As filed with the Securities and Exchange Commission on July 24, 2019December 30, 2022

Registration No. 333-

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON,Washington, D.C. 20549

 

FORM S-3

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

 

RITTER PHARMACEUTICALS, INC.Qualigen Therapeutics, Inc.

(Exact name of registrant as specified in its charter)

 

Delaware 26-3474527

(State or other jurisdiction of

incorporation or organization)

 

(I.R.S. Employer

Identification No.)Number)

 

1880 Century Park East, Suite 10002042 Corte Del Nogal

Los Angeles, CA 90067Carlsbad, California 92011

(310) 203-1000(760) 918-9165

(Address, including zip code, and telephone number, including area

code of registrant’s principal executive offices)

 

Andrew J. RitterMichael S. Poirier

Chief Executive Officer

Ritter Pharmaceuticals,Qualigen Therapeutics. Inc.

1880 Century Park East, Suite 10002042 Corte Del Nogal

Los Angeles, CA 90067Carlsbad, California 92011

(310) 203-1000(760) 918-9165

(Name, address, including zip code, and telephone number, including area

code, of agent for service)

Copies to:

 

Michael Sanders, Esq.Copies to:

Wendy Grasso

Reed Smith LLP

1901599 Lexington Avenue of the Stars, Suite 700

Los Angeles, California 90067-6078New York, NY 10022-7650

(310) 734-5200(212) 521-5400

 

Approximate date of commencement of proposed sale to the public: From time to time after the effective date of this registration statement as determined byRegistration Statement

(Approximate date of commencement of proposed sale to the registrant.public)

 

If the only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans, please check the following box: [  ]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: [X]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, or a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer”filer,” “smaller reporting company,” and “smaller reporting“emerging growth company” in Rule 12b-2 of the Exchange Act. (Check one):

 

Large accelerated filer [  ] Accelerated filer [  ]
Non-accelerated filer [  ] Smaller reporting company [X]
  Emerging growth company [X]

 

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 7a)7(a)(2)(B) of the Securities Act. [  ]

CALCULATION OF REGISTRATION FEE

Title of Each Class of

Securities to be Registered

 Amount to be Registered(1)  Proposed Maximum Offering Price per Unit(2)  Proposed Maximum Aggregate Offering Price(2)  Amount of Registration Fee(3) 
Common Stock, $0.001 par value            
Preferred Stock, $0.001 per value            
Debt Securities            
Warrants            
Rights            
Units            
Total         $150,000,000  $18,180(4)

(1) There are being registered hereunder such indeterminate number of shares of common stock, such indeterminate number of shares of preferred stock, such indeterminate principal amount of debt securities, such indeterminate number of warrants and rights to purchase common stock, preferred stock or debt securities, and such indeterminate number of units, as shall have an aggregate initial offering price not to exceed $150,000,000. If any debt securities are issued at an original issue discount, then the offering price of such debt securities shall be in such greater principal amount as shall result in an aggregate initial offering price not to exceed $150,000,000, less the aggregate dollar amount of all securities previously issued hereunder. Any securities registered hereunder may be sold separately or as units with other securities registered hereunder. The proposed maximum initial offering price per unit will be determined, from time to time, by the registrant in connection with the issuance by the registrant of the securities registered hereunder. The securities registered also include such indeterminate number of shares of common stock and preferred stock as may be issued upon conversion or exchange of convertible or exchangeable securities being registered hereunder or pursuant to the anti-dilution provisions of any such securities. In addition, pursuant to Rule 416 under the Securities Act of 1933, as amended, the shares being registered hereunder include such indeterminate number of shares of common stock and preferred stock as may be issuable with respect to the shares being registered hereunder as a result of stock splits, stock dividends or similar transactions.

(2) The proposed maximum aggregate offering price per class of security will be determined from time to time by the registrant in connection with the issuance by the registrant of the securities registered hereunder and is not specified as to each class of security pursuant to General Instruction II.D. of Form S-3 under the Securities Act of 1933, as amended.

(3) Calculated pursuant to Rule 457(o) under the Securities Act of 1933, as amended, based on the proposed maximum aggregate offering price.

(4)Pursuant to Rule457(p) under the Securities Act, a portion of the registration fee is offset by registration fees of $14,601 previously paid with respect to securities that were registered pursuant to a Registration Statement on Form S-3 (No. 333-213087) filed by the registrant and declared effective by the Securities and Exchange Commission on August 23, 2016, but never sold. Accordingly, $3,579 is being paid with the filing of this Registration Statement.

 

The Registrantregistrant hereby amends this Registration Statementregistration statement on such date or dates as may be necessary to delay its effective date until the Registrantregistrant shall file a further amendment whichthat specifically states that this Registration Statementregistration statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933, as amended, or until the Registration Statementregistration statement shall become effective on such date as the Securities and Exchange Commission, acting pursuant to said Section 8(a), may determine.

 

 

 

 

 

 

THE INFORMATION IN THIS PROSPECTUS IS NOT COMPLETE AND MAY BE CHANGED. WE MAY NOT SELL THESE SECURITIES UNTIL THE REGISTRATION STATEMENT FILED WITH THE SECURITIES AND EXCHANGE COMMISSION IS EFFECTIVE. THIS PROSPECTUS IS NOT AN OFFER TO SELL THESE SECURITIES AND IS NOT SOLICITING AN OFFER TO BUY THESE SECURITIES IN ANY STATE WHERE THE OFFER OR SALE IS NOT PERMITTED.The information in this preliminary prospectus is not complete and may be changed. We may not sell these securities or accept an offer to buy these securities until the registration statement filed with the Securities and Exchange Commission is effective. This prospectus is not an offer to sell these securities and it is not soliciting offers to buy these securities in any state where such offer or sale is not permitted.

 

SUBJECT TO COMPLETION, DATED JULY 24, 2019DECEMBER 30, 2022

 

PRELIMINARY PROSPECTUS

 

5,157,087 Shares

 

RITTER PHARMACEUTICALS, INC.

