exchange Commission on December 11, 2015. Registration No. 333-165884 Registration No. 333-171449 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 4 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Midatech Pharma US Inc. (Exact name of registrant as specified in its charter) Delaware (St |
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| December 11, 2015 |
POSAM As filed with the Securities and Exchange Commission on December 11, 2015. Registration No. 333-121393 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Midatech Pharma US Inc. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of |
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| December 11, 2015 |
POSAM As filed with the Securities and Exchange Commission on December 11, 2015. Registration No. 333-194333 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Midatech Pharma US Inc. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of |
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| December 11, 2015 |
POSAM As filed with the Securities and Exchange Commission on December 11, 2015. Registration No. 333-173098 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Midatech Pharma US Inc. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of |
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| December 11, 2015 |
POSAM As filed with the Securities and Exchange Commission on December 11, 2015. Registration No. 333-114760 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Midatech Pharma US Inc. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of |
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| December 11, 2015 |
POSAM As filed with the Securities and Exchange Commission on December 11, 2015. Registration No. 333-203070 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Midatech Pharma US Inc. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of |
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| December 11, 2015 |
S-8 POS 1 d100767ds8pos.htm FORM S-8 POS As filed with the Securities and Exchange Commission on December 11, 2015. Registration No. 333-05613 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-05613 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Midatech Pharma US Inc. (Exact name of r |
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| December 11, 2015 |
FORM S-8 POS As filed with the Securities and Exchange Commission on December 11, 2015. |
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| December 11, 2015 |
S-8 POS 1 d100767ds8pos.htm FORM S-8 POS As filed with the Securities and Exchange Commission on December 11, 2015. Registration No. 333-05615 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-05615 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Midatech Pharma US Inc. (Exact name of r |
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| December 11, 2015 |
FORM S-8 POS As filed with the Securities and Exchange Commission on December 11, 2015. |
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| December 11, 2015 |
POSAM As filed with the Securities and Exchange Commission on December 11, 2015. Registration No. 333-150150 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Midatech Pharma US Inc. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of |
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| December 11, 2015 |
POS AM As filed with the Securities and Exchange Commission on December 11, 2015. Registration No. 333-165884 Registration No. 333-171449 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 4 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Midatech Pharma US Inc. (Exact name of registrant as specified in its charter) Delaware (St |
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| December 11, 2015 |
POS AM As filed with the Securities and Exchange Commission on December 11, 2015. Registration No. 333-192595 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Midatech Pharma US Inc. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of |
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| December 11, 2015 |
POS AM As filed with the Securities and Exchange Commission on December 11, 2015. Registration No. 333-186557 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Midatech Pharma US Inc. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of |
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| December 11, 2015 |
POS AM As filed with the Securities and Exchange Commission on December 11, 2015. Registration No. 333-193054 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 2 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Midatech Pharma US Inc. (Exact name of registrant as specified in its charter) Delaware (State or Other Jurisdiction of |
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| December 11, 2015 |
FORM S-8 POS As filed with the Securities and Exchange Commission on December 11, 2015. |
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| December 4, 2015 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION DUKE ACQUISITION SUB, INC. EX-3.1 2 d22623dex31.htm EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF DUKE ACQUISITION SUB, INC. FIRST: The name of the corporation (hereinafter called the “Corporation”) is Duke Acquisition Sub, Inc. SECOND: The address of the registered office of the Corporation in the State of Delaware is Corporation Trust Center, 1209 Orange Street, in the City of Wilmington, County |
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| December 4, 2015 |
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 4, 2015 Midatech Pharma US Inc. (Exact Name of Registrant as Specified in Charter) Delaware 0-19410 04-3216862 (State or Other Jurisdiction of Incorporation or Organ |
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| December 4, 2015 |
EX-3.2 3 d22623dex32.htm EX-3.2 Exhibit 3.2 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF DUKE ACQUISITION SUB, INC. DUKE ACQUISITION SUB, INC., a Delaware corporation (the “Corporation”), does hereby certify that: FIRST: The name of the Corporation is Duke Acquisition Sub, Inc. SECOND: The date on which the original Certificate of Incorporation was filed with th |
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| December 4, 2015 |
AMENDED AND RESTATED DARA BIOSCIENCES, INC., A Delaware Corporation EX-3.3 4 d22623dex33.htm EX-3.3 Exhibit 3.3 AMENDED AND RESTATED BYLAWS of DARA BIOSCIENCES, INC., A Delaware Corporation Adopted: December 4, 2015 AMENDED AND RESTATED BYLAWS TABLE OF CONTENTS ARTICLE I. STOCKHOLDERS 1 SECTION 1.1. ANNUAL MEETING 1 SECTION 1.2. SPECIAL MEETINGS 1 SECTION 1.3. NOTICE OF MEETING 1 SECTION 1.4. QUORUM 2 SECTION 1.5. VOTING AND PROXIES 2 SECTION 1.6. ACTION AT MEETIN |
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| December 2, 2015 |
DARA BioSciences Announces Stockholder Approval of Merger with Midatech Unassociated Document Exhibit 99.1 DARA BioSciences Announces Stockholder Approval of Merger with Midatech RALEIGH, NC - (Marketwired) ? December 2, 2015 - DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care pharmaceutical company dedicated to providing health care professionals a synergistic portfolio of medicines to help cancer patients adhere to their therapy and manage side effe |
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| December 2, 2015 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders b1221508k.htm 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 2, 2015 DARA BioSciences, Inc. (Exact name of registrant as specified in its charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) |
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| November 19, 2015 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| November 18, 2015 |
j1117151defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permit |
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| November 18, 2015 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing d1171528k.htm 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 17, 2015 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (C |
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| November 12, 2015 |
m1112151defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule |
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| November 9, 2015 |
z119150defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 1 |
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| November 2, 2015 |
DARA Biosciences FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2015 (Quarterly Report) j102315010q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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, 2015 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 |
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| November 2, 2015 |
Midatech Pharma 425 (Prospectus) 425 Filed by Midatech Pharma PLC Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934, as amended Commission File No. |
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| November 2, 2015 |
ex991.htm Exhibit 99.1 DARA BioSciences Announces Third Quarter 2015 Results Record Revenues for Q3 Company Reaffirms 2015 full year Guidance of $3.7 Million in Net Revenues Company Provides Update on Merger Agreement with Midatech Pharma PLC RALEIGH, NC - (Marketwired) ? November 2, 2015 - DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care pharmaceutical company dedicated to provi |
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| November 2, 2015 |
s111151def14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitte |
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| November 2, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition f1111508k.htm 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 2, 2015 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Co |
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| October 22, 2015 |
DARA Biosciences PROXY STATEMENT DEFM14A 1 d65416ddefm14a.htm PROXY STATEMENT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of |
