|
Delaware
(State or other jurisdiction of
incorporation or organization) |
| |
26-1870780
(I.R.S. Employer
Identification No.) |
|
| Large accelerated filer | | | ☒ | | | Accelerated filer | | | ☐ | |
| Non-accelerated filer | | | ☐ | | | Smaller reporting company | | | ☐ | |
| | | | | | | Emerging growth company | | | ☐ | |
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Title of Each Class of Securities
to be Registered |
| | |
Amount to be
Registered |
| | |
Proposed Maximum
Offering Price Per Unit |
| | |
Proposed Maximum
Aggregate Offering Price(1) |
| | |
Amount of
Registration Fee(3) |
|
Primary Offering of Securities: | | | | | | | | | | | | | | | | | |
Common Stock, $0.001 par value
|
| | |
(1)
|
| | |
(2)
|
| | |
(1)
|
| | |
(3)
|
|
Preferred Stock, $0.001 par value
|
| | |
(1)
|
| | |
(2)
|
| | |
(1)
|
| | |
(3)
|
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Debt Securities
|
| | |
(1)
|
| | |
(2)
|
| | |
(1)
|
| | |
(3)
|
|
Warrants(4) | | | |
(1)
|
| | |
(2)
|
| | |
(1)
|
| | |
(3)
|
|
Units(5) | | | |
(1)
|
| | |
(2)
|
| | |
(1)
|
| | |
(3)
|
|
Subtotal
|
| | |
(1)
|
| | |
(2)
|
| | |
(1)
|
| | |
(3)
|
|
Primary Offering of Securities: | | | | | | | | | | | | | | | | | |
Common Stock, $0.001 par value
|
| | |
$250,000,000
|
| | | | | | |
$250,000,000
|
| | |
$27,275
|
|
Total
|
| | |
(1)
|
| | |
(2)
|
| | |
(1)
|
| | |
(3)
|
|
| | |
Page
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| | | | 21 | | | |
| | | | 22 | | | |
| | | | 25 | | | |
| | | | 28 | | | |
| | | | 28 | | | |
| | | | 28 | | | |
| | | | 28 | | |
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Page
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Prospectus | | | |||||
| | | | 1 | | | |
| | | | 2 | | | |
| | | | 4 | | | |
| | | | 5 | | | |
| | | | 7 | | | |
| | | | 9 | | | |
| | | | 10 | | | |
| | | | 12 | | | |
| | | | 16 | | | |
| | | | 17 | | | |
| | | | 17 | | | |
| | | | 17 | | | |
| | | | 17 | | |
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Assumed public offering price per share
|
| | | | | | | | | $ | 15.39 | | |
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Historical net tangible book value per share as of June 30, 2021
|
| | | $ | (10.77) | | | | | | | | |
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Increase in net tangible book value per share attributable to the offering
|
| | | | 9.36 | | | | | | | | |
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As adjusted net tangible book value per share after giving effect to this offering
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| | | | | | | | | | (1.40) | | |
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Dilution in net tangible book value per share to investors participating in this offering
|
| | | | | | | | | $ | 16.79 | | |
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Securities and Exchange Commission registration fee
|
| | | $ | * | | |
|
FINRA filing fee
|
| | | $ | 225,500 | | |
|
Legal fees and expenses
|
| | | | ** | | |
|
Accounting fees and expenses
|
| | | | ** | | |
|
Printing fees and expenses
|
| | | | ** | | |
|
Transfer agent and trustee fees
|
| | | | ** | | |
|
Miscellaneous
|
| | | | ** | | |
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Total
|
| | | $ | ** | | |
|
Exhibit
No. |
| |
Exhibit Index
|
|
| 1.1* | | | Form of Underwriting Agreement | |
| 1.2 | | | | |
| 3.1 | | | | |
| 3.2 | | | | |
| 4.1 | | | | |
| 4.2 | | | | |
| 4.3 | | | | |
| 4.4 | | | | |
| 4.5* | | | Form of Certificate of Designations | |
| 4.6* | | | Form of Warrant Agreements | |
| 4.7* | | | Form of Unit Certificate | |
| 4.8* | | | Form of Unit Agreement | |
| 4.9* | | | Form of Preferred Stock Certificate | |
| 4.10 | | | Reference is made to Exhibits 3.1 and 3.2 | |
| 5.1 | | | | |
| 5.2 | | | | |
| 23.1 | | | | |
| 23.2 | | | | |
| 23.3 | | | |
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Exhibit
No. |
| |
Exhibit Index
|
|
| 24.1 | | | | |
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25.1**
|
| | Form T-1 Statement of Eligibility of Trustee for Senior Indenture under the Trust Indenture Act of 1939 | |
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25.2**
|
| | Form T-1 Statement of Eligibility of Trustee for Subordinated Indenture under the Trust Indenture Act of 1939 | |
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Name
|
| |
Title
|
| |
Date
|
|
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/s/ Sheldon L. Koenig
Sheldon L. Koenig
|
| |
President, Chief Executive Officer and Director
(Principal Executive Officer) |
| |
August 3, 2021
|
|
|
/s/ Richard B. Bartram
Richard B. Bartram
|
| |
Chief Financial Officer
(Principal Financial Officer and Principal Accounting Officer) |
| |
August 3, 2021
|
|
|
/s/ Jeffrey Berkowitz, J.D.
Jeffrey Berkowitz, J.D.
|
| |
Director
|
| |
August 3, 2021
|
|
|
/s/ Alan Fuhrman
Alan Fuhrman
|
| |
Director
|
| |
August 3, 2021
|
|
|
/s/ Antonio M. Gotto, M.D., D.Phil
Antonio M. Gotto, M.D., D.Phil
|
| |
Director
|
| |
August 3, 2021
|
|
|
/s/ Mark E. McGovern, M.D.
Mark E. McGovern, M.D.
|
| |
Director
|
| |
August 3, 2021
|
|
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Name
|
| |
Title
|
| |
Date
|
|
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/s/ Jay Shepard
Jay Shepard
|
| |
Director
|
| |
August 3, 2021
|
|
|
/s/ Nicole Vitullo
Nicole Vitullo
|
| |
Director
|
| |
August 3, 2021
|
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/s/ Tracy M. Woody
Tracy M. Woody
|
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Director
|
| |
August 3, 2021
|
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