 

$150,000,000Common Stock

 

COMMON STOCK

PREFERRED STOCK

DEBT SECURITIES

WARRANTS

RIGHTS

UNITS

This prospectus will allow usrelates to issue,the resale or other disposition from time to time at prices and on termsby the selling stockholder named herein of up to an aggregate of 5,157,087 shares of our common stock, par value $0.001 per share (the “Resale Shares”), which may be determined at or priorissuable to the timeselling stockholder pursuant to the terms of an 8% Senior Convertible Debenture in the aggregate principal amount of $3,300,000 issued to the selling stockholder on December 22, 2022 (the “Debenture”) and the warrant (the “Warrant”) issued to such selling stockholder in connection with the issuance of the offering, up to $150,000,000 of any combinationDebenture.

The selling stockholder may offer and sell or otherwise dispose of the securitiesResale Shares described in this prospectus either individually or in units. We may also offer common stock or preferred stock upon conversion of or exchange for the debt securities; and common stock or preferred stock or debt securities upon the exercise of warrants or rights.

This prospectus describes the general terms of these securities and the general manner in which these securities will be offered. We will provide you with the specific terms of any offering in one or more supplements to this prospectus. The prospectus supplements will also describe the specific manner in which these securities will be offered and may also supplement, update or amend information contained in this document. You should read this prospectus and any prospectus supplement, as well as any documents incorporated by reference into this prospectus or any prospectus supplement, carefully before you invest.

Our securities may be sold directly by us to you, through agents designated from time to time through public or private transactions at prevailing market prices, at prices related to prevailing market prices or through underwriters or dealers. For additional information on the methods of sale, you should referat privately negotiated prices. The selling stockholder will bear all underwriting fees, commissions and discounts, if any, attributable to the section entitledsales of Resale Shares and any transfer taxes. We will bear all other costs, expenses and fees in connection with the registration of the Resale Shares. See “Plan of Distribution” in this prospectus and infor more information on how the applicable prospectus supplement. Ifselling stockholder may sell or dispose of its Resale Shares.

We will not receive any underwriters or agents are involved inproceeds from the sale of our securities with respect to which this prospectus is being delivered, the names of such underwriters or agents and any applicable fees, commissions or discounts and over-allotment options will be set forth in a prospectus supplement. The price toResale Shares by the public of such securities and the net proceeds that we expect to receive from such sale will also be set forth in a prospectus supplement.selling stockholder.

 

Our common stock is listed on theThe Nasdaq Capital Market under the trading symbol “RTTR.“QLGN.” On July 23, 2019,December 29, 2022, the last reported saleclosing price of our common stock on the Nasdaq Capital Market was $1.01$1.20 per share.

As of July 23, 2019, the aggregate market value of our outstanding common stock held by non-affiliates was approximately $8.5 million, based on 9,350,026 shares of outstanding common stock, of which 8,363,969 shares were held by non-affiliates, and a per share price of $1.01 based on the closing sale price of our common stock as of July 23, 2019. Pursuant to General Instruction I.B.6 of Form S-3, in no event will we sell securities pursuant to this prospectus with a value of more than one-third of the aggregate market value of our common stock held by non-affiliates in any twelve-month period, so long as the aggregate market value of our common stock held by non-affiliates is less than $75,000,000. In the event that subsequent to the date of this prospectus, the aggregate market value of our outstanding common stock held by non-affiliates equals or exceeds $75,000,000, then the one-third limitation on sales shall not apply to additional sales made pursuant to this prospectus. We have not offered any securities pursuant to General Instruction I.B.6 of Form S-3 during the twelve calendar months prior to and including the date of this prospectus.

 

Investing in shares of our securitiescommon stock involves a high degree of risk. Before deciding whether to invest in our securities, youYou should considerreview carefully the risks that we haveand uncertainties described in the section titled “Risk Factors” on page 24 of this prospectus and any similar section contained in the applicable prospectus supplement and in any free writing prospectuses we have authorized for use in connection with a specific offering, and under similar headings in the caption “Risk Factors.” We may include specific risk factors in supplements todocuments that are incorporated by reference into this prospectus under the caption “Risk Factors.” This prospectus may not be used to sell our securities unless accompanied by a prospectus supplement.prospectus.

 

Neither the Securities and Exchange Commission nor any state securities commission has approved or disapproved of these securities or determined if this prospectus is truthful or complete. Any representation to the contrary is a criminal offense.

 

The date of this prospectus is           ________, 2019, 2023.

 

 

 

 

TABLE OF CONTENTS

 

 Page
ABOUT THIS PROSPECTUSi
SPECIAL NOTE REGARDING FORWARD-LOOKING STATEMENTS 
PROSPECTUS SUMMARY1
THE COMPANY 2
RISK FACTORS2
 
CAUTIONARY NOTE REGARDING FORWARD-LOOKING STATEMENTS2
4
USE OF PROCEEDS25
SELLING STOCKHOLDERS 6
PLAN OF DISTRIBUTION3
 
DESCRIPTION OF CAPITAL STOCK4
DESCRIPTION OF DEBT SECURITIES6
DESCRIPTION OF WARRANTS8
DESCRIPTION OF RIGHTS9
DESCRIPTION OF UNITS10
7
LEGAL MATTERS11
 9
EXPERTS11
 9
WHERE YOU CAN FIND MOREADDITIONAL INFORMATION11
 9
INCORPORATION OF CERTAIN INFORMATION BY REFERENCE129

 

 

 

 

ABOUT THIS PROSPECTUS

 

This prospectus is part of a registration statement on Form S-3 that we filed with the Securities and Exchange Commission or SEC, utilizing a “shelf” registration process. Under(the “SEC”). The selling stockholder referred to in this shelf registration process, weprospectus may offerfrom time to time sell the shares of our common stock preferred stock, various series of debt securities and/or warrants or rights to purchase any of such securities, either individually ordescribed in units,this prospectus in one or more offerings with a total valueor otherwise as described under “Plan of up to $150,000,000. This prospectus provides you with a general description of the securities we may offer. Each time we offer a type or series of securities under this prospectus, we will provide a prospectus supplement that will contain specific information about the terms of that offering.Distribution.”