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| August 12, 2015 |
Midatech Pharma 425 (Prospectus) 425 Filed by Midatech Pharma PLC Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934, as amended Commission File No. |
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| August 12, 2015 |
EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 DARA BioSciences Announces Second Quarter 2015 Results Record Revenues for Q2 Company Reaffirms 2015 full year Guidance of $3.7 Million in Net Revenues Company Provides Update on Merger Agreement with Midatech Pharma PLC RALEIGH, NC - (Marketwired) – August 12 - DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care pharmaceutical company d |
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| August 12, 2015 |
j812150defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitt |
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| August 12, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition j8101508k.htm 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 12, 2015 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Com |
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| June 5, 2015 |
Midatech Pharma 425 (Prospectus) 425 Filed by Midatech Pharma PLC Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934, as amended Subject Company: DARA BioSciences, Inc. |
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| June 5, 2015 |
Midatech Pharma 425 (Prospectus) 425 Filed by Midatech Pharma PLC Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934, as amended Commission File No. |
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| June 5, 2015 |
Midatech Pharma 425 (Prospectus) 425 Proposed Acquisition of DARA BioSciences 4 June 2015 Analyst and investor call: 10:30am GMT on 4 June 2015 To participate in the conference call, please use the following dial-in: Tel: +44 1452 555 566 Conference ID: 59779124 Replay details available upon request by emailing midatech@consilium-comms. |
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| June 4, 2015 |
ex21.htm Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among MIDATECH PHARMA PLC, MERLIN ACQUISITION SUB, INC., DUKE ACQUISITION SUB, INC., DARA BIOSCIENCES, INC., and SHAREHOLDER REPRESENTATIVE SERVICES LLC, AS STOCKHOLDER REPRESENTATIVE Dated as of June 3, 2015 i ARTICLE 1. DEFINITIONS 2 1.1 Defined Terms 2 1.2 Interpretation Provisions 15 1.3 Mutual Drafting 16 1.4 Schedules and Exhibits 16 A |
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| June 4, 2015 |
EX-10.1 3 ex101.htm EXHIBIT 10.1 Exhibit 10.1 THIS CONTINGENT VALUE RIGHTS AGREEMENT, dated as of [●], 2015 (this “Agreement”), is entered into by and among Midatech Pharma PLC, a public limited liability company organized under the laws of England and Wales (“Parent”), DARA BioSciences, Inc., a Delaware corporation (the “Company”), Shareholder Representative Services LLC, a Colorado limited liabi |
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| June 4, 2015 |
ex21.htm Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among MIDATECH PHARMA PLC, MERLIN ACQUISITION SUB, INC., DUKE ACQUISITION SUB, INC., DARA BIOSCIENCES, INC., and SHAREHOLDER REPRESENTATIVE SERVICES LLC, AS STOCKHOLDER REPRESENTATIVE Dated as of June 3, 2015 i ARTICLE 1. DEFINITIONS 2 1.1 Defined Terms 2 1.2 Interpretation Provisions 15 1.3 Mutual Drafting 16 1.4 Schedules and Exhibits 16 A |
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| June 4, 2015 |
d631508k.htm 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 3, 2015 DARA BioSciences, Inc. (Exact name of registrant as specified in its charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Com |
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| June 4, 2015 |
Midatech Pharma 425 (Prospectus) 425 Filed by Midatech Pharma PLC Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934, as amended Commission File No. |
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| June 4, 2015 |
d631508k.htm 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 3, 2015 DARA BioSciences, Inc. (Exact name of registrant as specified in its charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Com |
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| June 4, 2015 |
ex101.htm Exhibit 10.1 THIS CONTINGENT VALUE RIGHTS AGREEMENT, dated as of [?], 2015 (this ?Agreement?), is entered into by and among Midatech Pharma PLC, a public limited liability company organized under the laws of England and Wales (?Parent?), DARA BioSciences, Inc., a Delaware corporation (the ?Company?), Shareholder Representative Services LLC, a Colorado limited liability company, solely in |
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| May 19, 2015 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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 19, 2015 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file numb |
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| May 13, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 n5111518k.htm 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 13, 2015 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) ( |
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| May 13, 2015 |
ex991.htm Exhibit 99.1 DARA BIOSCIENCES ANNOUNCES FIRST QUARTER 2015 RESULTS Company to provide inaugural 2015 revenue guidance based upon continued commercial progress Raleigh, NC ? May 13, 2014 ? DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care pharmaceutical company dedicated to providing health care professionals a synergistic portfolio of medicines to help cancer patients ad |
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| March 27, 2015 |
DARA Biosciences SERIES A - AMENDMENT NO. 8 j324150posama8.htm As Filed With the Securities and Exchange Commission on March 27, 2015 Registration No. 333-165884 Registration No. 333-171449 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 8 TO FORM S-1 ON FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 DARA BIOSCIENCES, INC. (Exact name of registrant as specified in its ch |
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| March 27, 2015 |
ex44.htm Exhibit 4.4 INDENTURE between DARA BioSciences, Inc. and [] TRUSTEE Dated as of [] Providing for Issuance of Debt Securities in Series Reconciliation and tie between Indenture, dated as of , and the Trust Indenture Act of 1939, as amended. Trust Indenture Act of 1939 Section Indenture Section 310(a)(1) 6.11 (a)(2) 6.11 (a)(3) TIA (a)(4) Not Applicable (a)(5) TIA (b) 6.9; 6.11; TIA 311(a) |
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| March 27, 2015 |
DARA Biosciences SERIES B2 / AMENDMENT NO. 7 n32415posama7.htm As Filed With the Securities and Exchange Commission on March 27, 2015 Registration No. 333-179637 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 7 TO FORM S-1 ON FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 DARA BIOSCIENCES, INC. (Exact name of registrant as specified in its charter) Delaware 2834 04-32168 |
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| March 27, 2015 |
n324150s8.htm As Filed With the Securities and Exchange Commission on March 27, 2015 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 DARA BIOSCIENCES, INC. (Exact name of registrant as specified in its charter) Delaware 04-3216862 (State or other jurisdiction of incorporation or organizat |
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| March 27, 2015 |
DARA Biosciences SERIES C-1 / AMENDMENT NO 1 m324152posam1.htm As Filed With the Securities and Exchange Commission on March 27, 2015 Registration No. 333-193054 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-1 ON FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 DARA BIOSCIENCES, INC. (Exact name of registrant as specified in its charter) Delaware 2834 04-32168 |
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| March 27, 2015 |
d324150s3.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 DARA BIOSCIENCES, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 04-3216862 (IRS Employer Identification Number) 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 (919) 872-5578 (Ad |
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| March 10, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits n391508k.htm 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 10, 2015 DARA BioSciences, Inc. (Exact name of registrant as specified in its charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (C |
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| March 10, 2015 |
Exhibit 99.1 DARA BIOSCIENCES ANNOUNCES THE ACQUISITION OF EXCLUSIVE NORTH AMERICAN RIGHTS TO ORAVIG® (miconazole buccal tablets 50mg), FROM ONXEO S.A. - DARA signs agreement with Mission Pharmacal to promote Oravig in the Primary Care Market - DARA to promote Oravig in the Oncology Market - Deal significantly strengthens DARA’s oncology supportive care portfolio RALEIGH, N.C. – March 10, 2015 - D |
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| March 3, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 3, 2015 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file num |
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| March 3, 2015 |
Exhibit 99.1 DARA BIOSCIENCES ANNOUNCES FOURTH QUARTER AND FULL YEAR 2014 RESULTS Strong Annual Revenue Growth Driven By Execution of Commercial Sales Strategy Raleigh, NC –March 3, 2015 – DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care pharmaceutical company dedicated to providing healthcare professionals a synergistic portfolio of medicines to help cancer patients adhere to th |
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| February 13, 2015 |
DARA / DARA Biosciences, Inc. / CAPITAL VENTURES INTERNATIONAL - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. 1)* Dara Biosciences, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 23703P106 (CUSIP Number) December 31, 2014 |
