<SEC-DOCUMENT>0001144204-14-051872.txt : 20140821
<SEC-HEADER>0001144204-14-051872.hdr.sgml : 20140821
<ACCEPTANCE-DATETIME>20140821152055
ACCESSION NUMBER:		0001144204-14-051872
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20140818
ITEM INFORMATION:		Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
FILED AS OF DATE:		20140821
DATE AS OF CHANGE:		20140821

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			AmpliPhi Biosciences Corp
		CENTRAL INDEX KEY:			0000921114
		STANDARD INDUSTRIAL CLASSIFICATION:	BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
		IRS NUMBER:				911549568
		STATE OF INCORPORATION:			WA
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-23930
		FILM NUMBER:		141057513

	BUSINESS ADDRESS:	
		STREET 1:		4870 SADLER ROAD
		STREET 2:		SUITE 300
		CITY:			GLEN ALLEN
		STATE:			VA
		ZIP:			23060
		BUSINESS PHONE:		650-888-2422

	MAIL ADDRESS:	
		STREET 1:		4870 SADLER ROAD
		STREET 2:		SUITE 300
		CITY:			GLEN ALLEN
		STATE:			VA
		ZIP:			23060

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	TARGETED GENETICS CORP /WA/
		DATE OF NAME CHANGE:	19940331
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>v387508_8k.htm
<DESCRIPTION>8-K
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<P STYLE="margin: 0">&nbsp;</P>

<P STYLE="margin: 0"></P>

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<P STYLE="font: 18pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>Washington, D.C. 20549 </B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; text-align: center; margin-bottom: 0pt">&nbsp;</P>

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<P STYLE="font: 18pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>Form 8-K </B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; text-align: center; margin-bottom: 0pt">&nbsp;</P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><FONT STYLE="font-size: 12pt"><B>Current
Report</B></FONT></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B></B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>&nbsp;</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>Pursuant to Section&nbsp;13 or 15(d)
of the </B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>Securities Exchange Act of 1934 </B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>Date of report (Date of earliest event
reported): August 18, 2014</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; text-align: center; margin-bottom: 0pt">&nbsp;</P>

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<P STYLE="font: 24pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>AMPLIPHI BIOSCIENCES CORPORATION </B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>(Exact name of Registrant as specified
in its charter) </B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center">&nbsp;</P>

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    <TD STYLE="vertical-align: top; padding: 0; text-align: center; font-size: 10pt"><font style="font: 10pt Times New Roman, Times, Serif"><b>Washington</b></font></td>
    <TD STYLE="vertical-align: bottom; padding: 0; font-size: 10pt; text-align: center">&nbsp;</td>
    <TD STYLE="vertical-align: top; padding: 0; text-align: center; font-size: 10pt"><font style="font: 10pt Times New Roman, Times, Serif"><b>000-23930</b></font></td>
    <TD STYLE="vertical-align: bottom; padding: 0; font-size: 10pt; text-align: center">&nbsp;</td>
    <TD STYLE="vertical-align: top; padding: 0; text-align: center; font-size: 10pt"><font style="font: 10pt Times New Roman, Times, Serif"><b>91-1549568</b></font></td></tr>
<TR>
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        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><b>(State or other jurisdiction of</b></P>
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><b>incorporation or organization)</b></P>
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center">&nbsp;</P></td>
    <TD STYLE="vertical-align: bottom; padding: 0; font-size: 10pt; text-align: center">&nbsp;</td>
    <TD STYLE="vertical-align: top; padding: 0; text-align: center">
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><b>(Commission</b></P>
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><b>File Number)</b></P>
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center">&nbsp;</P></td>
    <TD STYLE="vertical-align: bottom; padding: 0; font-size: 10pt; text-align: center">&nbsp;</td>
    <TD STYLE="vertical-align: top; padding: 0; text-align: center">
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><b>(I.R.S. Employer</b></P>
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><b>Identification No.)</b></P>
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center">&nbsp;</P></td></tr>
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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>4870 Sadler Road, Suite 300</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>Glen Allen, Virginia 23060</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>(Address of principal executive offices)
(Zip code) </B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>(804) 205-5069</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>(Registrant&rsquo;s telephone number,
including area code)</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>&nbsp;</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B></B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt; text-align: center"><B>(Former name or former address, if changed
since last report) </B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; text-align: center; margin-bottom: 0pt">&nbsp;</P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-indent: 0.5in">&nbsp;</P>