 

This prospectus does not contain all ofNeither we nor the selling stockholder has authorized anyone to provide any information included in the registration statement. For a more complete understanding of the offering of the securities, you should refer to the registration statement, including its exhibits. The prospectus supplement may also add, update or change informationother than that contained or incorporated by reference in this prospectus. However, no prospectus supplement will offer a security that is not registered and described in this prospectus at the time of its effectiveness. This prospectus, together with the applicable prospectus supplements and the documents incorporated by reference into this prospectus, includes all material information relating to the offering of securities under this prospectus. You should carefully read this prospectus, the applicable prospectus supplement, the information and documents incorporated herein by reference and the additional information under the heading “Where You Can Find More Information” before making an investment decision.

You should rely only on the information we have provided or incorporated by reference in this prospectus or in any related prospectus supplement.supplement or any free writing prospectus that we have authorized. We havetake no responsibility for, and can provide no assurance as to the reliability of, any other information that others may give you. The shares are not authorized anyone to provide you withbeing offered in any jurisdiction where the offer is not permitted. You should not assume that the information different from that contained in or incorporated by reference in this prospectus. No dealer, salesperson or other person is authorized to give any information or to represent anything not contained or incorporated by reference in this prospectus. You must not rely on any unauthorized information or representation. This prospectus is an offer to sell only the securities offered hereby, but only under circumstances and in jurisdictions where it is lawful to do so. You should assume that the information in this prospectus or any prospectus supplement is accurate only as of any date other than the date on the frontrespective dates of the documentsuch document. Our business, financial condition, results of operations and that any information weprospects may have incorporated herein by reference is accurate only as of the date of the document incorporated by reference, regardless of the time of delivery of this prospectus or any sale of a security.changed since those dates.

 

We further note that the representations, warranties and covenants made by us in any agreement that is filed as an exhibit to any document that is incorporated by reference in the accompanying prospectus were made solely for the benefit of the parties to such agreement, including, in some cases, for the purpose of allocating risk among the parties to such agreements, and should not be deemed to be a representation, warranty or covenant to you. Moreover, such representations, warranties or covenants were accurate only as of the date when made. Accordingly, such representations, warranties and covenants should not be relied on as accurately representing the current state of our affairs.

This prospectus may not be used to consummate sales of our securities, unless it is accompanied by a prospectus supplement. To the extent there are inconsistencies between any prospectus supplement,Throughout this prospectus, and any documents incorporated by reference, the document with the most recent date will control.

We were formed as a Nevada limited liability company on March 29, 2004 under the name Ritter Natural Sciences, LLC. On September 16, 2008, we converted into a Delaware corporation under the name Ritter Pharmaceuticals, Inc. Unless the context otherwise requires, “Ritter,” “the Company,”terms “we,” “us,” “our”“our,” and similar termsour “company” refer to Ritter Pharmaceuticals,Qualigen Therapeutics, Inc. and its subsidiaries.

 

i

PROSPECTUS SUMMARY

The following is a summary of what we believe to be the most important aspects of our business and the offering of our securities under this prospectus. We urge you to read this entire prospectus, including the more detailed consolidated financial statements, notes to the consolidated financial statements and other information incorporated by reference from our other filings with the SEC or included in any applicable prospectus supplement. Investing in our securities involves risks. Therefore, carefully consider the risk factors set forth in any prospectus supplements and in our most recent annual and quarterly filings with the SEC, as well as other information in this prospectus and any prospectus supplements and the documents incorporated by reference herein or therein, before purchasing our securities. Each of the risk factors could adversely affect our business, operating results and financial condition, as well as adversely affect the value of an investment in our securities.

The Company

Ritter Pharmaceuticals, Inc. develops novel therapeutic products that modulate the gut microbiome to treat digestive disorders and gastrointestinal diseases. The Company’s lead product candidate, RP-G28, is an orally administered, high purity galacto-oligosaccharide, currently in Phase 3 clinical development for the treatment of lactose intolerance (“LI”), a condition that affects millions of people worldwide. RP-G28 is designed to selectively stimulate the growth of lactose-metabolizing bacteria in the colon, thereby effectively adapting the gut microbiome to assist in digesting lactose (the sugar found in milk) that reaches the large intestine. RP-G28 has the potential to become the first drug approved by the Food and Drug Administration for the treatment of LI. The Company is further exploring the functionality and discovering the therapeutic potential that gut microbiome changes may have on treating/preventing a variety of conditions including gastrointestinal diseases, cancer, metabolic, and liver diseases. The Company intends to expand its product pipeline and create added value in the future by evaluating RP-G28 in other indications, developing additional products based on its underlying, microbiome-modulating technology or in-licensing complementary products to treat these, or other, conditions.

Corporate Information

We were formed as a Nevada limited liability company on March 29, 2004 under the name Ritter Natural Sciences, LLC. On September 16, 2008, we converted into a Delaware corporation under the name Ritter Pharmaceuticals, Inc. Our principal executive offices are located at 1880 Century Park East, #1000, Los Angeles, CA 90067, and our telephone number is (310) 203-1000. Our website address iswww.ritterpharmaceuticals.com. The information contained on, or that can be accessed through, our website is not part of this prospectus.

Offerings Under This Prospectus

Under this prospectus, we may offer shares of our common stock, preferred stock, various series of debt securities and/or warrants or rights to purchase any of such securities, either individually or in units, with a total value of up to $150,000,000, from time to time at prices and on terms to be determined by market conditions at the time of the offering. This prospectus provides you with a general description of the securities we may offer. Each time we offer a type or series of securities under this prospectus, we will provide a prospectus supplement that will describe the specific amounts, prices and other important terms of the securities.

The prospectus supplement also may add, update or change information contained in this prospectus or in documents we have incorporated by reference into this prospectus. However, no prospectus supplement will fundamentally change the terms that are set forth in this prospectus or offer a security that is not registered and described in this prospectus at the time of its effectiveness.

We may sell the securities directly to investors or to or through agents, underwriters or dealers. We, and our agents or underwriters, reserve the right to accept or reject all or part of any proposed purchase of securities. If we offer securities through agents or underwriters, we will include in the applicable prospectus supplement:

the names of those agents or underwriters;
applicable fees, discounts and commissions to be paid to them;
details regarding over-allotment options, if any; and
the net proceeds to us.