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| February 10, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 3) DARA BIOSCIENCES, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 23703P106 (CUSIP Number) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(c) *The remainder of this cover page shall |
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| January 20, 2015 |
EXECUTIVE EMPLOYMENT AGREEMENT Exhibit 10.2 EXECUTIVE EMPLOYMENT AGREEMENT This Employment Agreement (this “Agreement”) is made as of January 17, 2015 (the “Effective Date”) by and between DARA BioSciences, Inc., a Delaware corporation (the “Company”), and David J. Drutz, M.D. (the “Executive”). RECITALS A. The Company and the Executive previously entered into that certain Employment Agreement, dated January 17, 2012, and that |
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| January 20, 2015 |
EXECUTIVE EMPLOYMENT AGREEMENT Exhibit 10.1 EXECUTIVE EMPLOYMENT AGREEMENT This Employment Agreement (this “Agreement”) is made as of January 17, 2015 (the “Effective Date”) by and between DARA BioSciences, Inc., a Delaware corporation (the “Company”), and Christopher G. Clement (the “Executive”). RECITALS A. The Company and the Executive previously entered into that certain Employment Agreement, dated January 17, 2012, and tha |
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| January 20, 2015 |
EXECUTIVE EMPLOYMENT AGREEMENT Exhibit 10.3 EXECUTIVE EMPLOYMENT AGREEMENT This Employment Agreement (this “Agreement”) is made as of January 17, 2015 (the “Effective Date”) by and between DARA BioSciences, Inc., a Delaware corporation (the “Company”), and David Tousley (the “Executive”). RECITALS A. The Company and the Executive previously entered into that certain Employment Agreement, dated March 1, 2013, and that Employment |
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| January 20, 2015 |
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 17, 2015 DARA BioSciences, Inc. (Exact name of registrant as specified in its charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission F |
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| January 6, 2015 |
Financial Statements and Exhibits, Other Events 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 6, 2015 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file n |
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| January 6, 2015 |
EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 DARA BIOSCIENCES GRANTED WAIVER OF PRODUCT AND ESTABLISHMENT FEES BY THE FDA Company receives waiver of approximately $1.1 million Raleigh, NC – January 6, 2014 – DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care pharmaceutical company dedicated to providing healthcare professionals a synergistic portfolio of medicines to help cancer p |
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| December 15, 2014 |
Exhibit 4.2 THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 (THE “SECURITIES ACT”) AND SUCH SECURITIES MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT RELATED THERETO OR AN OPINION OF COUNSEL REASONABLY SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT RE |
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| December 15, 2014 |
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 11, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in its charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission |
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| December 15, 2014 |
Exhibit 4.1 THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 (THE “SECURITIES ACT”) AND SUCH SECURITIES MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT RELATED THERETO OR AN OPINION OF COUNSEL REASONABLY SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT RE |
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| December 15, 2014 |
EXCHANGE AND AMENDMENT AGREEMENT Exhibit 10.1 EXCHANGE AND AMENDMENT AGREEMENT THIS EXCHANGE AND AMENDMENT AGREEMENT (this “Agreement”), is made and entered into as of December 11, 2014 (the “Effective Date”) by and among DARA THERAPEUTICS, INC., a North Carolina corporation (the “Company”), and DARA BIOSCIENCES, INC., a Delaware corporation (“Parent” and, together with Company, “DARA”), on the one hand, and THE GENERAL HOSPITAL |
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| November 21, 2014 |
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 17, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| November 5, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 5, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| November 5, 2014 |
Exhibit 99.1 DARA BIOSCIENCES ANNOUNCES THIRD QUARTER 2014 RESULTS Continued strong revenue growth driven by sales momentum across broad portfolio Raleigh, NC – November 5, 2014 – DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care pharmaceutical company dedicated to providing healthcare professionals a synergistic portfolio of medicines to help cancer patients adhere to their thera |
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| August 12, 2014 |
Exhibit 99.1 DARA BIOSCIENCES ANNOUNCES SECOND QUARTER 2014 RESULTS Record Quarterly Sales Driven By Commercial Success Raleigh, NC – August 12, 2014 – DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care pharmaceutical company dedicated to providing healthcare professionals a synergistic portfolio of medicines to help cancer patients adhere to their therapy and manage side effects a |
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| August 12, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 12, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file n |
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| August 5, 2014 |
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 4, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file nu |
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| July 10, 2014 |
AMENDED AND RESTATED EMPLOYMENT AGREEMENT EX-10.1 2 daraex101.htm EMPLOYMENT AGREEMENT Exhibit 10.1 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this “Agreement”) is made as of July 9, 2014 (the “Effective Date”) by and between DARA BioSciences, Inc., a Delaware corporation (the “Company”), and David L. Tousley (the “Executive”). RECITALS A. The Company and the Executive previously entered into |
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| July 10, 2014 |
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, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file numb |
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| June 17, 2014 |
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 11, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file num |
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| June 17, 2014 |
Exhibit 99.1 DARA BioSciences Announces Leadership Transition Current President and COO Christopher G. Clement named CEO; David J. Drutz, MD transitions to Executive Chairman and retains CMO role; Haywood D. Cochrane, Jr. assumes role of Vice Chairman RALEIGH, N.C. – June 17, 2014 - DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care specialty pharmaceutical company dedicated to pro |
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| June 16, 2014 |
Exhibit 99.1 DARA BioSciences’ KRN5500 Granted Orphan Drug Designation by FDA For Treatment of Multiple Myeloma Second Orphan Drug Designation Received in 2014 for Key Development Asset RALEIGH, N.C. – June 16, 2014 - DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care specialty pharmaceutical company dedicated to providing healthcare professionals a synergistic portfolio of medicin |
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| June 16, 2014 |
Financial Statements and Exhibits, Other Events 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 12, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file num |
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| June 5, 2014 |
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 2, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file numb |
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| June 5, 2014 |
Exhibit 3.1 DARA BIOSCIENCES, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES C-1 CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW DARA BioSciences, Inc., a Delaware corporation (the “Corporation”), pursuant to the provisions of Section 151 of the General Corporation Law of the State of Delaware, does hereby make this Cert |
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| June 2, 2014 |
Filed Pursuant to Rule 424(b)(4) Registration No. 333-193054 Filed Pursuant to Rule 424(b)(4) Registration No. 333-193054 PROSPECTUS 12,499.92 Shares of Series C-1 Preferred Stock (and 11,261,189 Shares of Common Stock Underlying the Series C-1 Preferred Stock) Warrants to Purchase up to 11,261,190 Shares of Common Stock (and 11,261,190 Shares of Common Stock Issuable Upon Exercise of Warrants) We are offering 12,499.92 units to purchasers in this offering, |
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| May 30, 2014 |
[The remainder of this page has been intentionally left blank.] Exhibit 1.1 May 30, 2014 David J. Drutz, M.D. Chief Executive Officer DARA BioSciences, Inc. 8601 Six Forks Road Suite 160 Raleigh, NC 27615 Dear David: This letter (the “Agreement”) constitutes the agreement between Ladenburg Thalmann & Co., Inc. (“Ladenburg” or the “Placement Agent”) and DARA BioSciences, Inc. (the “Company”), that Ladenburg shall serve as the exclusive placement agent for the C |
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| May 30, 2014 |
COMMON STOCK PURCHASE WARRANT DARA BIOSCIENCES, INC. Exhibit 4.3 COMMON STOCK PURCHASE WARRANT DARA BIOSCIENCES, INC. Warrant Shares: Initial Exercise Date: , 2014 Issue Date: , 2014 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after , 2014 (the “Ini |
