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Delaware
(State or other jurisdiction of
incorporation or organization) |
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13-4365359
(I.R.S. Employer
Identification No.) |
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Large accelerated filer
☐
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Accelerated filer
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Non-accelerated filer
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Smaller reporting company
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Emerging growth company
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Page
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Prospectus
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Assumed public offering price per share
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| | | | | | | | | $ | 2.33 | | |
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Net tangible book value per share at September 30, 2022
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| | | $ | 1.64 | | | | | | | | |
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Increase in net tangible book value per share attributable to new investors purchasing shares in this offering
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| | | $ | 0.26 | | | | | | | | |
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As adjusted net tangible book value per share as of September 30, 2022, after giving effect to this offering
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| | | | | | | | | $ | 1.90 | | |
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Dilution per share to new investors purchasing shares in this offering
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| | | | | | | | | $ | 0.43 | | |
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Cantor
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B. Riley Securities
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SEC registration fee
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| | | $ | 22,040 | | |
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FINRA filing fee
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| | | $ | 30,500 | | |
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Fees and expenses of the trustee
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| | | $ | (1) | | |
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Printing expenses
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| | | $ | (1) | | |
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Legal fees and expenses
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| | | $ | (1) | | |
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Accounting fees and expenses
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| | | $ | (1) | | |
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Blue Sky, qualification fees and expenses
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| | | $ | (1) | | |
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Transfer agent fees and expenses
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| | | $ | (1) | | |
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Miscellaneous
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| | | $ | (1) | | |
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Total
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| | | $ | (1) | | |
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Exhibit
Number |
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Exhibit Description
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| 1.1* | | | Form of Underwriting Agreement. | |
| 1.2 | | | | |
| 3.1 | | | | |
| 3.2 | | | | |
| 4.1 | | | | |
| 4.2* | | | Form of Preferred Stock Certificate. | |
| 4.3* | | | Certificate of Designations of Preferred Stock. | |
| 4.4 | | | | |
| 4.5* | | | Form of Debt Security. | |
| 4.6* | | | Form of Warrant. | |
| 4.7* | | | Form of Purchase Contract Agreement. | |
| 4.8* | | | Form of Unit Agreement. | |
| 4.9* | | | Form of Unit. | |
| 4.10* | | | Form of Subscription Rights Agreement. | |
| 5.1 | | | | |
| 23.1 | | | | |
| 23.2 | | | | |
| 24.1 | | | | |
| 25.1** | | |
Statement of Eligibility on Form T-1 under the Trust Indenture Act of 1939, as amended, of the trustee, as trustee under the indenture filed herewith.
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| 107 | | | |
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Signature
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Title
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Date
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/s/ Lisa Ricciardi
Lisa Ricciardi
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Chief Executive Officer, President and Director(Principal Executive Officer)
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December 23, 2022
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/s/ Andrew Einhorn
Andrew Einhorn
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Interim Chief Financial Officer(Principal Financial and Accounting Officer)
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December 23, 2022
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/s/ Jack A. Khattar
Jack A. Khattar
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Director (Chairman of the Board)
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December 23, 2022
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/s/ Aaron G. L. Fletcher, Ph.D.
Aaron G. L. Fletcher, Ph.D.
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Director
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December 23, 2022
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/s/ Brett P. Monia, Ph.D.
Brett P. Monia, Ph.D.
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Director
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December 23, 2022
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/s/ Ellen B. Richstone
Ellen B. Richstone
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Director
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December 23, 2022
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/s/ Peggy Wallace
Peggy Wallace
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Director
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December 23, 2022
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