1

 

 

RISK FACTORSSPECIAL NOTE REGARDING FORWARD-LOOKING STATEMENTS

 

Please carefully considerThis prospectus and the risk factors described in our periodic reportsdocuments we have filed with the SEC whichthat are incorporated by reference in this prospectus. Before making an investment decision, you should carefully consider these risks as well as other information we include or incorporate by reference in this prospectus or include in any applicable prospectus supplement. Additional risks and uncertainties not presently known to us or that we deem currently immaterial may also impair our business operations or adversely affect our results of operations or financial condition.

CAUTIONARY NOTE REGARDING FORWARD-LOOKING STATEMENTS

Some of the statements in this prospectus and in any prospectus supplement we may file constitutecontain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended (the “Securities Act”), and Section 21E of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). These statements relate to future events concerning our business andor to our future revenues, operating or financial performance and involve known and unknown risks, uncertainties and other factors that may cause our actual results, and financial condition. performance or achievements to be materially different from any future results, performances or achievements expressed or implied by the forward-looking statements. Forward-looking statements may include, but are not limited to, statements about:

our ability to successfully develop any drugs or therapeutic devices;
our ability to progress our drug candidates or therapeutic devices through preclinical and clinical development;
our ability to obtain the requisite regulatory approvals for our clinical trials and to begin and complete such trials according to any projected timeline;
our ability to complete enrollment in our clinical trials as contemplated by any projected timeline;
the likelihood that future clinical trial data will be favorable or that such trials will confirm any improvements over other products or lack negative impacts;
our ability to successfully commercialize any drugs or therapeutic devices;
our ability to procure or earn sufficient working capital to complete the development, testing and launch of our prospective therapeutic products;
the likelihood that patents will issue on our owned and in-licensed patent applications;
our ability to protect our intellectual property;
our ability to compete;
our ability to maintain or expand market demand and/or market share for our diagnostic products generally, particularly in light of COVID-19-related deferral of patients’ physician-office visits and in view of FastPack reimbursement pricing challenges; and
our ability to maintain our diagnostic sales and marketing engine without interruption following the expiration of our distribution agreement with Sekisui.

In some cases, you can identify forward-looking statements by terminologyterms such as “anticipates,” “believes,” “could,” “estimates,” “intends,” “may,” “plans,” “potential,” “will,” “could,” “would,” “should,” “expect,” “plan,” “anticipate,” “intend,” “believe,” “estimate,” “forecast,” “predict,” “propose,” “potential” or “continue,” or the negative of thosethese terms or other comparable terminology.similar expressions. These statements reflect our current views with respect to future events and are based on assumptions and are subject to risks and uncertainties. Given these uncertainties, you should not place undue reliance on these forward-looking statements as predictions of future events. We discuss in greater detail many of these risks in our most recent Annual Report on Form 10-K and in our most recent Quarterly Report on Form 10-Q, as well as any amendments thereto reflected in subsequent filings with the SEC, which are incorporated by reference into this prospectus in their entirety. Also, these forward-looking statements represent our estimates and assumptions only as of the date of the document containing the applicable statement. Unless required by law, we undertake no obligation to update or revise any forward-looking statements to reflect new information or future events or developments.

 

Any forward lookingIn addition, statements containedthat “we believe” and similar statements reflect our beliefs and opinions on the relevant subject. These statements are based upon information available to us as of the date of this prospectus, and while we believe such information forms a reasonable basis for such statements, such information may be limited or incomplete, and our statements should not be read to indicate that we have conducted an exhaustive inquiry into, or review of, all potentially available relevant information. These statements are inherently uncertain and investors are cautioned not to unduly rely upon these statements.

You should read this prospectus, together with the documents we have filed with the SEC that are incorporated by reference, any prospectus supplement and any free writing prospectus that we may authorize completely and with the understanding that our actual future results may be materially different from what we expect. We qualify all of the forward-looking statements in the foregoing documents by these cautionary statements.

1

THE COMPANY

Overview

We are a diversified life sciences company focused on developing treatments for adult and pediatric cancers with potential for Orphan Drug designation, while also commercializing diagnostics. Our cancer therapeutics pipeline includes QN-302, RAS (previously called “RAS-F”), and QN-247. Our investigational QN-302 compound is a small molecule G4 selective transcription inhibitor with strong binding affinity to G4s prevalent in cancer cells. Such binding could, by stabilizing the G4s against “unwinding,” help inhibit cancer cell proliferation. RAS is a family of RAS oncogene protein-protein interaction inhibitor small molecules for preventing mutated RAS genes’ proteins from binding to their effector proteins; preventing this binding could stop tumor growth, especially in RAS-driven tumors such as pancreatic, colorectal and lung cancers. QN-247 is a DNA coated gold nanoparticle cancer drug candidate that may have the potential to target various types of cancer, including Triple Negative Breast Cancer (TNBC), Acute Myeloid Leukemia (AML) and Glioblastoma (GBM). The foundational aptamer of QN-247 is QN-165 (formerly referred to as AS1411), which we have deprioritized as a drug candidate for treating COVID-19 and other viral-based infectious diseases. We are also seeking strategic partnering opportunities for STARS, a DNA/RNA-based therapeutic device product concept for removing precisely targeted tumor-produced and viral compounds from circulating blood.

Our FastPack System diagnostic instruments and test kits are sold commercially primarily in the United States, as well as certain European countries. The FastPack System menu includes a rapid, highly accurate immunoassay diagnostic testing system for cancer, men’s health, hormone function, and vitamin D status. We provide analyzers to our customers (physician offices, clinics and small hospitals) at low cost in order to increase sales volumes of higher-margin test kits. Prior to March 31, 2022, most of our FastPack product sales were through our partner Sekisui pursuant to a distribution agreement, but we maintained direct distribution for certain house accounts, including selling our total testosterone test kits to Low T Center, Inc., the largest men’s health group in the United States, with 40 locations. The distribution agreement with Sekisui expired on March 31, 2022, at which time the services previously provided by Sekisui reverted to us and as of April 1, 2022 we recognize 100% of the revenue from the sales of our FastPack diagnostic instruments and test kits. We have licensed and technology-transferred our FastPack System technology to Yi Xin Zhen Duan Jishu (Suzhou) Ltd. for the China diagnostics market and other markets outside of the United States in which the Company does not currently sell.