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| May 30, 2014 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of May 30, 2014 (the “Effective Date”), between DARA BioSciences, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the |
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| May 30, 2014 |
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): May 30, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file numb |
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| May 30, 2014 |
Exhibit 4.2 COMMON STOCK PURCHASE WARRANT DARA BIOSCIENCES, INC. Warrant Shares: Initial Exercise Date: , 2014 Issue Date: , 2014 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after , 2014 (the “Ini |
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| May 30, 2014 |
Exhibit 4.1 DARA BIOSCIENCES, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES C-1 CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW DARA BioSciences, Inc., a Delaware corporation (the “Corporation”), pursuant to the provisions of Section 151 of the General Corporation Law of the State of Delaware, does hereby make this Cert |
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| May 30, 2014 |
DARA BioSciences, Inc. Announces Pricing of $12.5 Million Public Offering Exhibit 99.1 DARA BioSciences, Inc. Announces Pricing of $12.5 Million Public Offering RALEIGH, N.C. – May 30, 2014 - DARA BioSciences, Inc. (NASDAQ: DARA) (the “Company”), an oncology supportive care specialty pharmaceutical company dedicated to providing health care professionals a synergistic portfolio of medicines to help cancer patients adhere to their therapy and manage side effects arising |
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| May 28, 2014 |
DARA BIOSCIENCES, INC. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 May 28, 2014 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Mr. Austin Stephenson, Esq. Re: DARA Biosciences, Inc. Registration Statement on Form S-1 File No. 333-193054 Ladies and Gentlemen: In connection with the above-captioned |
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| May 22, 2014 |
Exhibit 3.10 DARA BIOSCIENCES, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES C-1 CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW DARA BioSciences, Inc., a Delaware corporation (the “Corporation”), pursuant to the provisions of Section 151 of the General Corporation Law of the State of Delaware, does hereby make this Cer |
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| May 22, 2014 |
As filed with the Securities and Exchange Commission on May 22 , 2014 Registration No. |
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| May 22, 2014 |
Exhibit 4.22 COMMON STOCK PURCHASE WARRANT DARA BIOSCIENCES, INC. Warrant Shares: Initial Exercise Date: , 2014 Issue Date: , 2014 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after , 2014 (the “In |
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| May 22, 2014 |
EX-10.32 6 daraex1032.htm SECURITIES PURCHASE AGREEMENT Exhibit 10.32 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of , 2014 (the “Effective Date”), between DARA BioSciences, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and colle |
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| May 22, 2014 |
Exhibit 4.23 COMMON STOCK PURCHASE WARRANT DARA BIOSCIENCES, INC. Warrant Shares: Initial Exercise Date: , 2014 Issue Date: , 2014 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after , 2014 (the “In |
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| May 20, 2014 |
ADDENDUM A INDEMNIFICATION PROVISIONS Exhibit 1.1 May , 2014 David J. Drutz, M.D. Chief Executive Officer DARA BioSciences, Inc. 8601 Six Forks Road Suite 160 Raleigh, NC 27615 Dear David: This letter (the “Agreement”) constitutes the agreement between Ladenburg Thalmann & Co., Inc. (“Ladenburg” or the “Placement Agent”) and DARA BioSciences, Inc. (the “Company”), that Ladenburg shall serve as the exclusive placement agent for the Com |
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| May 20, 2014 |
Submission of Matters to a Vote of Security Holders 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 19, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file numb |
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| May 20, 2014 |
Exhibit 3.10 DARA BIOSCIENCES, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES C-1 CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW DARA BioSciences, Inc., a Delaware corporation (the “Corporation”), pursuant to the provisions of Section 151 of the General Corporation Law of the State of Delaware, does hereby make this Cer |
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| May 20, 2014 |
Exhibit 10.32 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of , 2014 (the “Effective Date”), between DARA BioSciences, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms |
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| May 20, 2014 |
As filed with the Securities and Exchange Commission on May 20 , 2014 Registration No. |
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| May 20, 2014 |
EX-4.2 4 daraex422.htm WARRANT Exhibit 4.22 COMMON STOCK PURCHASE WARRANT DARA BIOSCIENCES, INC. Warrant Shares: Initial Exercise Date: , 2014 Issue Date: , 2014 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any t |
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| May 15, 2014 |
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 |
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| May 14, 2014 |
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 |
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| May 14, 2014 |
ADDENDUM A INDEMNIFICATION PROVISIONS Exhibit 1.1 May , 2014 Mr. David J. Drutz Chief Executive Officer DARA BioSciences, Inc. 8601 Six Forks Road Suite 160 Raleigh, NC 27615 Dear David: This letter (the “Agreement”) constitutes the agreement between Ladenburg Thalmann & Co., Inc. (“Ladenburg” or the “Placement Agent”) and DARA BioSciences, Inc. (the “Company”), that Ladenburg shall serve as the exclusive placement agent for the Compa |
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| May 14, 2014 |
As filed with the Securities and Exchange Commission on May 1 4 , 2014 Registration No. |
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| May 13, 2014 |
As filed with the Securities and Exchange Commission on May 12 , 2014 Registration No. |
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| May 12, 2014 |
Exhibit 99.1 DARA BIOSCIENCES ANNOUNCES FIRST QUARTER 2014 RESULTS Company Implemented New Nationwide Sales Force in January; Complemented Oncology Supportive Care Product Portfolio Raleigh, NC – May 12, 2014 – DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care pharmaceutical company dedicated to providing health care professionals a synergistic portfolio of medicines to help cance |
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| May 12, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 12, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file numb |
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| April 18, 2014 |
Exhibit 4.22 COMMON STOCK PURCHASE WARRANT DARA BIOSCIENCES, INC. Warrant Shares: Initial Exercise Date: , 2014 Issue Date: , 2014 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after , 2014 (the “In |
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| April 18, 2014 |
Exhibit 10.32 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of , 2014 (the “Effective Date”), between DARA BioSciences, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms |
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| April 18, 2014 |
As filed with the Securities and Exchange Commission on April 18, 2014 Registration No. |
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| April 18, 2014 |
John D. Hogoboom Partner 65 Livingston Avenue Roseland, NJ 07068 T 973 597 2382 F 973 597 2383 [email protected] April 18, 2014 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Re: DARA BioSciences, Inc. Registration Statement on Form S-1 Filed December 23, 2013 File No. 333-193054 Ladies and Gentlemen: On behalf of DARA Bi |
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| April 9, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e)(2)) þ Defin |
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| April 9, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e) |
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| March 5, 2014 |
As Filed With the Securities and Exchange Commission on March 5, 2014 Registration No. |
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| February 25, 2014 |
DARA BIOSCIENCES, INC. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 February 25, 2014 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Mr. Jeffrey P. Riedler, Assistant Director Ms. Christina De Rosa, Esq. Re: DARA Biosciences, Inc. (the “Company”) Post-Effective Amendment No. 5 to Registration Statement on Form S-1 Filed February 20, 2014 File |
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| February 25, 2014 |
Financial Statements and Exhibits, Other Events - CURRENT REPORT 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 25, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| February 25, 2014 |
- POST-EFFECTIVE AMENDMENT NO. 7 As filed with the Securities and Exchange Commission on February 25 , 2014 Registration No. |
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| February 25, 2014 |
DARA BioSciences Regains Compliance with NASDAQ Bid Price Requirement Exhibit 99.1 DARA BioSciences Regains Compliance with NASDAQ Bid Price Requirement RALEIGH, NC, February 25, 2014 – DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care pharmaceutical company dedicated to providing health care professionals a synergistic portfolio of medicines to help cancer patients adhere to therapy and manage side effects arising from cancer treatment, announced t |
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| February 25, 2014 |
