SEC Info℠ | Home | Search | My Interests | Help | Sign In | Please Sign In | ||||||||||||||||||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/31/22 Addex Therapeutics Ltd. POS AM 4:1.3M Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: POS AM Post-Effective Amendment of a Registration HTML 382K Statement 2: EX-23.3 Consent of Expert or Counsel HTML 5K 3: EX-23.4 Consent of Expert or Counsel HTML 5K 4: EX-FILING FEES Filing Fees HTML 21K
tm2210362-1_posam - none - 12.187562s |
|
Switzerland
|
| |
2834
|
| |
Not Applicable
|
|
|
(State or other jurisdiction of
incorporation or organization) |
| |
(Primary Standard Industrial
Classification Code Number) |
| |
(I.R.S. Employer
Identification Number) |
|
| | |
Frank Gerhard
Homburger AG Prime Tower Hardstrasse 201 CH-8005 Zürich, Switzerland +41 43 222 10 00 |
| | |
| | |
Page
|
| |||
| | | | ii | | | |
| | | | iii | | | |
| | | | 1 | | | |
| | | | 7 | | | |
| | | | 9 | | | |
| | | | 19 | | | |
| | | | 21 | | | |
| | | | 22 | | | |
| | | | 23 | | | |
| | | | 24 | | | |
| | | | 26 | | | |
| | | | 32 | | | |
| | | | 43 | | | |
| | | | 45 | | | |
| | | | 47 | | | |
| | | | 47 | | | |
| | | | 47 | | | |
| | | | 47 | | | |
| | | | 49 | | | |
| | | | 50 | | |
CHF in thousands
|
| | | ||||
Cash and cash equivalents
|
| | | | 20,485 | | |
Shareholders’ equity | | | | | | | |
Share capital
|
| | | | 49,273 | | |
Share premium
|
| | | | 283,981 | | |
Treasury shares reserve
|
| | | | (11,703) | | |
Other reserves
|
| | | | 24,438 | | |
Accumulated deficit
|
| | | | (329,058) | | |
Total shareholders’ equity, net
|
| | | | 16,931 | | |
Total capitalization
|
| | | | 16,931 | | |
| | |
Shares
Beneficially Owned Prior to Offering(1) |
| |
Maximum
Number of Shares to be Sold Pursuant to this Prospectus |
| |
Shares Owned
Immediately After Sale of Maximum Number of Shares in this Offering(2) |
| |||||||||||||||||||||
Name of Selling shareholder
|
| |
Number
|
| |
Percentage
|
| |
Number
|
| |
Percentage
|
| ||||||||||||||||||
Armistice Capital Master Fund Ltd.(3)
|
| | | | 18,117,870 | | | | | | 34.44% | | | | | | 14,709,342 | | | | | | — | | | | | | — | | |
Number of shares
|
| | | ||||
1 to 100 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
|
| | | | 227 | | |
101 to 1,000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
|
| | | | 895 | | |
1,001 to 10,000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
|
| | | | 1,065 | | |
10,001 to 100,000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
|
| | | | 184 | | |
100,001 to 1,000,000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
|
| | | | 12 | | |
1,000,001 to 10,000,000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
|
| | | | 5 | | |
Above 10,000,000
|
| | | | 1 | | |
Shareholder structure according to category of investors
(weighted by number of shares) |
| | | | | | |
Private persons
|
| | | | 16.35% | | |
Institutional shareholders
|
| | | | 65,52% | | |
Non identified
|
| | | | 18.13% | | |
Shareholder structure by country
(weighted by number of shares) |
| | | | | | |
United States
|
| | | | 19.77% | | |
Switzerland
|
| | | | 61.92% | | |
Other
|
| | | | 0.18% | | |
Non identified
