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Citibank, N.A./ADR – ‘F-6’ on 12/18/19 re: Addex Therapeutics Ltd.

On:  Wednesday, 12/18/19, at 11:08am ET   ·   Accession #:  1193805-19-1947   ·   File #:  333-235561

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/18/19  Citibank, N.A./ADR                F-6                    3:513K Addex Therapeutics Ltd.           E-Data Systems, Inc./FA

Registration of Depositary Shares Evidenced by American Depositary Receipts – Not Effective Immediately   —   Form F-6
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: F-6         Registration of Depositary Shares Evidenced by      HTML     36K 
                American Depositary Receipts - Not Effective                     
                Immediately                                                      
 2: EX-99.(A)   Miscellaneous Exhibit                               HTML    319K 
 3: EX-99.(D)   Miscellaneous Exhibit                               HTML     10K 


‘F-6’   —   Registration of Depositary Shares Evidenced by American Depositary Receipts – Not Effective Immediately


This is an HTML Document rendered as filed.  [ Alternative Formats ]



 

As filed with the Securities and Exchange Commission on December 18, 2019 

Registration No. 333  -   

 

 

 

SECURITIES AND EXCHANGE COMMISSION 

Washington, D.C. 20549

________________________________

 

FORM F-6

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933 FOR AMERICAN DEPOSITARY SHARES EVIDENCED BY 

AMERICAN DEPOSITARY RECEIPTS

________________

 

Addex Therapeutics Ltd 

(Exact name of issuer of deposited securities as specified in its charter)

________________

 

N/A 

(Translation of issuer’s name into English)

________________

 

Switzerland 

(Jurisdiction of incorporation or organization of issuer)

________________________________

 

CITIBANK, N.A. 

(Exact name of depositary as specified in its charter)

________________

 

388 Greenwich Street

New York, New York 10013

(877) 248-4237 

(Address, including zip code, and telephone number, including area code, of depositary’s principal executive offices)

________________

 

Addex Pharmaceuticals Inc.

650 California Street

San Francisco, CA 94108

Tel: +1 415 429 2591 

(Address, including zip code, and telephone number, including area code, of agent for service)

________________________________

 

Copies to:

 

Marc Recht, Esq.

Joshua A. Kaufman, Esq.

Cooley LLP

55 Hudson Yards

New York, New York 10001

(212) 479-6000

Herman H. Raspé, Esq.

Patterson Belknap Webb & Tyler LLP
1133 Avenue of the Americas
New York, New York 10036
(212) 336-2301

 

________________________________

 

It is proposed that this filing become effective under Rule 466: immediately upon filing.  
  on (Date) at (Time).  

  

If a separate registration statement has been filed to register the deposited shares, check the following box: ☒

________________________________

 

CALCULATION OF REGISTRATION FEE

Title of Each Class of
Securities to be Registered
Amount to be
Registered

Proposed Maximum

Aggregate Price Per Unit*

Proposed Maximum

Aggregate Offering Price**

Amount of

Registration Fee

American Depositary Shares (ADS(s)), each ADS representing the right to receive six (6) shares of Addex Therapeutics Ltd (the “Company”)

100,000,000 ADSs $5.00 $5,000,000 $649.00
 

*

Each unit represents 100 ADSs.

**

Estimated solely for the purpose of calculating the registration fee. Pursuant to Rule 457(k), such estimate is computed on the basis of the maximum aggregate fees or charges to be imposed in connection with the issuance of ADSs. 

 

 

The Registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the Registrant shall file a further amendment which specifically states that this Registration Statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933, or until this Registration Statement shall become effective on such date as the Commission, acting pursuant to said Section 8(a), may determine.

 

 C: 

 

This Registration Statement may be executed in any number of counterparts, each of which shall be deemed an original, and all of such counterparts together shall constitute one and the same instrument.

 

 C: 

 C: ii

 

PART I

 

INFORMATION REQUIRED IN PROSPECTUS

 

Cross Reference Sheet

 

Item 1.DESCRIPTION OF SECURITIES TO BE REGISTERED

 

Item Number and Caption

 

Location in Form of American

Depositary Receipt (“Receipt”)
Filed Herewith as Prospectus

     
1. Name of Depositary and address of its principal executive office   Face of Receipt -  Introductory Article.
       
2. Title of Receipts and identity of deposited securities   Face of Receipt  - Top Center.
         
  Terms of Deposit:    
       
  (i) The amount of deposited securities represented by one American Depositary Share ("ADSs")   Face of Receipt  - Upper right corner.
         
  (ii) The procedure for voting, if any, the deposited securities   Reverse of Receipt  - Paragraphs (17)
and (18).
         