As filed with the Securities and Exchange Commission on February 25 , 2014 Registration No. |
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| February 25, 2014 |
DARA BioSciences’ KRN5500 Receives Orphan Drug Designation from FDA Exhibit 99.1 DARA BioSciences’ KRN5500 Receives Orphan Drug Designation from FDA -Novel Non-opioid Therapeutic in Phase 2 to Treat Chronic Chemotherapy-Induced Peripheral Neuropathy- -Existing FDA Fast Track Designation- RALEIGH, N.C. – February 25, 2014 - DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care specialty pharmaceutical company dedicated to providing healthcare professio |
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| February 25, 2014 |
As filed with the Securities and Exchange Commission on February 25, 2014 Registration No. |
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| February 25, 2014 |
DARA BIOSCIENCES, INC. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 February 25, 2014 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Mr. Jeffrey P. Riedler, Assistant Director Ms. Christina De Rosa, Esq. Re: DARA Biosciences, Inc. (the “Company”) Post-Effective Amendment No. 6 to Registration Statement on Form S-1 Filed February 20, 2014 File |
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| February 25, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 25, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| February 25, 2014 |
DARA BIOSCIENCES, INC. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 February 25, 2014 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Mr. Jeffrey P. Riedler, Assistant Director Ms. Christina De Rosa, Esq. Re: DARA Biosciences, Inc. (the “Company”) Post-Effective Amendment No. 7 to Registration Statement on Form S-1 Filed February 20, 2014 File |
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| February 24, 2014 |
DARA BIOSCIENCES, INC. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 February 24, 2014 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Mr. Jeffrey P. Riedler, Assistant Director Ms. Christina De Rosa, Esq. Re: DARA Biosciences, Inc. (the “Company”) Post-Effective Amendment No. 4 to Registration Statement on Form S-1 Filed February 20, 2014 File |
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| February 24, 2014 |
DARA BIOSCIENCES, INC. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 February 24, 2014 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Mr. Jeffrey P. Riedler, Assistant Director Ms. Christina De Rosa, Esq. Re: DARA Biosciences, Inc. (the “Company”) Post-Effective Amendment No. 6 to Registration Statement on Form S-1 Filed February 20, 2014 File |
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| February 20, 2014 |
- POST-EFFECTIVE AMENDMENT NO. 6 As filed with the Securities and Exchange Commission on February 20, 2014 Registration No. |
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| February 20, 2014 |
As filed with the Securities and Exchange Commission on February 20, 2014 Registration No. |
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| February 20, 2014 |
CYTR / CytRx Corp. / CAPITAL VENTURES INTERNATIONAL - SC 13G Passive Investment CUSIP No. 232828509 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. )* Dara Biosciences, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 23703P106 (CUSIP Num |
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| February 19, 2014 |
DARA / DARA Biosciences, Inc. / ALPHA CAPITAL ANSTALT - AMENDED SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2) DARA BIOSCIENCES, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 23703P106 (CUSIP Number) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: x Rule 13d-1(c) *The remainder of this cover page shall |
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| February 13, 2014 |
DARA BIOSCIENCES, INC. 2,166,501 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-173098 PROSPECTUS SUPPLEMENT (To Prospectus dated April 19, 2011) DARA BIOSCIENCES, INC. 2,166,501 Shares of Common Stock We are offering 2,166,501 shares of our common stock in this offering. In a concurrent private placement, we are selling to purchasers of shares of our common stock in this offering a warrant to purchase one share of our com |
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| February 13, 2014 |
DARA BIOSCIENCES, INC. 2,166,501 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-173098 PROSPECTUS SUPPLEMENT (To Prospectus dated April 19, 2011) DARA BIOSCIENCES, INC. 2,166,501 Shares of Common Stock We are offering 2,166,501 shares of our common stock in this offering. In a concurrent private placement, we are selling to purchasers of shares of our common stock in this offering a warrant to purchase one share of our com |
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| February 12, 2014 |
Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE 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 OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| February 12, 2014 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of February 11, 2014, between DARA BioSciences, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditio |
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| February 12, 2014 |
[The remainder of this page has been intentionally left blank.] Exhibit 1.1 February 11, 2014 Mr. David J. Drutz Chief Executive Officer DARA BioSciences, Inc. 8601 Six Forks Road Suite 160 Raleigh, NC 27615 Dear David: This letter (the “Agreement”) constitutes the agreement between Ladenburg Thalmann & Co., Inc. (“Ladenburg” or the “Placement Agent”) and DARA BioSciences, Inc. (the “Company”), that Ladenburg shall serve as the exclusive placement agent for th |
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| February 12, 2014 |
SUBJECT TO COMPLETION, DATED FEBRUARY 11, 2014 Filed Pursuant to Rule 424(b)(5) Registration No. 333-173098 SUBJECT TO COMPLETION, DATED FEBRUARY 11, 2014 The information in this preliminary prospectus supplement and the accompanying prospectus, relating to an effective registration statement under the Securities Act of 1933, as amended, is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus |
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| February 12, 2014 |
SC 13G/A 1 sc13ga10214alphadarabio.htm AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1) DARA BIOSCIENCES, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 23703P106 (CUSIP Number) Check the appropriate box to designate the rule pursuant to which this Sche |
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| February 12, 2014 |
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 11, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| February 12, 2014 |
DARA BioSciences Announces Registered Direct Offering of $6.0 million Exhibit 99.1 DARA BioSciences Announces Registered Direct Offering of $6.0 million RALEIGH, N.C. – February 12, 2014 - DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care pharmaceutical company dedicated to providing health care professionals a synergistic portfolio of medicines to help cancer patients adhere to therapy and manage side effects arising from cancer treatment, today an |
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| February 11, 2014 |
February 10, 2014 Via E-mail David J. Drutz, M.D. Chief Executive Officer and Chief Medical Officer DARA Biosciences, Inc. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 Re: DARA Biosciences, Inc. Post-Effective Amendment No. 5 to Registration Statement on Form S-1 Filed February 4, 2014 File No. 333-165884 Dear Dr. Drutz: We have limited our review of your registration statement to those issues |
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| February 11, 2014 |
February 10, 2014 Via E-mail David J. Drutz, M.D. Chief Executive Officer and Chief Medical Officer DARA Biosciences, Inc. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 Re: DARA Biosciences, Inc. Post-Effective Amendment No. 3 to Registration Statement on Form S-1 Filed February 4, 2014 File No. 333-179637 Dear Dr. Drutz: We have limited our review of your registration statement to those issues |
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| February 10, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits - 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 10, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| February 10, 2014 | ||
| February 6, 2014 |
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 5, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| February 6, 2014 |
CERTIFICATE OF AMENDMENT RESTATED CERTIFICATE OF INCORPORATION OF DARA BIOSCIENCES, INC. Exhibit 3.1 CERTIFICATE OF AMENDMENT OF RESTATED CERTIFICATE OF INCORPORATION OF DARA BIOSCIENCES, INC. DARA BIOSCIENCES, INC., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), does hereby certify that: FIRST: This Certificate of Amendment amends the provisions of the Corporation’s Restated Certificate of Incorporation, as amended (the “Certificate |
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| February 6, 2014 |
DARA BioSciences Announces 1-for-5 Reverse Split Exhibit 99.1 DARA BioSciences Announces 1-for-5 Reverse Split Raleigh, N.C. – February 6, 2014 – DARA BioSciences, Inc. (NASDAQ: DARA) (“DARA” or the “Company”), an oncology supportive care specialty pharmaceutical company dedicated to providing healthcare professionals a synergistic portfolio of medicines to help cancer patients adhere to their therapy and manage side effects arising from their c |
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| February 4, 2014 |
- POST-EFFECTIVE AMENDMENT NO. 5 As filed with the Securities and Exchange Commission on February 4, 2014 Registration No. |
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| February 4, 2014 |
As Filed With the Securities and Exchange Commission on February 4, 2013 Registration No. |
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| February 4, 2014 |
