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Purple Biotech Ltd.

Registration Form Jan 26, 2019

7004_rns_2019-01-26_fff9b1bb-f9f5-4bd4-ae23-1043e6b83b20.pdf

Registration Form

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL

Washington, D.C. 20549

FORM D

OMB Number: 3235-0076 Estimated average burden hours per response 4.00

Notice of Exempt Offering of Securities

1. Issuer's Identity
CIK (Filer ID Number) Previous Names
None
Entity Type
0001614744 Kitov Pharmaceuticals
Holdings Ltd.
Corporation
Limited Partnership
Name of Issuer Mainrom Line Limited Liability Company
General Partnership
Kitov Pharma Ltd. Logistics Ltd. Business Trust
Jurisdiction of Incorporation/Organization
ISRAEL
X Other (Specify)
Limited company
Year of Incorporation/Organization
X Over Five Years Ago
Within Last Five Years (Specify Year)
Yet to Be Formed
2. Principal Place of Business and Contact Information
Name of Issuer
Kitov Pharma Ltd.
Street Address 1 Street Address 2
ONE AZRIELI CENTER ROUND TOWER
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
TEL AVIV ISRAEL 6701101 97239333121
3. Related Persons
Last Name
Israel
First Name
Isaac
Middle Name
Street Address 1 Street Address 2
One Azrieli Center Round Building
City State/Province/Country ZIP/PostalCode
Tel Aviv
Relationship:
X
ISRAEL
Executive Officer
X
Director
Promoter
6701101
Clarification of Response (if Necessary):
Chief Executive Officer and Director of the Issuer
Last Name First Name Middle Name
Waymack John Paul
Street Address 1
One Azrieli Center
Street Address 2
Round Building
City State/Province/Country ZIP/PostalCode
Tel Aviv ISRAEL 6701101
Relationship:
X
Executive Officer
X
Director
Promoter
Clarification of Response (if Necessary):
Chief Medical Officer and Chairman of the Board of Directors of the Issuer
Last Name
Rock
First Name
Simcha
Middle Name
Street Address 1 Street Address 2
One Azrieli Center Round Building
City State/Province/Country ZIP/PostalCode
Tel Aviv
Relationship:
ISRAEL
Executive Officer
X
Director
Promoter
6701101
Clarification of Response (if Necessary):
Director of the Issuer
Last Name
Steinberg
First Name
Steven
Middle Name
Street Address 1
One Azrieli Center
City
Tel Aviv
Relationship:
Executive Officer Street Address 2
Round Building
State/Province/Country
ISRAEL
X
Director
Promoter ZIP/PostalCode
6701101
Clarification of Response (if Necessary):
Independent Director of the Issuer
Last Name First Name Middle Name
Agmon Ido
Street Address 1 Street Address 2
One Azrieli Center
City
Round Building
State/Province/Country
ZIP/PostalCode
Tel Aviv ISRAEL 6701101
Relationship: Executive Officer X
Director
Promoter
Clarification of Response (if Necessary):
Independent Director of the Issuer
Last Name
Weber
First Name
Arye
Middle Name
Street Address 1 Street Address 2
One Azrieli Center Round Building
City State/Province/Country ZIP/PostalCode
Tel Aviv ISRAEL 6701101
Relationship: Executive Officer X
Director
Promoter
Clarification of Response (if Necessary):
Independent Director of the Issuer
Last Name
Tzror
First Name
Ran
Middle Name
Street Address 1 Street Address 2
One Azrieli Center Round Building
City State/Province/Country ZIP/PostalCode
Tel Aviv ISRAEL 6701101
Relationship: Promoter
Executive Officer X
Director
Clarification of Response (if Necessary):
Independent Director of the Issuer
Last Name
Stern-Raff
First Name
Revital
Middle Name
Street Address 1 Street Address 2
One Azrieli Center Round Building
City State/Province/Country ZIP/PostalCode
Tel Aviv
Relationship:
Executive Officer ISRAEL
X
Director
Promoter 6701101
Clarification of Response (if Necessary):
Independent Director of the Issuer
Last Name First Name Middle Name
Ben-Menachem Gil
Street Address 1 Street Address 2
One Azrieli Center Round Building
City
Tel Aviv
State/Province/Country
ISRAEL
ZIP/PostalCode
6701101
Relationship: X
Executive Officer
X
Director
Promoter
Clarification of Response (if Necessary):
Vice President of Business Development and Director of the Issuer
Last Name First Name Middle Name
Reuveni Hadas
Street Address 1 Street Address 2
One Azrieli Center Round Building
City
Tel Aviv
State/Province/Country
ISRAEL
ZIP/PostalCode
6701101