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    <td style="padding-bottom: 10pt; font-size: 10pt"><font style="font: 10pt Times New Roman, Times, Serif">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </font></td></tr>
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    <td style="padding-bottom: 10pt; font-size: 10pt"><font style="font: 10pt Times New Roman, Times, Serif">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) </font></td></tr>
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    <td style="padding-bottom: 10pt; font-size: 10pt"><font style="font: 10pt Times New Roman, Times, Serif">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) </font></td></tr>
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    <td>
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">Pre-commencement communications pursuant to Rule 13e-4(c) under
        the Exchange Act (17 CFR 240.13e-4(c))</P>
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>




</td></tr>
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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>&nbsp;</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>&nbsp;</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B></B></P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>&nbsp;</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>Item 4.02 Non-Reliance on Previously Issued Financial Statements
or a Related Audit Report or Completed Interim Review.</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>&nbsp;</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">(a) On August 18, 2014, the Audit Committee of AmpliPhi Biosciences
Corporation (the &ldquo;Company&rdquo;) determined, after consultation between Company management and the Company&rsquo;s independent
auditors, PBMares, LLP, that the Company&rsquo;s financial statements for the fiscal periods ended September 30, 2013, December
31, 2013 and March 31, 2014 should be restated.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">Pursuant to discussions with the staff of the Division of Corporation
Finance of the Securities and Exchange Commission (the &ldquo;Staff&rdquo;), the Audit Committee concluded that it should restate
its financial statements for the year ended December 31, 2013 to reflect that the dividend clause with respect to the Company&rsquo;s
Series B Preferred Stock should be bifurcated as a compound derivative. In its restated financial statements, the Company will
update its valuation of the preferred shares and compound derivative to reflect these features and the fact that no beneficial
conversion feature should have been recognized.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">Additionally, after using a Monte-Carlo simulation model to
value the compound derivative, the Company has determined, after consultation with PBMares, LLP, that it will restate its financial
statements for the periods ended September 30, 2013, December 31, 2013 and March 31, 2014 to reflect such valuation in its derivative
preferred shares conversion liability, derivative warrants liability, additional paid-in capital and accumulated deficit.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><I>&nbsp;</I></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">Based on the recommendation of management and after discussions
with the Company&rsquo;s independent auditors, the Audit Committee determined that the financial statements for the periods ended
September 30, 2013, December 31, 2013 and March 31, 2014, including those contained in the Company&rsquo;s Registration Statement
on Form 10 and Registration Statement on Form S-1, both as amended, should no longer be relied upon.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><I>&nbsp;</I></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">The non-cash adjustments to the financial statements, as of
September 30, 2013, December 31, 2013 and March 31, 2014, do not impact the amounts previously reported for the Company&rsquo;s
cash and cash equivalents, operating expenses, or total operating, investing or financing cash flows.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">In addition, for the period ended December 31, 2011, the Audit
Committee, after consultation with PBMares, LLP, has determined that certain assets included as in-process research and development
related to the Company&rsquo;s acquisition of Biocontrol Limited should be reclassified as separate assets. Such reclassification
will not have an impact on total assets for any periods previously reported. Additionally, the Audit Committee has concluded that
the Company should recognize amortization of the patents for the periods ended December 31, 2011, 2012 and 2013.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0"><B>Cautionary Note Regarding Forward-Looking Statements:</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">This Current Report on Form 8-K contains forward-looking statements
within the meaning of the Private Securities Litigation Reform Act of 1995 that are subject to the safe harbor created by such
Act. Forward-looking statements include, among others, statements about the Company&rsquo;s plans to restate its financial statements,
the timing of such restatement and amendments and the restatement&rsquo;s effect on prior financial statements. These statements
are often, but not always, made through the use of words or phrases such as &ldquo;may,&rdquo; &ldquo;anticipate,&rdquo; &ldquo;estimate,&rdquo;
&ldquo;plan,&rdquo; &ldquo;project,&rdquo; &ldquo;continuing,&rdquo; &ldquo;ongoing,&rdquo; &ldquo;expect,&rdquo; &ldquo;believe,&rdquo;
&ldquo;intend,&rdquo; &ldquo;predict,&rdquo; &ldquo;potential,&rdquo; &ldquo;opportunity&rdquo; and similar words or phrases or
the negatives of these words or phrases. These statements involve risks, estimates, assumptions and uncertainties that could cause
actual results to differ materially from those expressed in these statements, including, among others: the timing and nature of
the final resolution of the accounting issues discussed in this Current Report on Form 8-K; any delay in the filing of required
periodic reports with the SEC; the timing and results of the review of the effectiveness of internal control over financial reporting
(and related internal controls) and disclosure controls and procedures; whether the review is expanded to additional matters beyond
internal controls and disclosure controls and procedures; changes in the ranges of estimates and adjustments in this Current Report
on Form 8-K due to the audit of the Company&rsquo;s annual financial statements; whether a restatement of financial results will
be required for other accounting issues for the same or other periods in addition to the restatement currently expected by management;
additional uncertainties related to accounting issues generally; adverse effects on the Company&rsquo;s business as a result of
the restatement process or the review of the effectiveness of internal control over financial reporting and disclosure controls
and procedures, or increased regulatory, media or financial reporting issues and practices, rumors or otherwise; any adverse developments
in existing legal proceedings or the initiation of new legal proceedings; and volatility of the Company&rsquo;s stock price. In
addition, please refer to the risk factors contained in the Company&rsquo;s SEC filings available at www.sec.gov. Because the risks,
estimates, assumptions and uncertainties referred to above could cause actual results or outcomes to differ materially from those
expressed in any forward-looking statements, you should not place undue reliance on any forward-looking statements. Any forward
looking statement speaks only as of the date hereof, and, except as required by law, the Company undertakes no obligation to update
any forward-looking statement to reflect events or circumstances after the date hereof.</P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>SIGNATURES</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>&nbsp;</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-indent: 24.5pt">Pursuant to the requirements of the Securities
Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-indent: 0.5in">&nbsp;</P>