We also hold a 52.8% interest in NanoSynex, Ltd. (“NanoSynex”), an Israeli-based developer of next generation diagnostics technology. NanoSynex’s technology is an Antimicrobial Susceptibility Testing (AST) platform that aims to provide clinical laboratories worldwide with a rapid, accurate and personalized test for bacterial infections, with the goal of quickly matching the correct antibiotics to treat a patient’s particular infection. Antibiotic misuse and overuse have given rise to antibiotic resistant bacteria, commonly known as superbugs, which the World Health Organization has called one of the top ten global public health threats facing humanity. NanoSynex’s AST platform aims to enable better targeting of antibiotics for their most suitable uses to ultimately result in faster and more efficacious treatment, hence reducing hospitals mortality and morbidity rates.

Transaction with the Selling Stockholder

On December 21, 2022, we entered into a Securities Purchase Agreement (“Agreement”) with Alpha Capital Anstalt (the “selling stockholder”), pursuant to which, on December 22, 2022, we issued to the selling stockholder in a private placement (the “Private Placement”) an 8% Senior Convertible Debenture (the “Debenture”) in the aggregate principal amount of $3,300,000 for a purchase price of $3,000,000. The Debenture is convertible, at any time, and from time to time, at the selling stockholder’s option, into shares of our common stock, at a price equal to $1.32 per share, subject to adjustment as described in the Debenture (the “Conversion Price”).

Pursuant to the terms of the Agreement, we also issued to the selling stockholder on December 22, 2022 a common stock purchase warrant (the “Warrant”) to purchase up to 2,500,000 shares of our common stock (the “Warrant Shares,”), at a price of $1.65 per share, subject to adjustment as described in the Warrant (the “Exercise Price”). The Warrant may be exercised, in whole or in part, at any time on or after June 22, 2023 and before June 22, 2028.

Commencing June 1, 2023 and continuing on the first day of each month thereafter until the earlier of (i) December 22, 2025 (i.e., the Maturity Date) and (ii) the full redemption of the Debenture (each such date, a “Monthly Redemption Date”), we will redeem $110,000 plus accrued but unpaid interest, liquidated damages and any amounts then owing under the Debenture (the “Monthly Redemption Amount”). The Monthly Redemption Amount will be paid in cash; provided that after the first two monthly redemptions, we may elect to pay all or a portion of a Monthly Redemption Amount in shares of our common stock, based on a conversion price equal to the lesser of (i) the then Conversion Price of the Debenture and (ii) 85% of the average of the VWAPs (as defined in the Debenture) for the five consecutive trading days ending on the trading day that is immediately prior to the applicable Monthly Redemption Date. We may also redeem some or all of the then outstanding principal amount of the Debenture at any time for cash in an amount equal to 105% of the then outstanding principal amount of the Debenture being redeemed plus accrued but unpaid interest, liquidated damages and any amounts then owing under the Debenture. These monthly redemption and optional redemptions are subject to the satisfaction of the Equity Conditions (as defined in the Debenture), which includes a condition that any shares to be issued to the selling stockholder (including as redemptions, interest or otherwise) under the Debenture and/or Warrant may not exceed, in the aggregate, 841,726 shares (i.e., 19.99% of the number of shares of our common stock outstanding on the date the Agreement was signed), unless and until we have obtained stockholder approval.

2

The Debenture accrues interest at the rate of 8% per annum, which does not begin accruing until December 1, 2023, and will be payable on a quarterly basis. Interest may be paid in cash or shares of our common stock or a combination thereof at our option; provided that interest may only be paid in shares if the Equity Conditions (as defined in the Debenture) have been satisfied, including the stockholder approval condition as described above.

Both the Debenture and the Warrant provide for adjustments to the Conversion Price and Exercise Price, respectively, in connection with stock dividends and splits, subsequent equity sales and rights offerings, pro rata distributions, and certain fundamental transactions. Both the Debenture and the Warrant include a beneficial ownership blocker of 9.99%, which may only be waived by the selling stockholder upon 61 days’ notice to us.

The issuance of the Debenture and the Warrant to the selling stockholder was exempt from the registration requirements of the Securities Act pursuant to the exemption for transactions by an issuer not involving any public offering under Section 4(a)(2) of the Securities Act.

Pursuant to the terms of the Agreement, we entered into a registration rights agreement with the selling stockholder on December 22, 2022 (the “Registration Rights Agreement”), pursuant to which we agreed to file one or more registration statements, as necessary, and to the extent permissible, to register under the Securities Act the resale of (a) all shares of our common stock issued and issuable upon conversion in full of the Debenture (without regard to any conversion limitations therein), (b) all shares of our common stock issued and issuable as interest or principal on the Debenture (assuming all permissible interest and principal payments are made in shares of our common stock and the Debenture is held until maturity), (c) all Warrant Shares then issued and issuable upon exercise of the Warrant (without regard to any exercise limitations therein), (d) any additional shares of our common stock issued and issuable in connection with any anti-dilution provisions in the Debenture or the Warrant (in each case, without giving effect to any limitations on conversion set forth in the Debenture or limitations on exercise set forth in the Warrant) and (e) any securities issued or then issuable upon any stock split, dividend or other distribution, recapitalization or similar event with respect to the foregoing.

Reverse Stock Split

Effective as of November 23, 2022, we completed a 1-for-10 reverse stock split of our common stock in order to regain compliance with Nasdaq Listing Rule 5550(a)(2), which requires a minimum bid price of $1.00 per share. As a result of the reverse stock split, each 10 shares of our common stock issued and outstanding as of 12:01 a.m. Eastern Time on November 23, 2022 were combined and converted into one share of common stock. On December 9, 2022, we received written notice from the Listing Qualifications Department of The Nasdaq Stock Market LLC stating that because our shares of common stock had a closing bid price at or above $1.00 per share for a minimum of 10 consecutive business days, the Company has regained compliance with the minimum bid price requirement of $1.00 per share for continued listing on The Nasdaq Capital Market, as set forth in Nasdaq Listing Rule 5550(a)(2), and that the matter is now closed. All references to numbers of shares of Common Stock and per-share information in this prospectus orhave been adjusted retroactively, as appropriate, to reflect the 1-for-10 reverse stock split.

