UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 12b-25 |
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NOTIFICATION OF LATE FILING |
(Check one): | þ Form 10-K ◻ Form 20-F ◻ Form 11-K ◻ Form 10-Q ◻ Form 10-D ◻ Form N-SAR |
| ◻ Form N-CSR |
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| For Period Ended: December 31, 2021 |
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| ◻ Transition Report on Form 10-K |
| ◻ Transition Report on Form 20-F |
| ◻ Transition Report on Form 11-K |
| ◻ Transition Report on Form 10-Q |
| ◻ Transition Report on Form N-SAR |
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| For the Transition Period Ended: ______________________________ |
Read Instruction (on back page) Before Preparing Form. Please Print or Type. |
Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
If the notification relates to a portion of the filing checked above, identify the Item(s) to which the notification relates:
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PART I — REGISTRANT INFORMATION
ReShape Lifesciences Inc. |
Full Name of Registrant
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Former Name if Applicable
1001 Calle Amanecer |
Address of Principal Executive Office (Street and Number)
San Clemente, California 92673 |
City, State and Zip Code
PART II — RULES 12b-25(b) AND (c)
If the subject report could not be filed without unreasonable effort or expense and the registrant seeks relief pursuant to Rule 12b-25(b), the following should be completed. (Check box if appropriate)
| (a) The reason described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense; |
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þ | (b) The subject annual report, semi-annual report, transition report on Form 10-K, Form 20-F, Form 11-K, Form N-SAR or Form N-CSR, or portion thereof, will be filed on or before the fifteenth calendar day following the prescribed due date; or the subject quarterly report or transition report on Form 10-Q or subject distribution report on Form 10-D, or portion thereof, will be filed on or before the fifth calendar day following the prescribed due date; and (c) The accountant’s statement or other exhibit required by Rule 12b-25(c) has been attached if applicable. |
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PART III — NARRATIVE
State below in reasonable detail why Forms 10-K, 20-F, 11-K, 10-Q, 10-D, N-SAR, N-CSR, or the transition report or portion thereof, could not be filed within the prescribed time period. (Attach Extra Sheets if Needed)
ReShape Lifesciences Inc. (the “Registrant”) is unable, without unreasonable effort or expense, to file its Form 10-K for the year ended December 31, 2021 (the “Form 10-K”) within the prescribed time period as it requires additional time to complete certain tax analyses related to the Registrant’s merger with Obalon Therapeutics, Inc. in June 2021, which is required in connection with its audit for the year ended December 31, 2021. The Registrant currently anticipates that it will file the Form 10-K within the additional time provided by Rule 12b-25 of the Securities Exchange Act of 1934, as amended.
Cautionary Statement Regarding Forward-Looking Statements
This document contains forward-looking statements, which are based on the Registrant’s current expectations, estimates, and projections about the Registrant’s and its subsidiaries’ businesses and prospects, as well as management’s beliefs, and certain assumptions made by management. Words such as “anticipates,” “expects,” “intends,” “plans,” “believes,” “seeks,” “estimates,” “may,” “should,” “will” and variations of these words are intended to identify forward-looking statements. Such statements speak only as of the date hereof and are subject to change. The Registrant undertakes no obligation to revise or update publicly any forward-looking statements for any reason. These statements include, but are not limited to, statements about the anticipated timing of the filing of the Registrant’s Form 10-K for the year ended December 31, 2021, and the Registrant’s anticipated financial results for such period. Such statements are subject to certain risks, uncertainties, and assumptions that are difficult to predict. Accordingly, actual results could differ materially and adversely from those expressed in any forward-looking statements as a result of various factors. Important factors that may cause such differences include, but are not limited to, those risks and uncertainties disclosed under the sections entitled “Risk Factors” and “Management’s Discussion and Analysis of Financial Condition and Results of Operations” in the Registrant’s most recent Form 10-K filed with the Securities and Exchange Commission (“SEC”), and similar disclosures in subsequent reports filed with the SEC.
PART IV — OTHER INFORMATION
(1) Name and telephone number of person to contact in regard to this notification
Tom Stankovich | | (949) | | 429-6680 |
(Name) | | (Area Code) | | (Telephone Number) |
(2) Have all other periodic reports required under Section 13 or 15(d) of the Securities Exchange Act of 1934 or Section 30 of the Investment Company Act of 1940 during the preceding 12 months or for such shorter period that the registrant was required to file such report(s) been filed? If answer is no, identify report(s). Yes þ No ◻
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(3) Is it anticipated that any significant change in results of operations from the corresponding period for the last fiscal year will be reflected by the earnings statements to be included in the subject report or portion thereof? Yes þ No ◻
If so, attach an explanation of the anticipated change, both narratively and quantitatively, and, if appropriate, state the reasons why a reasonable estimate of the results cannot be made.
The Registrant expects to report financial results consistent with its published guidance of March 28, 2022. The financial results presented on March 28, 2022 constitute forward-looking statements of the Registrant’s results of operations as of the date of this filing. The Registrant’s independent registered public accounting firm has not audited, and does not express an opinion with respect to, this preliminary data.
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| ReShape Lifesciences Inc. | |
(Name of Registrant as Specified in Charter)
has caused this notification to be signed on its behalf by the undersigned hereunto duly authorized.
Date | March 31, 2022 | | By | /s/ Tom Stankovich |
| | | | Tom Stankovich |
| | | | Chief Financial Officer |