|
| | | | 18.13% | | |
Nominal share capital
|
| | | |
| |
CHF 32,848,635
|
| |
| |
CHF 32,848,635
|
| |
| |
CHF 49,272,952
|
| |
| |
CHF 65,272,952
|
| |
Conditional share capital | | | | |
| |
CHF 16,424,317
|
| |
| |
CHF 16,424,317
|
| |
| |
CHF 24,636,476
|
| |
| |
CHF 24,636,476
|
|
Authorized share capital
|
| | | |
| |
CHF 16,424,317
|
| |
| |
CHF 16,424,317
|
| |
| |
CHF 24,636,476
|
| |
| |
CHF 8,636,476
|
|
|
Service
|
| |
Fee
|
|
|
•
Issuance of ADSs (e.g., an issuance of ADS upon a deposit of shares, upon a change in the ADS(s)-to- shares ratio, or for any other reason), excluding ADS issuances as a result of distributions of shares
|
| | Up to U.S. 5¢ per ADS issued | |
|
•
Cancellation of ADSs (e.g., a cancellation of ADSs for delivery of deposited property, upon a change in the ADS(s)-to-shares ratio, or for any other reason)
|
| | Up to U.S. 5¢ per ADS cancelled | |
|
•
Distribution of cash dividends or other cash distributions (e.g., upon a sale of rights and other entitlements)
|
| | Up to U.S. 5¢ per ADS held | |
|
•
Distribution of ADSs pursuant to (i) stock dividends or other free stock distributions, or (i) exercise of rights to purchase additional ADSs
|
| | Up to U.S. 5¢ per ADS held | |
|
•
Distribution of securities other than ADSs or rights to purchase additional ADSs (e.g., upon a spin-off)
|
| | Up to U.S. 5¢ per ADS held | |
|
•
ADS Services
|
| | Up to U.S. 5¢ per ADS held on the applicable record date(s) established by the depositary | |
|
•
Registration of ADS transfers (e.g., upon a registration of the transfer of registered ownership of ADSs, upon a transfer of ADSs into DTC and vice versa, or for any other reason)
|
| | Up to U.S. 5¢ per ADS (or fraction thereof) transferred | |
|
•
Conversion of ADSs of one series for ADSs of another series (e.g., upon conversion of Partial Entitlement ADSs for Full Entitlement ADSs, or upon conversion of Restricted ADSs (each as defined in the Deposit Agreement) into freely transferable ADSs, and vice versa).
|
| | Up to U.S. 5¢ per ADS (or fraction thereof) converted | |
| | | | | | | | |
Variable compensation
|
| | | | | | | |||||||||||||||
2021
|
| |
Fixed
|
| |
cash
attendance |
| |
number of
equity incentive units |
| |
value of
equity incentive units |
| |
Total
2021 |
| |||||||||||||||
CHF
|
| |
cash
compensation |
| |||||||||||||||||||||||||||
Vincent Lawton, chairman
|
| | | | 26,590 | | | | | | 26,590 | | | | | | 70,000 | | | | | | 54,129 | | | | |
|
107,309
|
| |
Raymond Hill, member
|
| | | | 15,954 | | | | | | 15,954 | | | | | | 40,000 | | | | | | 30,931 | | | | |
|
62,839
|
| |
Tim Dyer, member
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | |
|
—
|
| |
Roger Mills, member
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | |
|
—
|
| |
Jake Nunn, member
|
| | | | 13,295 | | | | | | 13,295 | | | | | | 30,000 | | | | | | 23,198 | | | | |
|
49,788
|
| |
Isaac Manke, member
|
| | | | 13,295 | | | | | | 13,295 | | | | | | 30,000 | | | | | | 23,198 | | | | |
|
49,788
|
| |
Total | | | | | 69,134 | | | | | | 69,134 | | | | | | 170,000 | | | | | | 131,456 | | | | | | 269,724 | | |
| | | | | | | | |