  (iii) The collection and distribution of dividends   Reverse of Receipt - Paragraph (15).
         
  (iv) The transmission of notices, reports and proxy soliciting material   Face of Receipt  - Paragraph (14);
Reverse of Receipt - Paragraph (18).
         
  (v) The sale or exercise of rights  

Reverse of Receipt – Paragraphs (15) and (17).

         
  (vi) The deposit or sale of securities resulting from dividends, splits or plans of reorganization  

Face of Receipt - Paragraphs (3) and (6);

Reverse of Receipt - Paragraphs (15) and (17).

         
  (vii) Amendment, extension or termination of the deposit agreement   Reverse of Receipt - Paragraphs (23) and (24) (no provision for extensions).
         
  (viii) Rights of holders of Receipts to inspect the transfer books of the Depositary and the list of holders of ADSs   Face of Receipt - Paragraph (14).
         
  (ix) Restrictions upon the right to deposit or withdraw the underlying securities

  Face of Receipt – Paragraphs (2), (3), (4), (6), (7), (9) and (10).

  

 C: 

I- C: 1

  

Item Number and Caption

 

Location in Form of American

Depositary Receipt (“Receipt”)
Filed Herewith as Prospectus 

         
  (x) Limitation upon the liability of the Depositary  

Face of Receipt - Paragraph (8);

Reverse of Receipt - Paragraphs (20) and (21).

         
3.     Fees and charges which may be imposed directly or indirectly on holders of ADSs   Face of Receipt - Paragraph (11).
         
Item 2.            AVAILABLE INFORMATION   Face of Receipt - Paragraph (13).

 

The Company is subject to the periodic reporting requirements of the United States Securities Exchange Act of 1934, as amended, and, accordingly, files certain reports with, and submits certain reports to, the United States Securities and Exchange Commission (the “Commission”). These reports can be retrieved from the Commission’s internet website (www.sec.gov).

  

 C: 

I-2

 

PROSPECTUS

 

The Prospectus consists of the proposed form of American Depositary Receipt included as Exhibit A to the Form of Deposit Agreement filed as Exhibit (a) to this Registration Statement on Form F-6 and is incorporated herein by reference.

 

 C: 

I-3

 

PART II

 

INFORMATION NOT REQUIRED IN PROSPECTUS

 

Item 3.EXHIBITS

 

(a)Form of Deposit Agreement, by and among Addex Therapeutics Ltd (the “Company”), Citibank, N.A., as depositary (the “Depositary”), and all Holders and Beneficial Owners of American Depositary Shares issued thereunder (“Deposit Agreement”). ___ Filed herewith as Exhibit (a).

 

(b)Any other agreement to which the Depositary is a party relating to the issuance of the American Depositary Shares registered hereunder or the custody of the deposited securities represented thereby. ___ None.

 

(c)Every material contract relating to the deposited securities between the Depositary and the issuer of the deposited securities in effect at any time within the last three years. ___ None.

 

(d)Opinion of counsel for the Depositary as to the legality of the securities to be registered. ___ Filed herewith as Exhibit (d).

 

(e)Certificate under Rule 466. ___ None.

 

(f)Powers of Attorney for certain officers and directors and the authorized representative of the Company. ___ Set forth on the signature pages hereto.

  

 C: 

II-1

 

Item 4.UNDERTAKINGS

 

(a)The Depositary undertakes to make available at the principal office of the Depositary in the United States, for inspection by holders of ADSs, any reports and communications received from the issuer of the deposited securities which are both (1) received by the Depositary as the holder of the deposited securities, and (2) made generally available to the holders of the underlying securities by the issuer.

 

(b)If the amount of fees charged is not disclosed in the prospectus, the Depositary undertakes to prepare a separate document stating the amount of any fee charged and describing the service for which it is charged and to deliver promptly a copy of such fee schedule without charge to anyone upon request. The Depositary undertakes to notify each registered holder of an ADS thirty (30) days before any change in the fee schedule.

  

 C: 

II-2

 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, as amended, Citibank, N.A., acting solely on behalf of the legal entity to be created by the Deposit Agreement, by and among Addex Therapeutics Ltd, Citibank, N.A., as depositary, and all Holders and Beneficial Owners from time to time of American Depositary Shares to be issued thereunder, certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on the 17th day of December, 2019.

  

 

Legal entity created by the Deposit Agreement under which the American Depositary Shares registered hereunder are to be issued, each American Depositary Share representing the right to receive six (6) shares of Addex Therapeutics Ltd.

