AN2 Therapeutics Files Amendment No. 1 to Annual Report on Form 10-K

TL;DR

<b>AN2 Therapeutics filed an amendment to its 2023 annual report, providing updated information for its Nasdaq-listed common stock.</b>

AI Summary

AN2 Therapeutics, Inc. (ANTX) filed a Amended Annual Report (10-K/A) with the SEC on May 14, 2024. AN2 Therapeutics, Inc. filed an amendment (10-K/A) to its annual report for the fiscal year ended December 31, 2023. The company is incorporated in Delaware and its principal executive offices are located in Menlo Park, California. AN2 Therapeutics' common stock trades on The Nasdaq Global Select Market under the symbol ANTX. The filing indicates AN2 Therapeutics is a non-accelerated filer, a smaller reporting company, and an emerging growth company. The company has submitted all required reports for the preceding 12 months and has been subject to filing requirements for the past 90 days.

Why It Matters

For investors and stakeholders tracking AN2 Therapeutics, Inc., this filing contains several important signals. This amendment provides updated disclosures and financial information for the fiscal year ending December 31, 2023, which is crucial for investors to assess the company's current financial health and operational status. As a smaller reporting and emerging growth company, these filings are important for understanding AN2 Therapeutics' regulatory standing and its compliance with SEC reporting requirements.

Risk Assessment

Risk Level: low — AN2 Therapeutics, Inc. shows low risk based on this filing. The risk is low as this is an amendment to a routine annual filing, indicating ongoing compliance rather than new adverse events.

Analyst Insight

Investors should review the amendment for any material changes to AN2 Therapeutics' financial position or business operations disclosed since the original 10-K filing.

Key Numbers

• 2023-12-31 — Fiscal Year End (Conformed Period of Report)
• 2024-05-14 — Filing Date (As of Date)
• 001-41331 — SEC File Number (Commission File Number)

Key Players & Entities

• AN2 Therapeutics, Inc. (company) — Registrant
• ANTX (company) — Trading Symbol
• Nasdaq Global Select Market (company) — Exchange
• Delaware (company) — State of Incorporation
• Menlo Park, California (company) — Business Address
• 2023-12-31 (date) — Fiscal Year End
• 2024-05-14 (date) — Filing Date

FAQ

Industry Context

AN2 Therapeutics operates in the pharmaceutical preparations industry, focusing on developing therapies.

Regulatory Implications

The company is subject to the reporting requirements of the Securities Exchange Act of 1934, including filing annual reports (10-K) and amendments.

What Investors Should Do

1. Review the full 10-K/A filing for detailed financial statements and business disclosures.
2. Monitor future SEC filings from AN2 Therapeutics for ongoing updates.
3. Assess the impact of any disclosed changes on the company's stock performance.

Key Dates

• 2023-12-31: Fiscal Year End — Reporting period for the annual report.
• 2024-05-14: Filing Date — Date the amendment was filed with the SEC.

Year-Over-Year Comparison

This is an amendment to the previously filed 10-K for the fiscal year ended December 31, 2023. Specific changes are detailed within the amendment document.

Key Financial Figures

• $0 — 0,375 shares of common stock, par value $0.00001, outstanding. DOCUMENTS INCORPO

Filing Documents

• antx-20231231.htm (10-K/A) — 99KB
• antx-ex31_1.htm (EX-31.1) — 15KB
• antx-ex31_2.htm (EX-31.2) — 15KB
• 0000950170-24-059488.txt (&nbsp;) — 1584KB
• antx-20231231.xsd (EX-101.SCH) — 917KB
• antx-20231231_htm.xml (XML) — 9KB

From the Filing

10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 (Mark One) ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2023 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 001-41331 AN2 Therapeutics, Inc. (Exact name of Registrant as specified in its Charter) Delaware 82-0606654 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 1800 El Camino Real , Suite D Menlo Park , California 94027 (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: ( 650 ) 331-9090 Securities registered pursuant to Section 12(b) of the Act: Title of each class Trading Symbol(s) Name of each exchange on which registered Common Stock ANTX The Nasdaq Global Select Market Securities registered pursuant to Section 12(g) of the Act: None Indicate by check mark if the Registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes No Indicate by check mark if the Registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act. Yes No Indicate by check mark whether the Registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes No Indicate by check mark whether the Registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (232.405 of this chapter) during the preceding 12 months (or for such shorter period that the Registrant was required to submit such files). Yes No Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of "large accelerated filer," "accelerated filer," "smaller reporting company," and "emerging growth company" in Rule 12b-2 of the Exchange Act. Large accelerated filer Accelerated filer Non-accelerated filer Smaller reporting company Emerging growth company If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report. If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correction of an error to previously issued financial statements. Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the registrant's executive officers during the relevant recovery period pursuant to 240.10D-1(b). Indicate by check mark whether the Registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes No The aggregate market value of the voting and non-voting common equity held by non-affiliates of the Registrant, based on the closing price of the shares of common stock on the Nasdaq Global Select Market on June 30, 2023, was $ 108,668,174 . The number of shares of Registrant's Common Stock outstanding as of March 22, 2024 was 29,770,375 shares of common stock, par value $0.00001, outstanding. DOCUMENTS INCORPORATED BY REFERENCE Portions of the Registrant's definitive proxy statement for its 2024 annual meeting of stockholders are incorporated by reference in Item 5 of Part II and Items 10, 11, 12, 13 and 14 of Part III. EXPLANATORY NOTE AN2 Therapeutics, Inc. (the "Company") is filing this Amendment No. 1 on Form 10-K/A (this "Amendment") to its Annual Report on Form 10-K for the fiscal year ended December 31, 2023 (the "Original Filing"), which was originally filed with the Securities and Exchange Commission on March 29, 2024, solely for the purpose of filing revised versions of Exhibits 31.1 and 31.2 filed with the Original Filing. Revised Exhibits 31.1 and 31.2 include the following certification language that was inadvertently omitted from such exhibits when originally filed: (i) the introductory language in paragraph 4 that refers

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