Corporate Background

Ritter Pharmaceuticals, Inc. (our predecessor) was formed as a Nevada limited liability company on March 29, 2004 under the name Ritter Natural Sciences, LLC. In September 2008, this company converted into a Delaware corporation under the name Ritter Pharmaceuticals, Inc. On May 22, 2020, upon completing a “reverse recapitalization” transaction with Qualigen, Inc., Ritter Pharmaceuticals, Inc. was renamed Qualigen Therapeutics, Inc. Qualisys Diagnostics, Inc. was formed as a Minnesota corporation in 1996, reincorporated to become a Delaware corporation in 1999, and then changed its name to Qualigen, Inc. in 2000. Qualigen, Inc. is now a wholly-owned subsidiary of the Company.

Our principal executive offices are located at 2042 Corte Del Nogal, Carlsbad, CA 92011. Our telephone number is (760) 918-9165.

3

RISK FACTORS

Investing in our securities involves a high degree of risk. You should carefully consider the risks described in the documents incorporated by reference in this prospectus and any prospectus supplement, are only estimatesas well as other information we include or predictions of future events based on information currently available to our managementincorporate by reference into this prospectus and management’s current beliefs about the potential outcome of future events. Whether these future events will occur as management anticipates, whether we will achieve ourany applicable prospectus supplement, before making an investment decision. Our business, objectives, and whether our revenues, operating results or financial condition will improve in future periods are subjector results of operations could be materially adversely affected by the materialization of any of these risks. The trading price of our securities could decline due to numerous risks. There are a numberthe materialization of important factorsany of these risks, and you may lose all or part of your investment. This prospectus and the documents incorporated herein by reference also contain forward-looking statements that could cause actualinvolve risks and uncertainties. Actual results tocould differ materially from the resultsthose anticipated byin these forward-looking statements. These importantstatements as a result of certain factors, include those that we discuss underincluding the heading “Risk Factors” andrisks described in other sections ofthe documents incorporated herein by reference, including (i) our Annual Report on Form 10-K for the fiscal year ended December 31, 2018,2021, filed with the SEC on March 31, 2022, as amended on April 29, 2022, and incorporated herein by reference, and (ii) our Quarterly Reportsmost recent quarterly report on Form 10-Q for the quarterly periodfiscal quarter ended March 31, 2019, eachSeptember 30, 2022 filed with the SEC as well as inon November 14, 2022 and incorporated herein by reference, our Current Reports filedcurrent reports on Form 8-K and other documents we file with the SEC from time to time with the SEC, that are deemed incorporated by reference into this prospectus. You should read these factors and the other cautionary statements made in this prospectus and in the documents we incorporate by reference into this prospectus as being applicable to all related forward-looking statements wherever they appear in this prospectus or the documents we incorporate by reference into this prospectus. If one or more of these factors materialize, or if any underlying assumptions prove incorrect, our actual results, performance or achievements may vary materially from any future results, performance or achievements expressed or implied by these forward-looking statements. We undertake no obligation to publicly update any forward-looking statements, whether as a result of new information, future events or otherwise, except as required by law.

 

4

USE OF PROCEEDS

 

We cannot assure you that we will not receive any proceeds in connection with securities which may be offered pursuant to this prospectus. Unless otherwise indicated inof the applicable prospectus supplement, we intend to use any net proceeds from the sale of securities undershares of our common stock in this offering. The selling stockholder will receive all of the proceeds from the sale of shares of common stock hereunder.

We may, however, receive cash proceeds equal to the exercise price of the Warrants that the selling stockholder may exercise, to the extent any such Warrants are exercised for cash. The Warrants may be exercised, in whole or in part, for cash or by means of cashless exercise if, at the time of exercise, there is no effective registration statement registering, or the prospectus contained therein is not available for, our operationsthe resale of the Warrant Shares by the selling stockholder. If all of the Warrants are exercised for cash, then we will receive gross proceeds of approximately $4.1 million, subject to any adjustments. We expect to use any proceeds received by us from the cash exercise of these Warrants to advance the Company’s QN-302 Investigative New Drug candidate towards clinical trials and for other general corporate purposes, including, but not limited to, our internal research and development programs and the development of new programs, general working capital and possible future acquisitions. We have not determined the amounts we plan to spend on any of the areas listed above or the timing of these expenditures. As a result, our management will have broad discretion to allocate the net proceeds, if any, we receive in connection with securities offered pursuant to this prospectus for any purpose. Pending application of the net proceeds as described above, we may initially invest the net proceeds in short-term, investment-grade, interest-bearing securities or apply them to the reduction of short-term indebtedness.purposes.

 

5

SELLING STOCKHOLDER

We have prepared this prospectus to allow the selling stockholder to offer and sell from time to time up to an aggregate of 5,157,087 Resale Shares for its own account, consisting of (i) 2,657,087 shares of our common stock issuable as interest and/or principal on the Debenture (assuming all permissible interest and principal payments are made in shares of our common stock and the Debenture is held until maturity), based on the initial conversion price of $1.32, and (iii) 2,500,000 Warrant Shares issuable upon exercise of the Warrant (without regard to any exercise limitations therein) at the initial exercise price of $1.65.

We are registering the offer and sale of the Resale Shares to satisfy certain registration rights that we granted the selling stockholder in connection with the issuance of the Debenture and the Warrant.

The following table sets forth (i) the name of the selling stockholder, (ii) the number of shares beneficially owned by the selling stockholder, (iii) the number of Resale Shares that may be offered under this prospectus, and (iv) the number of shares of our common stock beneficially owned by the selling stockholders after the offering assuming all of the Resale Shares covered by this prospectus are sold.

The number of shares of common stock set forth in the following table for the selling stockholder does not take into account the exercise limitations set forth in the Debenture and the Warrant, or the fact that the conversion price of the Debenture and the exercise price of the Warrant may be adjusted from time to time in accordance with their terms. As a result, the actual number of Resale Shares that may be issued to and sold by the selling stockholder could be materially less or more than the estimated numbers in the column titled “Number of Shares Being Offered” depending on factors which cannot be predicted by us at this time. In addition, we do not know how long the selling stockholder will hold the Resale Shares before selling them, and we currently have no agreements, arrangements or understandings with the selling stockholder regarding the sale or other disposition of any Resale Shares.