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Efron
Gil
Street Address 1
One Azrieli Center
City
Tel Aviv
ISRAEL
Relationship:
X
Executive Officer
Street Address 2
Round Building
State/Province/Country
Director
Promoter
ZIP/PostalCode
6701101
Clarification of Response (if Necessary):
Deputy CEO and Chief Financial Officer of the Issuer
4. Industry Group
Agriculture
Banking & Financial Services
Commercial Banking
Insurance
Investing
Investment Banking
Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
Yes
No
Other Banking & Financial Services
Business Services
Energy
Coal Mining
Electric Utilities
Energy Conservation
Health Care
Biotechnology
Health Insurance
Hospitals & Physicians
X Pharmaceuticals
Other Health Care
Manufacturing
Real Estate
Commercial
Construction
REITS & Finance
Residential
Other Real Estate
Retailing
Restaurants
Technology
Computers
Telecommunications
Other Technology
Travel
Airlines & Airports
Lodging & Conventions
Tourism & Travel
Services
Other Travel
Other

Founder and Chief Technology Officer of TyrNovo, a subsidiary of the Issuer

5. Issuer Size

Oil & Gas Other Energy

Environmental Services

Revenue Range OR Aggregate Net Asset Value Range
No Revenues No Aggregate Net Asset Value
\$1 - \$1,000,000 \$1 - \$5,000,000
\$1,000,001 - \$5,000,000 \$5,000,001 - \$25,000,000
\$5,000,001 - \$25,000,000 \$25,000,001 - \$50,000,000
\$25,000,001 -
\$100,000,000
\$50,000,001 - \$100,000,000
Over \$100,000,000 Over \$100,000,000
X Decline to Disclose Decline to Disclose
Not Applicable Not Applicable
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
Rule 504(b)(1) (not (i), (ii) or (iii)) X Rule 506(b)
Rule 504 (b)(1)(i) Rule 506(c)
Rule 504 (b)(1)(ii) Securities Act Section 4(a)(5)

Section 3(c)(1) Section 3(c)(9)

Rule 504 (b)(1)(iii) Investment Company Act Section 3(c)

Section 3(c)(2)
Section 3(c)(10)
Section 3(c)(3)
Section 3(c)(11)
Section 3(c)(4)
Section 3(c)(12)
Section 3(c)(5)
Section 3(c)(13)
Section 3(c)(6)
Section 3(c)(14)
Section 3(c)(7)
7. Type of Filing
X New Notice
Date of First Sale 2019-01-18
Amendment
First Sale Yet to Occur
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? Yes
X No
9. Type(s) of Securities Offered (select all that apply)
Equity Pooled Investment Fund Interests
Debt Tenant-in-Common Securities
X Option, Warrant or Other Right to Acquire Another Security Mineral Property Securities
Security to be Acquired Upon Exercise of Option, Warrant or Other (describe)
Other Right to Acquire Security
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a
merger, acquisition
or exchange offer?
Yes
X No
Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor \$ 0 USD
12. Sales Compensation
Recipient Recipient CRD Number
None
H.C. Wainwright & Co., LLC
(Associated) Broker or Dealer
X None
375
(Associated) Broker or Dealer CRD Number
X None
Street Address 1 Street Address 2
430 PARK AVENUE 3RD FLOOR
City
State/Province/Country
ZIP/Postal Code
NEW YORK
NEW YORK
10022
State(s) of Solicitation
All States
Non-US/Foreign
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
X NJ
NM
X NY
NC
ND
OH
OK
OR
PA
RI
SC
SD
TN
TX
UT
VT
VA
WA
WV
WI
WY
PR
13. Offering and Sales Amounts
Total Offering Amount
\$ 6,000,001
USD
or
Indefinite
\$ 6,000,001
Total Amount Sold
USD
Total Remaining to be Sold
\$ 0
USD
or
Indefinite

Clarification of Response (if Necessary):

Represents the aggregate amount received from investors in connection with Issuer's registered offering of ADSs and concurrent private placement of warrants, respectively, which were issued jointly to investors for a single purchase price.

14. Investors
Select if securities in the offering have been or may be sold to persons who do not qualify as
accredited investors, and enter the number of such non-accredited investors who already have
invested in the offering.
Regardless of whether securities in the offering have been or may be sold to persons who do
not qualify as accredited investors, enter the total number of investors who already have
2
invested in the offering:
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an
expenditure is not known, provide an estimate and check the box next to the amount.
\$ 420,000 USD
X Estimate
Sales Commissions
Finders' Fees
\$ 0
USD
Estimate
Clarification of Response (if Necessary):
Represents 6% commission and 1% management fee of gross proceeds from investors for sale of ADSs in the registered
offering and concurrent private placement of warrants. We also paid or reimbursed expenses of \$80,000 and issued an
unregistered warrant.
16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

\$ 0 USD
Estimate
Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and submitting this notice.

Terms of Submission

In submitting this notice, each identified issuer is:

  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes; or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506 (d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Title Date
-------- ----------- -- ------- ------
Name of
Signer
Kitov Pharma Ltd. /s/ Gil Efron Gil Efron Deputy CEO and Chief Financial
Officer
2019-01-24

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.

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