Cti Biopharma Corp – ‘S-3MEF’ on 10/22/97

As of:  Wednesday, 10/22/97   ·   Effective:  10/22/97   ·   Accession #:  898430-97-4404   ·   File #s:  333-36603, 333-38431

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Registration of Additional Securities   —   Form S-3
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: S-3MEF      Registration of Additional Securities                  5     21K 
 2: EX-5.1      Opinion of Davis Wright Tremaine LLP                   2      9K 
 3: EX-23.1     Consent of Ernst & Young LLP                           1      6K 
 4: EX-23.3     Consent of Foley & Lardner                             1      5K 

S-3MEF   —   Registration of Additional Securities

S-3MEF
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AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON OCTOBER 22, 1997
                                               REGISTRATION NO. 333-
================================================================================

SECURITIES AND EXCHANGE COMMISSION  
WASHINGTON, D.C. 20549  

--------------- 
FORM S-3  
REGISTRATION STATEMENT  
UNDER 
THE SECURITIES ACT OF 1933  

--------------- 
CELL THERAPEUTICS, INC. 
(EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)  

--------------- 
WASHINGTON                   2384                    91-1533912 
(STATE OR OTHER     (PRIMARY STANDARD INDUSTRIAL     (I.R.S. EMPLOYER 
   JURISDICTION       CLASSIFICATION CODE NUMBER)    IDENTIFICATION NO.)
OF INCORPORATION OR                                                       
ORGANIZATION)                                                       

--------------- 
201 ELLIOTT AVENUE WEST, SUITE 400  
SEATTLE, WASHINGTON 98119 
(206) 282-7100  
(ADDRESS, INCLUDING ZIP CODE, AND TELEPHONE NUMBER, INCLUDING AREA CODE, OF 
REGISTRANT'S PRINCIPAL EXECUTIVE OFFICES) 

--------------- 
JAMES A. BIANCO 
PRESIDENT AND CHIEF EXECUTIVE OFFICER 
CELL THERAPEUTICS, INC. 
201 ELLIOTT AVENUE WEST, SUITE 400  
SEATTLE, WASHINGTON 98119 
(206) 282-7100  
(NAME, ADDRESS, INCLUDING ZIP CODE, AND TELEPHONE NUMBER, INCLUDING AREA CODE,  
OF AGENT FOR SERVICE OF PROCESS)  

--------------- 
COPIES TO:  
MICHAEL J. KENNEDY                       MARK B. WEEKS        
MICHAEL S. DORF                        CRAIG E. SHERMAN     
BROBECK, PHLEGER & HARRISON LLP                VENTURE LAW GROUP            
SPEAR STREET TOWER, ONE MARKET           A PROFESSIONAL CORPORATION       
SAN FRANCISCO, CALIFORNIA 94105               2800 SAND HILL ROAD           
(415) 442-0900                      MENLO PARK, CA 94025  
                                  (650) 854-4488

--------------- 
APPROXIMATE DATE OF COMMENCEMENT OF PROPOSED SALE TO THE PUBLIC: As soon as 
practicable after this Registration Statement becomes effective.                
If the only securities being registered on this Form are being offered      
pursuant to dividend or interest reinvestment plans, please check the           
following box. [_]                                                              
If any of the securities being registered on this Form are to be offered on 
a delayed or continuous basis pursuant to Rule 415 under the Securities Act of  
1933, other than securities offered only in connection with dividend or         
interest reinvestment plans, check the following box. [_]                       
If this Form is filed to register additional securities for an offering     
pursuant to Rule 462(b) under the Securities Act, please check the following    
box and list the Securities Act registration statement number of the earlier    
effective registration statement for the same offering. [X] 333-36603           
If this Form is a post-effective amendment filed pursuant to Rule 462(c)    
under the Securities Act, check the following box and list the Securities Act   
registration statement number of the earlier effective registration statement   
for the same offering. [_]                                                      
If delivery of the prospectus is expected to be made pursuant to Rule 434,  
please check the following box. [_]                                             

--------------- 
CALCULATION OF REGISTRATION FEE 

                                                        [Enlarge/Download Table]

===========================================================================================================
                                                                 PROPOSED        PROPOSED                  
                                                                 MAXIMUM         MAXIMUM        AMOUNT OF  
          TITLE OF EACH CLASS OF             AMOUNT TO        OFFERING PRICE     AGGREGATE     REGISTRATION
        SECURITIES TO BE REGISTERED      BE REGISTERED(1)(2)   PER SHARE(3)   OFFERING PRICE(3)   FEE(4)   
-----------------------------------------------------------------------------------------------------------
                                                                                                           
Common Stock, no par value (including                                                                      
 associated Preferred Stock Purchase                                                                       
 Rights)..................................    345,000 shares     $16.00         $5,520,000        $1,673   
===========================================================================================================

(1) Includes 45,000 shares which the Underwriters have the option to purchase   
solely to cover over-allotments, if any.                                
(2) Does not include 2,300,000 shares of Common Stock previously registered for 
which the registration fee has previously been paid.                    
(3) The proposed maximum offering price per share and the proposed maximum      
 aggregate offering price are based on the proposed offering price for the
shares of the Company's Common Stock offered hereby.                    
(4) Calculated pursuant to Rule 457(a).                                         
================================================================================