<table cellspacing="0" cellpadding="0" style="font: 10pt Times New Roman, Times, Serif; width: 100%">
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    <TD STYLE="width: 46%; padding: 0; text-indent: 0">&nbsp;</td>
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    <TD STYLE="width: 6%; padding: 0; text-indent: 0">&nbsp;</td>
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    <TD STYLE="width: 1%; padding: 0; text-indent: 0">&nbsp;</td>
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    <TD STYLE="width: 44%; padding: 0; text-indent: 0">&nbsp;</td></tr>
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    <TD STYLE="vertical-align: top; padding: 0; text-indent: 0">&nbsp;</td>
    <TD STYLE="vertical-align: bottom; padding: 0; font-size: 10pt; text-indent: 0">&nbsp;</td>
    <TD STYLE="vertical-align: bottom; padding: 0; text-indent: 0">&nbsp;</td>
    <TD STYLE="vertical-align: bottom; padding: 0; font-size: 10pt; text-indent: 0">&nbsp;</td>
    <TD COLSPAN="3" STYLE="vertical-align: bottom; padding: 0; font-size: 10pt; text-indent: 0"><font style="font: 10pt Times New Roman, Times, Serif"><b>AmpliPhi Biosciences Corporation</b></font></td></tr>
<tr>
    <TD STYLE="padding: 0; text-indent: 0">&nbsp;</td>
    <TD COLSPAN="2" STYLE="padding: 0; text-indent: 0">&nbsp;</td>
    <TD COLSPAN="2" STYLE="padding: 0; text-indent: 0">&nbsp;</td>
    <TD COLSPAN="2" STYLE="padding: 0; text-indent: 0">&nbsp;</td></tr>
<tr>
    <TD STYLE="vertical-align: top; padding: 0; font-size: 10pt; text-indent: 0"><font style="font: 10pt Times New Roman, Times, Serif">Date: August 21, 2014</font></td>
    <TD STYLE="vertical-align: bottom; padding: 0; font-size: 10pt; text-indent: 0">&nbsp;</td>
    <TD STYLE="vertical-align: bottom; padding: 0; text-indent: 0">&nbsp;</td>
    <TD STYLE="vertical-align: bottom; padding: 0; font-size: 10pt; text-indent: 0">&nbsp;</td>
    <TD STYLE="vertical-align: bottom; padding: 0; font-size: 10pt; text-indent: 0"><font style="font: 10pt Times New Roman, Times, Serif">By:</font></td>
    <TD STYLE="vertical-align: bottom; padding: 0; font-size: 10pt; text-indent: 0">&nbsp;</td>
    <TD STYLE="text-align: left; padding: 0; text-indent: 0; vertical-align: bottom">
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; border-bottom: black 0.75pt solid">/s/ David E. Bosher&nbsp;</P></td></tr>
<tr>
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        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;David E. Bosher</P>
        <P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0">&nbsp;Chief Financial Officer</P></td></tr>
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