Registration Form • Jun 8, 2018
Registration Form
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OMB Number: 3235-0076
Estimated average
| Notice of Exempt Offering of Securities | burden hours per 4.00 response |
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|---|---|---|---|---|
| 1. Issuer's Identity | ||||
| CIK (Filer ID Number) 0001614744 |
Previous Names Kitov |
None | Entity Type Corporation |
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| Name of Issuer | Pharmaceuticals Holdings Ltd. |
Limited Partnership Limited Liability Company General Partnership |
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| Kitov Pharma Ltd. | Mainrom Line Logistics Ltd. |
Business Trust | ||
| ISRAEL | Jurisdiction of Incorporation/Organization | X Other (Specify) Limited company |
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| Year of Incorporation/Organization X Over Five Years Ago Yet to Be Formed |
Within Last Five Years (Specify Year) | |||
| 2. Principal Place of Business and Contact Information | ||||
| Name of Issuer Kitov Pharma Ltd. Street Address 1 ONE AZRIELI CENTER |
Street Address 2 ROUND BUILDING |
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| City TEL AVIV |
State/Province/Country ISRAEL |
ZIP/PostalCode 6701101 |
Phone Number of Issuer 97239333121 |
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| 3. Related Persons | ||||
| Last Name Israel Street Address 1 One Azrieli Center City Tel Aviv Relationship: |
Isaac ISRAEL X Executive Officer Clarification of Response (if Necessary): |
First Name Street Address 2 Round Building State/Province/Country X Director |
Middle Name ZIP/PostalCode 6701101 Promoter |
|
| Chief Executive Officer and Director of the Issuer | ||||
| Last Name Waymack Street Address 1 One Azrieli Center City Tel Aviv Relationship: |
ISRAEL X Executive Officer |
First Name John Paul Street Address 2 Round Building State/Province/Country X Director |
Middle Name ZIP/PostalCode 6701101 Promoter |
|
| Clarification of Response (if Necessary): | ||||
| Chief Medical Officer and Chairman of the Board of Directors | ||||
| Last Name Rock Street Address 1 |
Simcha | First Name Street Address 2 |
Middle Name | |
| One Azrieli Center City Tel Aviv Relationship: |
ISRAEL X Executive Officer |
Round Building State/Province/Country X Director |
ZIP/PostalCode 6701101 Promoter |
Clarification of Response (if Necessary):
| Last Name | First Name | Middle Name | ||
|---|---|---|---|---|
| Steinberg | Steven | |||
| 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): | ||||
| Director | ||||
| Last Name | First Name | Middle Name | ||
| Agmon | Ido | |||
| Street Address 1 | Street Address 2 | |||
| One Azrieli Center | Round Building | |||
| City Tel Aviv |
State/Province/Country ISRAEL |
ZIP/PostalCode 6701101 |
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| Relationship: | Executive Officer | X Director |
Promoter | |
| Clarification of Response (if Necessary): | ||||
| Director | ||||
| Last Name | First Name | Middle Name | ||
| Weber | Arye | |||
| 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): | ||||
| Director | ||||
| Last Name | First Name | Middle Name | ||
| Tzror | Ran | |||
| 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): | ||||
| Director | ||||
| Last Name | First Name | Middle Name | ||
| Stern-Raff | Revital | |||
| 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): | ||||
| Director | ||||
| 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 |
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| Relationship: | X Executive Officer |
X Director |
Promoter | |
| Clarification of Response (if Necessary): | ||||
| Vice President of Business Development and Director | ||||
| Last Name | First Name | Middle Name | ||
| Reuveni | Hadas |
| Street Address 1 | Street Address 2 | |||||
|---|---|---|---|---|---|---|
| One Azrieli Center City |
Round Building State/Province/Country ZIP/PostalCode |
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| Tel Aviv | ISRAEL 6701101 |
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| Relationship: X Executive Officer |
Director Promoter |
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| Clarification of Response (if Necessary): | ||||||
| Founder and Chief Technology Officer of TyrNovo | ||||||
| 4. Industry Group | ||||||
| Banking & Financial Services Commercial Banking Insurance Investing Investment Banking Pooled Investment Fund Is the issuer registered as an investment company under the Investment Company |