Variable compensation
|
| | | | | | | |||||||||||||||
2021
|
| |
Fixed
|
| | | | | | | |
number of
equity incentive units |
| |
value of
share |
| |
Total
2021 |
| ||||||||||||
CHF
|
| |
cash
compensation |
| | | | | | | |||||||||||||||||||||
Total Executive Management(1)
|
| | | | 1,082,184 | | | | | | 414,313 | | | | | | 1,410,638 | | | | | | 1,157,969 | | | | | | 2,654,466 | | |
|
SEC registration fee
|
| | | $ | 1,420 | | |
|
FINRA filing fee
|
| | | | 2,300 | | |
|
Printing
|
| | | | 48,000 | | |
|
Legal fees and expenses
|
| | | | 142,483 | | |
|
Accounting fees and expenses
|
| | | | 54,000 | | |
|
Miscellaneous fees
|
| | | | 60,368 | | |
|
Total
|
| | | $ | 308,515 | | |
|
Exhibit
|
| |
Description
|
|
| 23.2* | | | | |
| 23.3** | | | | |
| 23.4** | | | | |
| 24.1* | | | | |
| 107** | | | |
| | | | ADDEX THERAPEUTICS LTD. | | |||
| | | | By: | | |
/s/ Tim Dyer
Tim Dyer
Chief Executive Officer |
|
|
Signature
|
| |
Title
|
| |
Date
|
|
|
/s/ Tim Dyer
|
| |
Chief Executive Officer
(Principal Executive Officer) and Director |
| | | |
|
/s/ Lénaic Teyssédou
|
| |
Head of Finance
(Principal Financial and Accounting Officer) |
| | | |
|
*
Vincent Lawton
|
| | Director | | | | |
|
*
Ray Hill
|
| | Director | | | | |
|
*
Isaac Manke
|
| | Director | | | | |
|
*
Roger Mills
|
| | Director | | | | |
|
*
Jake Nunn
|
| | Director | | | |
|
SIGNATURE
|
| |
TITLE
|
| |
DATE
|
| |||
| *By: | | |
/s/ Tim Dyer
Tim Dyer
Attorney-in-Fact |
| | Chief Executive Officer and Director | | | | |
| | | | | | | | | | | |
| | | | Addex Pharmaceuticals Inc. | | |||
| | | | By: | | |
/s/ Tim Dyer
Tim Dyer
Chief Executive Officer |
|
This ‘POS AM’ Filing | Date | Other Filings | ||
---|---|---|---|---|
12/21/27 | ||||
12/31/25 | ||||
6/16/23 | ||||
3/21/23 | ||||
12/31/22 | ||||
6/9/22 | ||||
Filed on: | 3/31/22 | 6-K | ||
3/29/22 | CORRESP, POS AM | |||
3/10/22 | 20-F, 6-K | |||
2/28/22 | ||||
2/2/22 | ||||
1/18/22 | 424B3, EFFECT | |||
12/31/21 | 20-F | |||
12/21/21 | D | |||
12/16/21 | ||||
6/19/21 | ||||
6/16/21 | ||||
4/23/21 | ||||
1/8/21 | 424B4 | |||
12/31/20 | 20-F | |||
6/9/20 | ||||
1/29/20 | ||||
12/31/19 | 20-F, UPLOAD | |||
6/19/19 | ||||
5/17/19 | ||||
12/31/18 | ||||
3/29/18 | ||||
3/28/18 | ||||
5/21/07 | ||||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 8/24/22 Addex Therapeutics Ltd. POS AM 4:1.1M Toppan Merrill/FA |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/10/22 Addex Therapeutics Ltd. 20-F 12/31/21 113:13M Toppan Merrill/FA 2/03/22 Addex Therapeutics Ltd. 6-K 2/03/22 2:15K Globenewswire Inc./FA 1/07/22 Addex Therapeutics Ltd. F-1 4:1.2M Toppan Merrill/FA 12/20/21 Addex Therapeutics Ltd. 6-K 12/17/21 6:650K Toppan Merrill/FA 6/30/21 Addex Therapeutics Ltd. 6-K 6/29/21 3:299K Toppan Merrill/FA 3/11/21 Addex Therapeutics Ltd. 20-F 12/31/20 109:12M Toppan Merrill-FA 12/14/20 Addex Therapeutics Ltd. F-1 6:4.7M Toppan Merrill-FA 1/14/20 Addex Therapeutics Ltd. 8-A12B 1:24K Toppan Merrill/FA 1/14/20 Addex Therapeutics Ltd. F-1/A 4:3.9M Toppan Merrill-FA 12/18/19 Citibank, N.A./ADR F-6 3:513K Addex Therapeutics Ltd. E-Data Systems, Inc./FA 12/17/19 Addex Therapeutics Ltd. F-1 10:5.9M Toppan Merrill-FA |