Azitra, Inc. — Regulatory Filings 2024

Jul 5, 2024

S-3/A 1 forms-3a.htm

As filed with the Securities and Exchange Commission on July 5, 2024

Registration No. 333-280648

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

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AMENDMENT NO. 1 TO

FORM S-3/A

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933

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AZITRA, INC.

( Exact name of registrant as specified in its charter )

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Delaware	2834	46-4478536
(State
or other jurisdiction of incorporation
or organization)	(Primary
Standard Industrial Classification
Code Number)	(I.R.S.
Employer Identification
Number)

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21 Business Park Drive

Branford, Connecticut 06405

(203) 646-6446

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

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Francisco D. Salva, Chief Executive Officer

Azitra, Inc.

21 Business Park Drive

Branford, Connecticut 06405

(203) 646-6446

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

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Copy to:

Daniel K. Donahue

Greenberg Traurig, LLP

18565 Jamboree Road, Suite 500

Irvine, California 92612

(949) 732-6500

Approximate date of commencement of proposed sale to the public:

From time to time after the effective date of this registration statement.

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 a “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. ☐

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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 the Registration Statement shall become effective on such date as the Commission acting pursuant to said Section 8(a), may determine.

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EXPLANATORY NOTE

This Amendment No. 1 (Amendment No. 1) to the Registration Statement on Form S-3 (File No. 333- 280648) of Azitra, Inc. (Registration Statement) is being filed solely for the purpose of filing an exhibit as indicated in Part II of this Amendment No. 1. This Amendment No. 1 does not modify any provision of the prospectus that forms a part of the Registration Statement. Accordingly, a preliminary prospectus has been omitted.

PART II – INFORMATION NOT REQUIRED IN PROSPECTUS

Item 16. Exhibits

| Exhibit
No. | Description | Method
of Filing |
| --- | --- | --- |
| 3.1 | Amended
and Restated Certificate of Incorporation of the Registrant | Incorporated
by reference from the Registrant’s Current Report on Form 8-K dated June 21, 2023 |
| 3.2 | Amended
and Restated Bylaws of the Registrant | Incorporated
by reference from the Registrant’s Current Report on Form 8-K dated June 21, 2023 |
| 3.3 | Certificate of Amendment dated June 27, 2024 to Amended and Restated Certificate of Incorporation | Previously filed |
| 4.1 | Specimen
Certificate representing shares of common stock of Registrant | Incorporated
by reference from the Registrant’s Registration Statement on Form S-1 filed on June 13, 2023 |
| 4.2 | Form
of Senior Indenture | Previously
filed |
| 4.3 | Form
of Subordinated Indenture | Filed
electronically herewith |
| 4.4 | Form
of Senior Note | Previously
filed |
| 4.5 | Form
of Subordinated Note | Previously
filed |
| 4.6 | Form
of Warrant Agreement | To
be filed by amendment to this registration statement, or as an exhibit to a document to be incorporated by reference into this registration
statement, in each case in connection with a particular offering of the securities |
| 4.7 | Form
of Unit Agreement | To
be filed by amendment to this registration statement, or as an exhibit to a document to be incorporated by reference into this registration
statement, in each case in connection with a particular offering of the securities |
| 5.1 | Opinion
and Consent of Greenberg Traurig, LLP | Previously
filed |
| 23.1 | Consent
of Grassi & Co., CPAs, P.C. | Previously
filed |
| 23.4 | Consent
of Greenberg Traurig, LLP (included in Exhibit 5.1) | Previously filed |
| 24.1 | Power
of Attorney | Previously
filed |
| 25.1 | Form
T-1 Statement of Eligibility of Trustee for Senior Indenture under the Trust Indenture Act of 1939 | To
be subsequently filed, if applicable, under the electronic form type “305B2” |
| 25.2 | Form
T-1 Statement of Eligibility of Trustee for Subordinated Indenture under the Trust Indenture Act of 1939 | To
be subsequently filed, if applicable, under the electronic form type “305B2” |

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SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Branford, State of Connecticut, on July 5, 2024.

| AZITRA,
INC. |
| --- |
| /s/
Francisco D. Salva |
| Francisco
D. Salva |
| Chief
Executive Officer and Director |

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
/s/
Francisco D. Salva	President,
Francisco
D. Salva	Chief
Executive Officer and Director (Principal
Executive Officer)	July
5, 2024
/s/
Norman Staskey	Chief
Financial Officer,
Norman
Staskey	Treasurer
and Secretary (Principal
Financial and Accounting Officer)	July
5, 2024
*
Travis
Whitfill	Chief
Operating Officer and Director	July
5, 2024
*
Andrew
McClary	Director	July
5, 2024
*
Barbara
Ryan	Director	July
5, 2024
*
John
Schroer	Director	July
5, 2024

*By:
Attorney-in-Fact

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