DARA Biosciences ANNUAL REPORT (Annual Report) 10-K 1 dara10k.htm ANNUAL REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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, 2013 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file |
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| February 4, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 4, 2014 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| February 4, 2014 |
Exhibit 99.1 DARA REPORTS 2013 FOURTH QUARTER AND FULL YEAR FINANCIAL RESULTS AND COMMERCIAL BUSINESS UPDATE -Continued execution of commercial strategy yields growth in 4Q revenues- -Expansion of national sales force in January 2014 and synergistic oncology supportive care portfolio expected to support increased market penetration and revenue growth- RALEIGH, N.C. – February 4, 2014- DARA BioScie |
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| February 4, 2014 |
As filed with the Securities and Exchange Commission on February 4, 2014 Registration No. |
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| January 29, 2014 |
DARA / DARA Biosciences, Inc. / SABBY MANAGEMENT, LLC - SABBY 13G-A DARA 01.29.14 Passive Investment SC 13G/A 1 dara0114.txt SABBY 13G-A DARA 01.29.14 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Dara Biosciences, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 23703P106 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate b |
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| January 3, 2014 |
January 3, 2014 Via E-mail David J. Drutz, M.D. Chief Executive Officer DARA BioSciences, Inc. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 Re: DARA BioSciences, Inc. Registration Statement on Form S-1 Filed December 23, 2013 File No. 333-193054 Dear Dr. Drutz: We have limited our review of your registration statement to the issue we have addressed in the comment below. Executive Compensation |
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| December 24, 2013 |
December 23, 2013 Via E-mail David J. Drutz, M.D. Chief Executive Officer DARA BioSciences, Inc. 8601 Six Forks Road, Suite 160 Raleigh, North Carolina 27615 Re: DARA BioSciences, Inc. Preliminary Proxy Statement on Schedule 14A Filed December 13, 2013 File No. 000-23776 Dear Dr. Drutz: We have completed our review of your filing. We remind you that our comments or changes to disclosure in respons |
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| December 24, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant þ Filed by Party other than Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Def |
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| December 23, 2013 |
Registration Statement - FORM S-1 As filed with the Securities and Exchange Commission on December 23, 2013 Registration No. |
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| December 23, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by Registrant þ Filed by Party other than Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o De |
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| December 23, 2013 |
Lowenstein Sandler LLP 65 Livingston Avenue Roseland, NJ 07068 T: 973.597.2500 December 23, 2013 VIA EDGAR AND FEDERAL EXPRESS United States Securities and Exchange Commission Division of Corporation Finance Mail Stop 4561 100 F Street, N.E. Washington, D.C. 20549 Attention: Jeffrey P. Riedler Re: DARA BioSciences, Inc. Preliminary Proxy Statement on Schedule 14A Filed on December 13, 2013 File No |
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| December 20, 2013 |
December 19, 2013 Via E-mail David J. Drutz, M.D. Chief Executive Officer DARA BioSciences, Inc. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 Re: DARA BioSciences, Inc. Preliminary Proxy Statement on Schedule 14A Filed on December 13, 2013 File No. 000-23776 Dear Dr. Drutz: We have limited our review of your preliminary proxy statement to the issue we have addressed in our comment. Please resp |
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| December 13, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant þ Filed by Party other than Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Def |
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| November 29, 2013 |
begin 644 filename1.pdf M)5!$1BTQ+C4-)>+CS],-"C0Y(#`@;V)J#3P\+TQI;F5AF4@-C(O5'EP92]84F5F+U=;,2`R(#%=/CYS=')E86T-"FC>8F)D$&!@ M8F#R`A(,4X`$XPT@P1(")-@M@,0G)08F1H8#(%D&1G3B/^/D/P`!!@"T@0;D M#0IE;F1S=')E86T-96YD;V)J#7-T87)T>')E9@T*,`T*)25%3T8-"B`@("`@ M("`@#0HV,2`P(&]B:@T\/"]#(#8Y+T9I;'1E8F!@8&%@8(IF``*>-@94P,@` MDN5H0!9C@6(&AAL,W`R7!E+U!A9V4^/@UE;F1O8FH-3(@,"!O8FH-/#PO1FEL=&5R+T9L871E M1&5C;V1E+T9I< |
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| November 27, 2013 |
As Filed With the Securities and Exchange Commission on November 27, 2013 Registration No. |
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| November 14, 2013 |
Exhibit 99.1 DARA REPORTS THIRD QUARTER 2013 FINANCIAL RESULTS AND HIGHLIGHTS COMMERCIAL MOMENTUM ON SYNERGISTIC ONCOLOGY SUPPORTIVE CARE PRODUCT PORTFOLIO -Refined commercial strategy launched Q2 2013 increases sales frequency, raises product awareness and yields encouraging progress across product portfolio fueling significant growth in Q3 revenues- -Recent Alamo and Mission Pharmacal agreements |
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| November 14, 2013 |
EXHIBIT 99.2 NASDAQ: DARA www.darabio.com Q3 2013 Financial Results and Corporate Business Update Conference Call and Webcast November 14, 2013 Page * Forward Looking Statements All statements in this presentation that are not historical are forward-looking statements within the meaning of the Securities Exchange Act of 1934, as amended, and are subject to risks and uncertainties. These statements |
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| November 14, 2013 |
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 14, 2013 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| November 12, 2013 |
NASDAQ Grants DARA BioSciences 180-Day Extension to Regain Compliance with Bid Price Requirement Exhibit 99.1 NASDAQ Grants DARA BioSciences 180-Day Extension to Regain Compliance with Bid Price Requirement RALEIGH, NC, November 12, 2013 – DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care pharmaceutical company dedicated to providing health care professionals a synergistic portfolio of medicines to help cancer patients adhere to therapy and manage side effects arising from ca |
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| November 12, 2013 |
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 12, 2013 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| October 29, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 29, 2013 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| October 29, 2013 |
EXHIBIT 99.1 NASDAQ: DARA www.darabio.com Corporate Presentation October 2013 Page * Forward Looking Statements All statements in this presentation that are not historical are forward-looking statements within the meaning of the Securities Exchange Act of 1934, as amended, and are subject to risks and uncertainties. These statements are based on the current expectations, estimates, forecasts and p |
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| October 29, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 29, 2013 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| October 28, 2013 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 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 25, 2013 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| October 28, 2013 |
EX-99.1 2 daraex991.htm EXHIBIT 99.1 DARA BioSciences Announces Sales Force Expansion and Agreement with Mission Pharmacal in the Oncology Market -Signs agreement, exclusive to oncology market, with Mission Pharmacal- -Signs agreement with Alamo Pharma Services for a national sales team to promote DARA’s products with three additional Mission supportive care products- -Results of increased sales f |
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| October 24, 2013 |
DARA / DARA Biosciences, Inc. / SABBY MANAGEMENT, LLC - SABBY 13G DARA 10.24.13 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| October 23, 2013 |
DARA / DARA Biosciences, Inc. / ALPHA CAPITAL ANSTALT - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) DARA BIOSCIENCES, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 23703P106 (CUSIP Number) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(c) *The remainder of this cover page shall |
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| October 22, 2013 |
[The remainder of this page has been intentionally left blank.] Exhibit 1.1 October 22, 2013 Mr. David J. Drutz Chief Executive Officer DARA BioSciences, Inc. 8601 Six Forks Road Suite 160 Raleigh, NC 27615 Dear David: This letter (the “Agreement”) constitutes the agreement between Ladenburg Thalmann & Co., Inc. (“Ladenburg” or the “Placement Agent”) and DARA BioSciences, Inc. (the “Company”), that Ladenburg shall serve as the exclusive placement agent for the |
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| October 22, 2013 |
DARA BIOSCIENCES, INC. 5,100,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-173098 PROSPECTUS SUPPLEMENT (To Prospectus dated April 19, 2011) DARA BIOSCIENCES, INC. 5,100,000 Shares of Common Stock We are offering 5,100,000 shares of our common stock in this offering. In a concurrent private placement, we are selling to purchasers of shares of our common stock in this offering one warrant to purchase one share of our c |
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| October 22, 2013 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of October 22, 2013, between DARA BioSciences, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and condition |
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| October 22, 2013 |
