As filed with the Securities and Exchange Commission on September 27, 2023.
Registration No. 333- 274656
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-3
(Amendment No. 1)
REGISTRATION STATEMENT UNDER
THE SECURITIES ACT OF 1933
PROMIS NEUROSCIENCES INC.
(Exact name of registrant as specified in its charter)
Ontario, Canada |
| 98-0647155 |
(State or Other Jurisdiction of | (I.R.S. Employer |
Suite 200, 1920 Yonge Street
Toronto, Ontario
M4S 3E2
(416) 847-6898
(Address, Including Zip Code, and Telephone Number, Including Area Code, of Registrant’s Principal Executive Offices)
C T Corporation System
1015 15th Street N.W., Suite 1000
Washington, D.C., 20005
(416) 847-6898
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
Gail Farfel, Ph.D. | Robert E. Puopolo |
Approximate date of commencement of proposed sale to the public: From time to time 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. ☐
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 this Form is a registration statement pursuant to General Instruction I.D. or a post-effective amendment thereto that shall become effective upon filing with the Commission pursuant to Rule 462(e) under the Securities Act, check the following box. ☐
If this Form is a post-effective amendment to a registration statement filed pursuant to General Instruction I.D. filed to register additional securities or additional classes of securities pursuant to Rule 413(b) under the Securities Act, check the following box. ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer | ☐ | Accelerated filer | ☐ |
Non-accelerated filer | ☒ | Smaller reporting company | ☒ |
Emerging growth company | ☒ |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐
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 or until the registration statement shall become effective on such date as the Securities and Exchange Commission, acting pursuant to said Section 8(a), may determine.
Explanatory Note
ProMIS Neurosciences Inc. is hereby filing this Pre-Effective Amendment No. 1 to the Registration Statement on Form S-3 (Registration No. 333-274656), originally filed on September 22, 2023 (the “Registration Statement”), as an exhibit-only filing to file an updated opinion and consent of McMillan LLP, filed herewith as Exhibits 5.1 and 23.2, respectively (the “Opinion and Consent”). Accordingly, this Pre-Effective Amendment No. 1 consists only of the facing page, this explanatory note, Item 16 of Part II of the Registration Statement, the signature pages to the Registration Statement, and the Opinion and Consent filed herewith as Exhibits 5.1 and 23.2. The prospectus and the balance of Part II of the Registration Statement are unchanged and have been omitted.
PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
Item 16. Exhibits.
Exhibit |
| Description of Exhibit |
3.1 | ||
3.1.1 | ||
3.1.2 | ||
3.1.3 | ||
3.1.4 | ||
3.2 | ||
3.3 | ||
4.1 | ||
4.2 | ||
5.1* | ||
23.1** | ||
23.2 | Consent of McMillan LLP (included within Exhibit 5.1 hereto). | |
24.1** | ||
107** |
* | Filed herewith. |
** | Previously filed as an exhibit to the Registration Statement on Form S-3, filed September 22, 2023. |
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all 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 Cambridge, Massachusetts, on September 27, 2023.
| PROMIS NEUROSCIENCES INC. | |
| ||
| By: | /s/ Gail Farfel |
| Name: | Gail Farfel, Ph.D. |
| Title: | Chief Executive Officer |
Pursuant to the requirements of the Securities Act of 1933, this registration statement has been signed by the following persons in the capacities and on the dates indicated.
Signature |
| Title |
| Date | |
| | | | | |
By: | /s/ Gail Farfel | | Director and Chief Executive Officer | | |
| Gail Farfel, Ph.D. | | (Principal Executive Officer) | | September 27, 2023 |
| | | | | |
By: | /s/ * | | Chief Financial Officer | | |
| Daniel Geffken | | (Principal Financial Officer) | | September 27, 2023 |
| | | | | |
By: | /s/ * | | Senior Director of Finance | | |
| Max A. Milbury | | (Principal Accounting Officer) | | September 27, 2023 |
| | | | | |
By: | /s/ * | | | | |
| Eugene Williams | | Chairman | | September 27, 2023 |
| | | | | |
By: | /s/ * | | | | |
| Maggie Shafmaster | | Lead Independent Director | | September 27, 2023 |
| | | | | |
By: | /s/ * | | | | |
| Neil Cashman, M.D. | | Director | | September 27, 2023 |
| | | | | |
By: | /s/ * | | | | |
| William Wyman | | Director | | September 27, 2023 |
| | | | | |
By: | /s/ * | | | | |
| Patrick Kirwin | | Director | | September 27, 2023 |
| | | | | |
By: | /s/ * | | | | |
| Josh Mandel-Brehm | | Director | | September 27, 2023 |
| | | | | |
By: | /s/ * | | | | |
| Neil Warma | | Director | | September 27, 2023 |
| | | | | |
By: | /s/ Gail Farfel | | Authorized Representative in the | | |
| Gail Farfel, Ph.D. | | United States | | September 27, 2023 |
* By: | /s/ Gail Farfel, Ph.D. | | | | |
| Gail Farfel, Ph.D., | | | | |
| attorney-in-fact | | | | |