Regulatory Filings • Jul 15, 2020
Regulatory Filings
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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 Kitov |
None | Entity Type Corporation |
| Name of Issuer | Pharmaceuticals Holdings Ltd. |
Limited Partnership Limited Liability Company |
|
| Kitov Pharma Ltd. | Mainrom Line Logistics Ltd. |
General Partnership Business Trust |
|
| Jurisdiction of Incorporation/Organization ISRAEL Year of Incorporation/Organization X Over Five Years Ago Within Last Five Years (Specify Year) Yet to Be Formed |
X Other (Specify) Limited company |
||
| 2. Principal Place of Business and Contact Information | |||
| Name of Issuer Kitov Pharma Ltd. Street Address 1 ONE AZRIELI CENTER City TEL AVIV |
State/Province/Country ISRAEL |
Street Address 2 ROUND BUILDING ZIP/PostalCode 6701101 |
Phone Number of Issuer 97239333121 |
| 3. Related Persons | |||
| Last Name Israel Street Address 1 One Azrieli Center City Tel Aviv Relationship: X Clarification of Response (if Necessary): Chief Executive Officer and Director of the Issuer |
First Name Isaac Street Address 2 Round Building State/Province/Country ISRAEL Executive Officer X |
Director Promoter |
Middle Name ZIP/PostalCode 6701101 |
| Last Name Rowinsky Street Address 1 One Azrieli Center City Tel Aviv Relationship: Clarification of Response (if Necessary): |
First Name Eric Street Address 2 Round Building State/Province/Country ISRAEL Executive Officer X Independent Director and Chairman of the Board of Directors of the Issuer |
Director Promoter |
Middle Name ZIP/PostalCode 6701101 |
| Last Name Rock Street Address 1 One Azrieli Center City Tel Aviv Relationship: |
First Name Simcha Street Address 2 Round Building State/Province/Country ISRAEL Executive Officer X |
Director Promoter |
Middle Name ZIP/PostalCode 6701101 |
| Clarification of Response (if Necessary): | |||
| Director of the Issuer | |||
| Last Name Steinberg |
First Name Steven |
Middle Name |
| Relationship: Executive Officer X Director Clarification of Response (if Necessary): Independent Director of the Issuer Last Name First Name Agmon Ido Street Address 1 Street Address 2 One Azrieli Center Round Building City State/Province/Country Tel Aviv ISRAEL Relationship: Executive Officer X Director |
Promoter Middle Name |
|---|---|
| ZIP/PostalCode 6701101 Promoter |
|
| Clarification of Response (if Necessary): | |
| Independent Director of the Issuer | |
| Last Name First Name Tzror Ran Street Address 1 Street Address 2 One Azrieli Center Round Building City State/Province/Country Tel Aviv ISRAEL Relationship: Executive Officer X Director |
Middle Name ZIP/PostalCode 6701101 Promoter |
| Clarification of Response (if Necessary): | |
| Independent Director of the Issuer | |
| Last Name First Name Stern-Raff Revital Street Address 1 Street Address 2 One Azrieli Center Round Building City State/Province/Country Tel Aviv ISRAEL Relationship: Executive Officer X Director |
Middle Name ZIP/PostalCode 6701101 Promoter |
| Clarification of Response (if Necessary): | |
| Independent Director of the Issuer | |
| Last Name First Name Reuveni Hadas Street Address 1 Street Address 2 One Azrieli Center Round Building City State/Province/Country |
Middle Name ZIP/PostalCode |
| Tel Aviv ISRAEL Relationship: X Executive Officer Director |
6701101 Promoter |
| Clarification of Response (if Necessary): VP R&D of the Issuer |
|
| Last Name First Name |
Middle Name |
| Efron Gil Street Address 1 Street Address 2 One Azrieli Center Round Building City State/Province/Country Tel Aviv ISRAEL Relationship: X Executive Officer Director |
ZIP/PostalCode 6701101 Promoter |
| Clarification of Response (if Necessary): | |
| Deputy CEO and Chief Financial Officer of the Issuer | |
| Last Name First Name Liang Bertrand Street Address 1 Street Address 2 One Azrieli Center Round Building City State/Province/Country Tel Aviv ISRAEL X Relationship: Executive Officer Director |
Middle Name ZIP/PostalCode 6701101 Promoter |
Clarification of Response (if Necessary):
| Chief Medical Officer of the Issuer | |||||
|---|---|---|---|---|---|
| Last Name Schickler Street Address 1 One Azrieli Center City Tel Aviv Relationship: X Executive Officer |
First Name Michael Street Address 2 Round Building State/Province/Country ISRAEL Director Promoter |
Middle Name ZIP/PostalCode 6701101 |
|||
| Clarification of Response (if Necessary): Head of Clinical Operations of the Issuer |
|||||
| 4. Industry Group | |||||
| Agriculture Banking & Financial Services Commercial Banking |
Health Care Biotechnology Health Insurance |
Retailing Restaurants Technology |
|||
| Insurance Investing Investment Banking Pooled Investment Fund |
Hospitals & Physicians X Pharmaceuticals Other Health Care Manufacturing |
Computers Telecommunications Other Technology Travel |
|||
| Is the issuer registered as an investment company under the Investment Company Act of 1940? Yes No Other Banking & Financial Services |
Real Estate Commercial Construction REITS & Finance Residential |
Airlines & Airports Lodging & Conventions Tourism & Travel Services Other Travel |
|||
| Business Services | Other Real Estate | Other | |||
| Energy Coal Mining Electric Utilities Energy Conservation Environmental Services Oil & Gas Other Energy |
5. Issuer Size
| 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 2020-05-24 Amendment |
First Sale Yet to Occur |
| 8. Duration of Offering | |
| Does the Issuer intend this offering to last more than one year? | X No Yes |
| 9. Type(s) of Securities Offered (select all that apply) | |
| X Equity | Pooled Investment Fund Interests |
| Debt | Tenant-in-Common Securities |
| 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 | Yes X No |
| merger, acquisition | |
| or exchange offer? | |
| Clarification of Response (if Necessary): | |
| 11. Minimum Investment | |
| Minimum investment accepted from any outside investor \$ 0 USD | |
| 12. Sales Compensation | |
| Recipient | Recipient CRD Number X None |
| NONE | |
| X None (Associated) Broker or Dealer |
X None (Associated) Broker or Dealer CRD Number |
| Street Address 1 | Street Address 2 |
| NONE | NONE |
| City State/Province/Country |
ZIP/Postal Code |
| NONE UNKNOWN |
00000 |
| 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 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 \$ USD |
or X Indefinite |
| Total Amount Sold \$ 0 USD Total Remaining to be Sold \$ USD |
or X Indefinite |
Clarification of Response (if Necessary):
Private placements of 812,500 of Filer's ADSs previously issued in June 2020, and 486,111 of Filer's ADSs to be issued in July 2020 to a former placement agent as part of a tail fee in connection with Filer's 2020 offerings.
| 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 1 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. |
| Sales Commissions \$ 0 USD Estimate |
| Finders' Fees \$ 0 USD Estimate |
| Clarification of Response (if Necessary): |
| 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): |
| See clarification to item 13 above. |
| 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: |
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 | Name of Signer |
Title | Date |
|---|---|---|---|---|
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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