Restaurants Biotechnology Technology Health Insurance Computers Hospitals & Physicians Telecommunications X Pharmaceuticals Other Technology Other Health Care Travel Manufacturing Airlines & Airports Real Estate Lodging & Conventions Commercial Tourism & Travel |
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| Act of 1940? Yes No Other Banking & Financial Services Business Services Energy Coal Mining Electric Utilities Energy Conservation Environmental Services Oil & Gas Other Energy |
Construction Services REITS & Finance Other Travel Residential Other Other Real Estate |
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| 5. Issuer Size | ||||||
| Revenue Range No Revenues \$1 - \$1,000,000 \$1,000,001 - \$5,000,000 \$5,000,001 - \$25,000,000 \$25,000,001 - \$100,000,000 Over \$100,000,000 X Decline to Disclose Not Applicable |
OR Aggregate Net Asset Value Range No Aggregate Net Asset Value \$1 - \$5,000,000 \$5,000,001 - \$25,000,000 \$25,000,001 - \$50,000,000 \$50,000,001 - \$100,000,000 Over \$100,000,000 Decline to Disclose Not Applicable |
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| 6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) | ||||||
| Rule 504(b)(1) (not (i), (ii) or (iii)) Rule 504 (b)(1)(i) Rule 504 (b)(1)(ii) Rule 504 (b)(1)(iii) |
Rule 505 X Rule 506(b) Rule 506(c) Securities Act Section 4(a)(5) Investment Company Act Section 3(c) Section 3(c)(1) Section 3(c)(9) 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) |
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|---|---|---|---|---|
| 7. Type of Filing | ||||
| X New Notice Date of First Sale 2018-06-05 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 |
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| 9. Type(s) of Securities Offered (select all that apply) | ||||
| Equity Debt X Option, Warrant or Other Right to Acquire Another Security Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
Pooled Investment Fund Interests Tenant-in-Common Securities Mineral Property Securities Other (describe) |
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| 10. Business Combination Transaction | ||||
| Is this offering being made in connection with a business combination transaction, such as a Yes X No merger, acquisition or exchange offer? Clarification of Response (if Necessary): |
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| 11. Minimum Investment | ||||
| Minimum investment accepted from any outside investor \$ 0 USD | ||||
| 12. Sales Compensation | ||||
| Recipient H.C. Wainwright & Co., LLC (Associated) Broker or Dealer X None |
Recipient CRD Number None 375 (Associated) Broker or Dealer CRD Number X None |
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| Street Address 1 430 PARK AVENUE City State/Province/Country NEW YORK NEW YORK State(s) of Solicitation All States Non-US/Foreign AL AK AZ AR CA CO IL IN IA KS KY LA X NJ X NY MT NE NV NH NM |
Street Address 2 3RD FLOOR ZIP/Postal Code 10022 CT DE DC FL GA HI ID ME MD MA MI MN MS MO NC ND OH OK OR PA |
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| RI SC SD TN TX UT |
VT VA WA WV WI WY PR |
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| 13. Offering and Sales Amounts | ||||
| Total Offering Amount \$ 8,150,000 USD Total Amount Sold \$ 8,150,000 USD Total Remaining to be Sold \$ 0 USD |
or Indefinite or Indefinite |
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. |
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| 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 invested in the offering: |
4 |
| 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.
| Sales Commissions | \$ 655,500 USD | X Estimate | |
|---|---|---|---|
| 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 \$85,000 and issued an unregistered warrant.
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):
Please verify the information you have entered and review the Terms of Submission below before signing and submitting this notice.
In submitting this notice, each identified issuer is:
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
| Issuer | Signature | Name of Signer |
Title | Date |
|---|---|---|---|---|
| Kitov Pharma Ltd. | /s/ Simcha Rock | Simcha Rock | Chief Financial Officer and Director | 2018-06-07 |
* 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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