DARA BioSciences Announces Registered Direct Offering of $2.55 million Exhibit 99.1 DARA BioSciences Announces Registered Direct Offering of $2.55 million RALEIGH, N.C. – October 22, 2013 - DARA BioSciences, Inc. (NASDAQ: DARA), an oncology supportive care pharmaceutical company dedicated to providing health care professionals a synergistic portfolio of medicines to help cancer patients adhere to therapy and manage side effects arising from cancer treatment, today an |
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| October 22, 2013 |
Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE 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 OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| October 22, 2013 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-173098 SUBJECT TO COMPLETION, DATED OCTOBER 18, 2013 The information in this preliminary prospectus supplement and the accompanying prospectus, relating to an effective registration statement under the Securities Act of 1933, as amended, is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus a |
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| October 22, 2013 |
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 17, 2013 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| August 19, 2013 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 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 19, 2013 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file n |
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| August 19, 2013 |
DARA BIOSCIENCES ANNOUNCES AT-THE-MARKET COMMON STOCK SALES PROGRAM Exhibit 99.1 DARA BIOSCIENCES ANNOUNCES AT-THE-MARKET COMMON STOCK SALES PROGRAM RALEIGH, N.C., August 19, 2013 – DARA BioSciences, Inc. (NASDAQ: DARA), a specialty pharmaceutical company focused on the commercialization of its complementary product portfolio of oncology and oncology supportive care products, announced today that it has entered into an “At-the-Market” (“ATM”) Sales Agreement, date |
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| August 19, 2013 |
$2,730,000 of Shares Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-173098 PROSPECTUS SUPPLEMENT (To Prospectus dated April 19, 2011) $2,730,000 of Shares Common Stock This prospectus supplement and accompanying prospectus relates to the issuance and sale of up to $2,730,000 of shares of our common stock, $0.01 par value per share, from time to time through our sales agent, BTIG LLC, or BTIG. These sales, if an |
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| August 19, 2013 |
Exhibit 1.1 Execution Copy DARA BIOSCIENCES, INC. UP TO $2,730,000 OF COMMON STOCK (par value $0.01 per share) AT-THE-MARKET SALES AGREEMENT August 19, 2013 BTIG, LLC 825 Third Avenue, 6th Floor New York, NY 10022 Ladies and Gentlemen: DARA BioSciences, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with BTIG, LLC (“BTIG” and, together with the Company, the |
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| August 14, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - CURRENT REPORT 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 14, 2013 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file n |
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| August 14, 2013 |
Exhibit 99.1 DARA REPORTS SECOND QUARTER 2013 FINANCIAL RESULTS AND OPERATIONAL OVERVIEW -Company’s priority remains focusing expertise and resources on commercialization of its oncology treatment and oncology supportive care pharmaceutical products: Soltamox®, Gelclair® and Bionect®- RALEIGH, N.C., August 14, 2013 – DARA BioSciences, Inc. (NASDAQ: DARA), a specialty pharmaceutical company focused |
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| June 18, 2013 |
EX-99.1 2 daraex991.htm PRESS RELEASE EXHIBIT 99.1 DARA BioSciences Grants T3D Therapeutics Exclusive Worldwide Rights to Develop and Commercialize DB959 -Agreement underpins DARA’s strategy to focus on the commercialization of oncology supportive care products- RALEIGH, N.C., June 18, 2013 – DARA BioSciences, Inc. (NASDAQ: DARA), a specialty pharmaceutical company focused on oncology supportive c |
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| June 18, 2013 |
Financial Statements and Exhibits, Other Events - CURRENT REPORT 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 17, 2013 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file num |
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| May 14, 2013 |
Submission of Matters to a Vote of Security Holders - CURRENT REPORT 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 10, 2013 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file numb |
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| May 14, 2013 |
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 13, 2013 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file numb |
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| April 30, 2013 |
DARA BIOSCIENCES, INC. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 April 30, 2013 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Karen Ubell Re: DARA Biosciences, Inc. Registration Statement on Form S-1 File No. 333-165884 333-171449 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amended, registrant DARA Bio |
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| April 30, 2013 |
DARA BIOSCIENCES, INC. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 April 30, 2013 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Karen Ubell Re: DARA Biosciences, Inc. Registration Statement on Form S-1 File No. 333-179637 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amended, registrant DARA BioSciences, I |
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| April 25, 2013 |
K&L GATES LLP HEARST TOWER 47TH FLOOR 214 NORTH TRYON STREET CHARLOTTE, NC 28202 T 704. |
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| April 25, 2013 |
K&L GATES LLP HEARST TOWER 47TH FLOOR 214 NORTH TRYON STREET CHARLOTTE, NC 28202 T 704. |
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| April 25, 2013 |
- POST-EFFECTIVE AMENDMENT NO. 2 As filed with the Securities and Exchange Commission on April 25, 2013 Registration No. |
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| April 25, 2013 |
- POST-EFFECTIVE AMENDMENT NO. 4 As filed with the Securities and Exchange Commission on April 25, 2013 Registration No. |
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| April 10, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant þ Filed by Party other than Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Def |
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| April 10, 2013 |
PROSPECTUS 4,013,157 SHARES OF COMMON STOCK DARA BIOSCIENCES, INC. Filed Pursuant to Rule 424(b)(3) Registration No. 333-186557 PROSPECTUS 4,013,157 SHARES OF COMMON STOCK OF DARA BIOSCIENCES, INC. This prospectus relates to the resale, from time to time, of up to 4,013,157 shares of our common stock, par value $0.01 per share, by the selling stockholder identified in this prospectus under “Selling Stockholder.” We are not selling any shares of our common stock u |
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| April 9, 2013 |
DARA BIOSCIENCES, INC. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 April 9, 2013 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Jeffrey P. Riedler Re: DARA BioSciences, Inc. Registration Statement on Form S-3 File No. 333-186557 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amended, registrant DARA BioScien |
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| April 3, 2013 |
April 3, 2013 Via E-mail David J. Drutz, M.D. Chief Executive Officer DARA Biosciences, Inc. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 Re: DARA Biosciences, Inc. Post-Effective Amendment No. 3 to Registration Statement on Form S-1 Filed March 28, 2013 File No. 333-165884 Dear Dr. Drutz: We have limited our review of your registration statement to those issues we have addressed in our commen |
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| April 3, 2013 |
DARA BIOSCIENCES, INC. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 April 3, 2013 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Jeffrey P. Riedler Re: DARA BioSciences, Inc. Registration Statement on Form S-1 File No. 333-186557 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amended, registrant DARA BioScien |
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| April 3, 2013 |
DARA BIOSCIENCES, INC. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 April 3, 2013 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Jeffrey P. Riedler Re: DARA BioSciences, Inc. Registration Statement on Form S-1 File No. 333-186557 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amended, registrant DARA BioScien |
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| April 3, 2013 |
April 3, 2013 Via E-mail David J. Drutz, M.D. Chief Executive Officer DARA Biosciences, Inc. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 Re: DARA Biosciences, Inc. Post-Effective Amendment No. 1 to Registration Statement on Form S-1 Filed March 28, 2013 File No. 333-179637 Dear Dr. Drutz: We have limited our review of your registration statement to those issues we have addressed in our commen |
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| April 1, 2013 |
Exhibit 99.1 DARA Reports Year-End 2012 Financial Results -Company provides a commercial portfolio and development pipeline business update- RALEIGH, N.C., April 1, 2013 – DARA BioSciences, Inc. (NASDAQ: DARA), a specialty pharmaceutical company focused on oncology and oncology supportive care products, announced today its financial results for the year ended December 31, 2012 and provided a comme |
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| April 1, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - CURRENT REPORT 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, 2013 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file num |