 

CITIBANK, N.A., solely in its capacity as Depositary 

     
  By: /s/ Leslie A. DeLuca
    Name: Leslie A. DeLuca
    Title:   Attorney-in-Fact

 

 C: 

II-3

 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, as amended, Addex Therapeutics Ltd certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned thereunto duly authorized, in Geneva, Switzerland, on December 17, 2019.

 

 

Addex Therapeutics Ltd

     
  By: /s/ Tim Dyer
    Name: Tim Dyer
    Title:   Chief Executive Officer

 

 C: 

II-4

 

POWERS OF ATTORNEY

 

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints each of Tim Dyer and Lénaic Teyssédou to act as his true and lawful attorney-in-fact and agent, with full power of substitution, for him and in his name, place and stead, in any and all such capacities, to sign any and all amendments, including post-effective amendments, and supplements to this Registration Statement, and to file the same, with all exhibits thereto and other documents in connection therewith, with the United States Securities and Exchange Commission, granting unto said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agent, or his substitute or substitutes, may lawfully do or cause to be done by virtue hereof.

 

Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement on Form F-6 has been signed by the following persons in the following capacities on December 17, 2019.

 

Signature   Title
     

/s/ Tim Dyer

 

Chief Executive Officer and Director

Tim Dyer    (Principal Executive Officer)
     

/s/ Lénaic Teyssédou

 

Head of Finance (Principal Financial Officer and

Lénaic Teyssédou   Principal Accounting Officer)
     

/s/ Vincent Lawton

 

Chairman of the Board of Directors

Vincent Lawton    
     

/s/ Ray Hill

 

Director

Ray Hill    
     

/s/ Isaac Manke

 

Director

Isaac Manke    
     

/s/ Roger Mills

 

Director

Roger Mills    
     

 

 C: 

II-5

 

 

/s/ Jake Nunn

 

Director

Jake Nunn    

 

 

 C: 

II-6

 

 

SIGNATURE OF AUTHORIZED REPRESENTATIVE OF THE REGISTRANT IN THE UNITED STATES

 

Pursuant to the Securities Act of 1933, as amended, the undersigned, the duly authorized representative in the United States of Addex Therapeutics Ltd has signed this registration statement or amendment thereto in Geneva, Switzerland on December 17, 2019.

  

Addex Pharmaceuticals Inc.

 
     
By:  /s/ Tim Dyer  
  Name: Tim Dyer  
  Title: Chief Executive Officer

 

 

II-7

 

Index to Exhibits

 

Exhibit Document

Sequentially

Numbered Page

     
(a) Form of Deposit Agreement  
     
(d) Opinion of counsel to the Depositary  
     
     
     
     

 

 

 

 


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘F-6’ Filing    Date    Other Filings
Filed on:12/18/19F-6
12/17/19DRS,  DRS/A,  F-1,  F-6
 List all Filings 


15 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

11/29/23  Addex Therapeutics Ltd.           POS AM                 2:542K                                   Toppan Merrill/FA
 8/10/23  Addex Therapeutics Ltd.           POS AM                 5:1.5M                                   Toppan Merrill/FA
 6/01/23  Addex Therapeutics Ltd.           F-1/A                  3:720K                                   Toppan Merrill/FA
 5/11/23  Addex Therapeutics Ltd.           F-1/A                  2:574K                                   Toppan Merrill/FA
 5/03/23  Addex Therapeutics Ltd.           F-1                    4:638K                                   Toppan Merrill/FA
 3/30/23  Addex Therapeutics Ltd.           20-F       12/31/22  114:14M                                    Toppan Merrill/FA
 8/24/22  Addex Therapeutics Ltd.           POS AM                 4:1.1M                                   Toppan Merrill/FA
 8/19/22  Addex Therapeutics Ltd.           F-1                    8:1.3M                                   Toppan Merrill/FA
 3/31/22  Addex Therapeutics Ltd.           POS AM                 4:1.3M                                   Toppan Merrill/FA
 3/10/22  Addex Therapeutics Ltd.           20-F       12/31/21  113:13M                                    Toppan Merrill/FA
 1/07/22  Addex Therapeutics Ltd.           F-1                    4:1.2M                                   Toppan Merrill/FA
 4/07/21  Addex Therapeutics Ltd.           F-3                    4:753K                                   Toppan Merrill-FA
 3/11/21  Addex Therapeutics Ltd.           20-F       12/31/20  109:12M                                    Toppan Merrill-FA
 1/06/21  Addex Therapeutics Ltd.           F-1/A                  3:4.8M                                   Toppan Merrill-FA
12/14/20  Addex Therapeutics Ltd.           F-1                    6:4.7M                                   Toppan Merrill-FA
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