Except as described in this prospectus, the selling stockholder does not have, nor has it had during the three years prior to the date of this prospectus, any position, office or other material relationships with us or any of our predecessors or affiliates. To our knowledge, except as set forth in the table below, the selling stockholder is not a broker-dealer or affiliated with a broker-dealer, nor at the time of the acquisition of the Debenture and the Warrant did it have direct or indirect agreements or understandings with any person to distribute any common stock, including the Resale Shares.

The information set forth in the table below is based upon information obtained from the selling stockholders. Beneficial ownership of the selling stockholder is determined in accordance with Rule 13d-3(d) under the Exchange Act. The percentage of shares beneficially owned after the offering is based on 4,210,737 shares of our common stock outstanding as of December 30, 2022, after giving effect to the issuance of an aggregate of 5,157,087 Resale Shares.

As used in this prospectus, the term “Selling Stockholder” includes the selling stockholder listed in the table below, together with any additional selling stockholders listed in a prospectus supplement, and their donees, pledgees, assignees, transferees, distributees and successors-in-interest that receive Resale Shares in any non-sale transfer after the date of this prospectus.

        Beneficial Ownership After this Offering
Name of Selling Stockholder Shares of Common
Stock Beneficially
Owned Prior to
this Offering
  Number of
Shares
Being
Offered
  Number of
Shares
 Percent of
Outstanding
Common Stock
Alpha Capital Anstalt 450,083(1)  5,157,087  703,592(2)7.10%

(1) Includes 156,583 shares of common stock held directly by the selling stockholder and 293,500 shares of common stock issuable upon the exercise of warrants held by the selling stockholder prior to the Private Placement. This number does not include 253,509 shares issuable upon the exercise of warrants held by the selling stockholder prior to the Private Placement, which may not be exercised to the extent that such exercise will result in the selling stockholder (and its affiliates) beneficially owning more than 9.99% of the number of shares of our common stock outstanding immediately after giving effect to the issuance of shares of common stock issuable upon exercise, or any of the Resale Shares. The address of Alpha Capital Anstalt is Altenbach 8, 9490 Vaduz, Liechtenstein.

(2) This number consists of 156,583 shares of common stock held directly by the selling stockholder and 547,009 shares of our common stock issuable upon the exercise of warrants held by the selling stockholder prior to the Private Placement, which will continue to be held by the selling stockholder after this offering.

26

 

 

PLAN OF DISTRIBUTION

 

General PlanWe are registering the Resale Shares that may be issued to the selling stockholder pursuant to the terms of Distribution

We may offer securities under this prospectusthe Debenture and the Warrant to permit the resale of these Resale Shares by the selling stockholder from time to time pursuant to underwritten public offerings, negotiated transactions, block trades or a combinationafter the date of these methods.this prospectus. We may sellwill not receive any of the securities (1) through underwriters or dealers, (2) through agents or (3) directly to one or more purchasers, or through a combinationproceeds from the sale of such methods. WeResale Shares by the selling stockholder, other than the exercise price of the Warrant if paid in cash.

The selling stockholder and any of its donees, pledgees, assignees and successors-in-interest may, distribute the securities from time to time, sell, transfer or otherwise dispose of any or all of the Resale Shares covered hereby on the principal trading market or any other stock exchange, market or trading facility on which our common stock is then traded or in private transactions. These dispositions may be at fixed prices, at prevailing market prices at the time of sale, at prices related to the prevailing market price, at varying prices determined at the time of sale, or at negotiated prices. The selling stockholder may use any one or more transactions at:of the following methods when selling securities:

 

a fixed price or prices,ordinary brokerage transactions and transactions in which may be changed from time to time;the broker-dealer solicits purchasers;
   
market prices prevailing atblock trades in which the timebroker-dealer will attempt to sell the Resale Shares as agent but may position and resell a portion of sale;the block as principal to facilitate the transaction;
   
prices relatedpurchases by a broker-dealer as principal and resale by the broker-dealer for its own account;
an exchange distribution in accordance with the rules of the applicable exchange;
privately negotiated transactions;
settlement of short sales;
in transactions through broker-dealers that agree with the Selling Stockholder to sell a specified number of such securities at a stipulated price per security;
through the prevailing market prices;writing or settlement of options or other hedging transactions, whether through an options exchange or otherwise;
a combination of any such methods of sale; or
   
negotiated prices.any other method permitted pursuant to applicable law.

 

We may directly solicit offers to purchase the securities being offered by this prospectus. WeThe selling stockholder may also designate agentssell the Resale Shares under Rule 144 or any other exemption from registration under the Securities Act, if available, rather than under this prospectus.

Broker-dealers engaged by the selling stockholder may arrange for other brokers-dealers to solicit offers to purchaseparticipate in sales. Broker-dealers may receive commissions or discounts from the selling stockholder (or, if any broker-dealer acts as agent for the purchaser of securities, from timethe purchaser) in amounts to time. We will namebe negotiated, but, except as set forth in a prospectus supplement any underwriter or agent involvedto this prospectus, in the offer or salecase of the securities.

If we utilizean agency transaction not in excess of a dealercustomary brokerage commission in compliance with FINRA Rule 2121; and in the salecase of the securities being offered by this prospectus, we will sell the securities to the dealer, as principal. The dealer may then resell the securities to the public at varying prices to be determined by the dealer at the time of resale.

If we utilize an underwritera principal transaction a markup or markdown in the sale of the securities being offered by this prospectus, we will execute an underwriting agreementcompliance with the underwriter at the time of sale, and we will provide the name of any underwriter in the prospectus supplement which the underwriter will use to make re-sales of the securities to the public.FINRA Rule 2121. In connection with the sale of the securities, we,Resale Shares or interests therein, the purchasersselling stockholder may enter into hedging transactions with broker-dealers or other financial institutions, which may in turn engage in short sales of the securities for whom the underwriter may act as agent, may compensate the underwriterResale Shares in the formcourse of underwriting discountshedging the positions they assume. The selling stockholder may also sell the Resale Shares short and deliver the Resale Shares to close out its short positions, or commissions. The underwriterloan or pledge the Resale Shares to broker-dealers that in turn may sell the Resale Shares. The selling stockholder may also enter into option or other transactions with broker-dealers or other financial institutions or create one or more derivative securities which require the delivery to such broker-dealer or through dealers,other financial institution of the Resale Shares offered by this prospectus, which Resale Shares such broker-dealer or other financial institution may resell pursuant to this prospectus (as supplemented or amended to reflect such transaction).