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| March 28, 2013 |
As Filed With the Securities and Exchange Commission on March 28, 2013 Registration No. |
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| March 28, 2013 |
- PROXY STATEMENT - PRELIMINARY UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant þ Filed by Party other than Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Def |
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| March 28, 2013 |
- POST-EFFECTIVE AMENDMENT NO. 1 As filed with the Securities and Exchange Commission on March 28, 2013 Registration No. |
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| March 28, 2013 |
As filed with the Securities and Exchange Commission on March 28, 2013 Registration No. |
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| March 18, 2013 |
K&L GATES LLP HEARST TOWER 47TH FLOOR 214 NORTH TRYON STREET CHARLOTTE, NC 28202 T 704. |
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| March 12, 2013 |
March 12, 2013 Via E-mail David J. Drutz, M.D. Chief Executive Officer DARA Biosciences, Inc. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 Re: DARA Biosciences, Inc. Registration Statement on Form S-3 Response dated February 27, 2013 File No. 333-186557 Dear Dr. Drutz: We have reviewed your response letter dated February 27, 2013 and have the following comment. Please respond to this letter by |
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| March 5, 2013 |
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 28, 2013 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| March 5, 2013 |
EXHIBIT 10.1 EMPLOYMENT AGREEMENT This Employment Agreement (this “Agreement”) is made as of March 1, 2013 (the “Effective Date”) by and between DARA BioSciences, Inc., a Delaware corporation (the “Company”), and David L. Tousley (the “Executive”). RECITALS A. The Company wishes to hire the Executive and the Executive wishes to be hired by the Company, on the terms and conditions set forth herein. |
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| February 27, 2013 |
February 27, 2013 Mark R. Busch D 704 331 7440 F 704 353 3140 [email protected] U.S. Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 Attention: Karen Ubell Re: DARA Biosciences, Inc. Registration Statement on Form S-3 Filed February 11, 2013 File No. 333-186557 Ladies and Gentlemen: On behalf of DARA Biosciences, Inc. (the “Company”), attached are the Company’s res |
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| February 25, 2013 |
February 25, 2013 Via E-mail David J. Drutz, M.D. Chief Executive Officer DARA Biosciences, Inc. 8601 Six Forks Road, Suite 160 Raleigh, NC 27615 Re: DARA Biosciences, Inc. Registration Statement on Form S-3 Filed February 11, 2013 File No. 333-186557 Dear Dr. Drutz: We have limited our review of your registration statement to the issue we have addressed in our comment below. Please respond to thi |
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| February 11, 2013 |
As Filed With the Securities and Exchange Commission on February 8, 2013 Registration No. |
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| December 31, 2012 |
[The remainder of this page has been intentionally left blank.] EXHIBIT 10.2 December 28, 2012 Mr. David J. Drutz Chief Executive Officer DARA BioSciences, Inc. 8601 Six Forks Road Suite 160 Raleigh, NC 27615 Dear David: This letter (the “Agreement”) constitutes the agreement between Ladenburg Thalmann & Co., Inc. (“Ladenburg” or the “Placement Agent”) and DARA BioSciences, Inc. (the “Company”), that Ladenburg shall serve as the exclusive placement agent for t |
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| December 31, 2012 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-173098 PROSPECTUS SUPPLEMENT (To Prospectus dated April 19, 2011) DARA BIOSCIENCES, INC. 2,550 Shares of Series B-3 Preferred Stock (and 3,355,263 shares of Common Stock underlying the Series B-3 Preferred Stock) We are offering 2,550 shares of Series B-3 Preferred Stock for $1000 per share. Each share of Series B-3 preferred stock is convertib |
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| December 31, 2012 |
[SERIES A/B] COMMON STOCK PURCHASE WARRANT DARA BIOSCIENCES, INC. EXHIBIT 4.3 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE 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 OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| December 31, 2012 |
EXHIBIT 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of December 28, 2012, between DARA BioSciences, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditio |
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| December 31, 2012 |
EX-4.1 2 daraex41.htm CERTIFICATE EXHIBIT 4.1 DARA BIOSCIENCES, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES B-3 CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW The undersigned, David J. Drutz and David Tousley, do hereby certify that: They are the Chief Executive Officer and acting Chief Financial Officer, respectivel |
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| December 31, 2012 |
EXHIBIT 4.2 DARA BIOSCIENCES, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES B-4 CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW The undersigned, David J. Drutz and David Tousley, do hereby certify that: They are the Chief Executive Officer and acting Chief Financial Officer, respectively, of DARA BioSciences, Inc., a De |
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| December 31, 2012 |
Entry into a Material Definitive Agreement - CURRENT REPORT 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 28, 2012 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| December 6, 2012 |
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, 2012 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file |
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| October 2, 2012 |
DC12645.pdf - Converted by SEC Publisher 4.2, created by BCL Technologies Inc., for SEC Filing DARA BIOSCIENCES REGAINS COMPLIANCE WITH NASDAQ $1.00 MINIMUM BID PRICE RULE Company is No Longer Contemplating a Reverse Stock Split RALEIGH, N.C., October 2, 2012 – DARA BioSciences, Inc. (NASDAQ: DARA), a specialty pharmaceutical company focused on oncology and oncology support products (the “Company” |
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| October 2, 2012 |
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): 10/01/2012 DARA BIOSCIENCES, INC. (Exact name of registrant as specified in its charter) Commission File Number: 0-19140 Delaware 04-3216862 (State or other jurisdiction of (IRS Emplo |
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| September 27, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e) |
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| September 27, 2012 |
8-K 1 rrd356993.htm 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): 09/27/2012 DARA BIOSCIENCES, INC. (Exact name of registrant as specified in its charter) Commission File Number: 0-19140 Delaware 04-3216862 (State or other jurisd |
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| September 27, 2012 |
- DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e) |
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| September 20, 2012 |
DARA / DARA Biosciences, Inc. / Honig Barry C Passive Investment SC 13G/A 1 q110075613ga-dara.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* DARA BioSciences, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 23703P106 (CUSIP Number) September 14, 2012 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| September 17, 2012 |
Entry into a Material Definitive Agreement - CURRENT REPORT 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 12, 2012 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission fil |
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| September 14, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant þ Filed by Party other than Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Def |
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| August 21, 2012 |
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): 08/20/2012 DARA BIOSCIENCES, INC. (Exact name of registrant as specified in its charter) Commission File Number: 0-19140 Delaware 04-3216862 (State or other jurisdiction of (IRS Emplo |
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| August 20, 2012 |
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): 08/15/2012 DARA BIOSCIENCES, INC. (Exact name of registrant as specified in its charter) Commission File Number: 0-19140 Delaware 04-3216862 (State or other jurisdiction of (IRS Emplo |
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| July 27, 2012 |
DARA / DARA Biosciences, Inc. / Honig Barry C Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* DARA BioSciences, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 23703P106 (CUSIP Number) December 31, 2011 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fi |
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| July 19, 2012 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant - CURRENT REPORT 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 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file num |
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| July 19, 2012 |
Exhibit 16.1 19 July 2012 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Ladies and Gentlemen: We have read Item 4.01(a) of Form 8-K dated 19 July 2012, of DARA BioSciences, Inc. and are in agreement with the statements contained in the second, third, fourth and fifth paragraphs. We have no basis to agree or disagree with other statements of the registrant contained the |
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| July 19, 2012 |
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 13, 2012 DARA BioSciences, Inc. (Exact name of registrant as specified in charter) Delaware 0-19410 04-3216862 (State or other jurisdiction of incorporation) (Commission file num |
