Item 2.01 Completion of Acquisition or Disposition of Assets.
The disclosures under the Introductory Note and Item 3.01 are incorporated
herein by reference.
Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing.
The disclosures under the Introductory Note are incorporated herein by
reference.
--------------------------------------------------------------------------------
On December 27, 2021, Dicerna (i) notified the Nasdaq Stock Market LLC
("Nasdaq") of the consummation of the Merger and (ii) requested that Nasdaq
(A) suspend trading of the Shares effective before the opening of trading on
December 28, 2021 and (B) file with the SEC a Form 25 Notification of Removal
from Listing and/or Registration to delist and deregister the Shares under
Section 12(b) of the Securities Exchange Act of 1934, as amended (the "Exchange
Act"). As a result, the Shares will no longer be listed on Nasdaq. Dicerna
intends to file with the SEC a certification on Form 15 under the Exchange Act,
requesting the suspension of Dicerna's reporting obligations under Sections 13
and 15(d) of the Exchange Act.
Item 3.03 Material Modification to Rights of Security Holders.
The disclosures under the Introductory Note, Item 3.01, Item 5.01 and Item 5.03
are incorporated herein by reference.
Item 5.01 Changes in Control of Registrant.
The disclosures under the Introductory Note, Item 3.01, Item 5.02 and Item 5.03
are incorporated herein by reference.
As a result of the consummation of the Offer and the Merger, there was a change
in control of Dicerna, and Novo, as the indirect parent of Purchaser, acquired
control of Dicerna. To the knowledge of Dicerna, there are no arrangements which
may at a subsequent date result in a further change in control of Dicerna.
Item 5.02 Departure of Directors or Certain Officers; Election of Directors;
Appointment of Certain Officers; Compensatory Arrangements of Certain
Officers.
Pursuant to the Merger Agreement, as of the Effective Time, the directors and
officers of Purchaser immediately prior to the Effective Time became the
directors and officers of the Surviving Corporation. As of the Effective Time,
Douglas M. Fambrough, III, Ph.D., J. Kevin Buchi, Stephen Doberstein, Ph.D.,
Martin Freed, M.D., Patrick Gray, Stephen J. Hoffman, M.D., Ph.D., Adam M.
Koppel, M.D., Ph.D., Marc Kozin and Cynthia Smith each ceased to be directors of
Dicerna and members of any committee of Dicerna's board of directors. These
departures were not a result of any disagreement between Dicerna and the
directors on any matter relating to Dicerna's operations, policies or practices.
The directors of Purchaser immediately prior to the Effective Time were Jamie
Haney, Ulrich Christian Otte and Thomas Haagen. The executive officer of
Purchaser immediately prior to the Effective Time was Ulrich Christian Otte,
President. Effective as of the Effective Time, Bob D. Brown, our Chief
Scientific Officer and Senior Vice President, will be appointed to serve as
President of the Company. Information regarding the new directors and executive
officers has been previously disclosed in Schedule A of the Offer to Purchase
filed as Exhibit (a)(1)(A) to the Tender Offer Statement on Schedule TO filed by
Novo and Purchaser with the SEC on November 24, 2021, as subsequently amended,
which is incorporated herein by reference.
Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change of Fiscal
Year.
Pursuant to the terms of the Merger Agreement, as of the Effective Time,
Dicerna's certificate of incorporation, as in effect immediately prior to the
Effective Time, was amended and restated in its entirety (the "Second Amended
and Restated Certificate of Incorporation"). In addition, pursuant to the terms
of the Merger Agreement, at the Effective Time, Dicerna's by-laws, as in effect
immediately prior to the Effective Time, were amended and restated in their
entirety (the "Second Amended and Restated By-Laws").
Copies of the Second Amended and Restated Certificate of Incorporation and the
Second Amended and Restated By-Laws are filed as Exhibits 3.1 and 3.2,
respectively, to this Current Report on Form 8-K, and are incorporated herein by
reference.
Item 8.01 Other Events.
On December 28, 2021, Dicerna issued a press release announcing the expiration
and results of the Offer. The full text of the press release issued by Dicerna
is attached as Exhibit 99.1 and is incorporated herein by reference.
--------------------------------------------------------------------------------
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
Exhibit
Number Description
2.1 Agreement and Plan of Merger, dated November 17, 2021, by and among
Dicerna Pharmaceuticals, Inc., Novo Nordisk A/S, and NNUS New
Research, Inc. (incorporated by reference to Exhibit 2.1 to Dicerna's
Current Report on Form 8-K filed with the SEC on November 18, 2021).*
3.1 Second Amended and Restated Certificate of Incorporation, dated
December 28, 2021.
3.2 Second Amended and Restated By-Laws, dated December 28, 2021.
99.1 Press release by Dicerna, dated December 28, 2021.
* Schedules to the Agreement and Plan of Merger have been omitted pursuant to
Item 601(b)(2) of Regulation S-K. The registrant will furnish copies of any
such schedules to the U.S. Securities and Exchange Commission upon request.
--------------------------------------------------------------------------------
© Edgar Online, source Glimpses