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INCORPORATION OF CERTAIN INFORMATION BY REFERENCE 

  This Registration Statement filed under the Securities Act of 1933, as
amended, by Cell Therapeutics, Inc. (the "Company") with the Securities and     
Exchange Commission (the "Commission") hereby incorporates by reference the     
contents of the Registration Statement on Form S-3 (File No. 333-36603) relating
to the offering of up to 2,300,000 Shares of Common Stock of the Company filed  
on September 26, 1997.                                                          
CERTIFICATION 

     The Company hereby certifies to the Commission that it has instructed its
bank to pay the Commission the filing fee of $1,673 for the additional          
securities being registered hereby as soon as practicable (but in any event no  
later than the close of business on October 22, 1997); that it will not revoke  
such instructions; that it has sufficient funds in the relevant account to cover
the amount of the filing fee; and that it undertakes to confirm receipt of such 
instructions by the bank on October 22, 1997.                                   

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SIGNATURES  

PURSUANT TO THE REQUIREMENTS OF THE SECURITIES ACT OF 1933, AS AMENDED, THE 
REGISTRANT CERTIFIES THAT IT HAS REASONABLE GROUNDS TO BELIEVE THAT IT MEETS ALL
OF THE REQUIREMENTS FOR FILING ON FORM S-3 AND HAS DULY CAUSED THIS REGISTRATION
STATEMENT TO BE SIGNED ON ITS BEHALF BY THE UNDERSIGNED, THEREUNTO DULY         
AUTHORIZED, IN THE CITY OF NEW YORK, STATE OF NEW YORK, ON OCTOBER 22, 1997.    

                           Cell Therapeutics, Inc.

                                 By: /s/ JAMES A. BIANCO, M.D.
                                             ---------------------------------
                                         JAMES A. BIANCO, M.D.
                                         PRESIDENT AND CHIEF EXECUTIVE
                                         OFFICER

PURSUANT TO THE REQUIREMENTS OF THE SECURITIES ACT OF 1933, AS AMENDED, THIS
REGISTRATION STATEMENT HAS BEEN SIGNED BY THE FOLLOWING PERSONS IN THE          
CAPACITIES AND ON THE DATES INDICATED.                                          

     SIGNATURE                   TITLE                    DATE
     ---------                   -----                    ----

    /s/ MAX E. LINK, PH.D.          Chairman of the           October 22, 1997
----------------------------------    Board and Director                        
MAX E. LINK, PH.D.                                            

   /s/ JAMES A. BIANCO, M.D.        President, Chief          October 22, 1997
----------------------------------    Executive Officer                         
JAMES A. BIANCO, M.D.         and Director                      

      /s/ LOUIS A. BIANCO           Executive Vice            October 22, 1997
----------------------------------    President, Finance                        
LOUIS A. BIANCO            and Administration             
      (Principal
             Financial Officer
         and Principal
               Accounting Officer)

   /s/ JACK W. SINGER, M.D.         Director                  October 22, 1997
----------------------------------                                              
JACK W. SINGER, M.D.                                            

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   SIGNATURE                  TITLE                   DATE
   ---------                  -----                   ----

                                    Director            October   , 1997
-----------------------------------                                             
JACK L. BOWMAN                                            

/s/ JEREMY L. CURNOCK COOK           Director            October 22, 1997 
-----------------------------------                                             
JEREMY L. CURNOCK COOK                                            

/s/ WILFRED E. JAEGER, M.D.          Director            October 22, 1997 
-----------------------------------                                             
WILFRED E. JAEGER, M.D.                                           

                                    Director            October   , 1997
-----------------------------------                                             
TERRENCE M. MORRIS                                            

/s/ MARY O'NEIL MUNDINGER, D.P.H.       Director            October 22, 1997    
-----------------------------------                                             
MARY O'NEIL MUNDINGER, D.P.H.                                           

                                    Director            October   , 1997
-----------------------------------                                             
PHILLIP M. NUDELMAN, PH.D.                                            

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EXHIBIT INDEX 

                                                                [Download Table]

EXHIBIT                                                                      
 NUMBER                               DESCRIPTION                            
-------                               -----------                            
                                                                             
 1.1+    Form of Underwriting Agreement between UBS Securities LLC,          
         NationsBanc Montgomery Securities, Inc., Raymond James & Associates,
          Inc., and the Registrant.                                          
 5.1     Opinion of Davis Wright Tremaine LLP.                               
23.1     Consent of Ernst & Young LLP, independent auditors.                 
23.2     Consent of Davis Wright Tremaine LLP (included in its opinion filed 
          as Exhibit 5.1).                                                   
23.3     Consent of Foley & Lardner.                                         

--------                                                                        
+  Incorporated by reference to the Company's Registration Statement on Form  
S-3 (No. 333-36603) filed on September 26, 1997.                        

Dates Referenced Herein   and   Documents Incorporated by Reference

				Referenced-On Page
This ‘S-3MEF’ Filing		Date		First		Last			Other Filings
Filed on / Effective on:		10/22/97		1		4			424B4
		9/26/97		2		5
									List all Filings

21 Subsequent Filings that Reference this Filing

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

 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA
 6/26/23  Cti Biopharma Corp.               POS AM                 1:50K                                    Donnelley … Solutions/FA