The selling stockholder may, from time to time, pledge or grant a security interest in some or all of the Resale Shares owned by it and, the underwriter may compensate those dealersif it defaults in the formperformance of discounts, concessionsits secured obligations, the pledgees or commissions.

With respectsecured parties may offer and sell the Resale Shares, from time to underwritten public offerings, negotiated transactions and block trades, we will provide in the applicabletime, under this prospectus, supplement information regarding any compensation we pay to underwriters, dealers or agents in connection with the offering of the securities, and any discounts, concessions or commissions allowed by underwriters to participating dealers. Underwriters, dealers and agents participating in the distribution of the securities may be deemed to be underwriters within the meaning of the Securities Act of 1933, as amended, or the Securities Act, and any discounts and commissions received by them and any profit realized by them on resale of the securities may be deemed to be underwriting discounts and commissions. We may enter into agreements to indemnify underwriters, dealers and agents against civil liabilities, including liabilities under the Securities Act, or to contribute to payments they may be required to make in respect thereof.

If so indicated in the applicable prospectus supplement, we will authorize underwriters or other persons acting as our agents to solicit offers by certain institutions to purchase securities from us pursuant to delayed delivery contracts providing for payment and delivery on the date stated in the prospectus supplement. Each contract will be for an amount not less than, and the aggregate amount of securities sold pursuant to such contracts shall not be less nor more than, the respective amounts stated in the prospectus supplement. Institutions with whom the contracts, when authorized, may be made include commercial and savings banks, insurance companies, pension funds, investment companies, educational and charitable institutions and other institutions, but shall in all cases be subject to our approval. Delayed delivery contracts will not be subject to any conditions except that:

the purchase by an institution of the securities covered under that contract shall not at the time of delivery be prohibited under the laws of the jurisdiction to which that institution is subject; and
if the securities are also being sold to underwriters acting as principals for their own account, the underwriters shall have purchased such securities not sold for delayed delivery. The underwriters and other persons acting as our agents will not have any responsibility in respect of the validity or performance of delayed delivery contracts.

Shares of our common stock sold pursuantamendment to the registration statement of which this prospectus isforms a part amending the list of selling stockholders to include the pledgee, transferee or other successors in interest as selling stockholders under this prospectus. The selling stockholder may also transfer the Resale Shares in other circumstances, in which case the pledgees, transferees or other successors in interest will be authorizedthe selling beneficial owners for quotation and trading on the Nasdaq Capital Market. The applicable prospectus supplement will contain information, where applicable, as to any other listing, if any, on the Nasdaq Capital Market or any securities market or other securities exchangepurposes of the securities covered by the prospectus supplement. We can make no assurance as to the liquidity of or the existence of trading markets for any of the securities.

In order to facilitate the offering of the securities, certain persons participating in the offering may engage in transactions that stabilize, maintain or otherwise affect the price of the securities. This may include over-allotments or short sales of the securities, which involve the sale by persons participating in the offering of more securities than we sold to them. In these circumstances, these persons would cover such over-allotments or short positions by making purchases in the open market or by exercising their over-allotment option. In addition, these persons may stabilize or maintain the price of the securities by bidding for or purchasing the applicable security in the open market or by imposing penalty bids, whereby selling concessions allowed to dealers participating in the offering may be reclaimed if the securities sold by them are repurchased in connection with stabilization transactions. The effect of these transactions may be to stabilize or maintain the market price of the securities at a level above that which might otherwise prevail in the open market. These transactions may be discontinued at any time.

The underwriters, dealers and agents may engage in other transactions with us, or perform other services for us, in the ordinary course of their business.this prospectus.

 

37

 

 

DESCRIPTION OF CAPITAL STOCK

General

The following descriptionselling stockholder and any broker-dealers or agents that are involved in selling the Resale Shares may be deemed to be “underwriters” within the meaning of our capital stockSection 2(11) of the Securities Act in connection with such sales. In such event, any discounts, commissions, concessions or profits received by such broker-dealers or agents and certain provisionsany profit on the resale of our amended and restated certificate of incorporation and amended and restated bylaws are summaries and are qualifiedthe Resale Shares purchased by referencethem may be deemed to our amended and restated certificate of incorporation and our amended and restated bylaws.

Our authorized capital stock consists of 240,000,000 shares, all with a par value of $0.001 per share, 225,000,000 of which are designated as common stock and 15,000,000 of which are designated as preferred stock, consisting of (i) 9,500 shares that have been designated Series A Convertible Preferred Stock, (ii) 6,000 shares that have been designated as Series B Convertible Preferred Stock, and (iii) 1,880 shares that have been designated as Series C Convertible Preferred Stock.

As of July 23, 2019, we had 35 holders of record of our common stock, which excludes stockholders whose shares were held in nomineebe underwriting commissions or street name by brokers. The actual number of common stockholders is greater thandiscounts under the number of record holders and includesSecurities Act. Selling stockholders who are beneficial owners, but whose shares are held in street name by brokers and other nominees. This number“underwriters” within the meaning of holders of record also does not include stockholders whose shares may be held in trust by other entities.

Common Stock

Pursuant to the terms of our amended and restated certificate of incorporation, the holders of common stock are entitled to one vote per share on all matters to be voted upon by the stockholders, except on matters relating solely to terms of preferred stock. Subject to preferences that may be applicable to any outstanding preferred stock, the holders of common stock will be entitled to receive ratably such dividends, if any, as may be declared from time to time by the board of directors out of funds legally available therefor. See “Dividend Policy.” In the event of our liquidation, dissolution or winding up, the holders of our common stock will be entitled to share ratably in all assets remaining after payment of liabilities, subject to prior distribution rights of preferred stock, if any, then outstanding. The holders of our common stock will have no preemptive or conversion rights or other subscription rights. There will be no redemption or sinking fund provisions applicable to our common stock.

As of July 23, 2019, we had 9,350,026 shares of our common stock outstanding.

Preferred Stock

Pursuant to the terms of our amended and restated certificate of incorporation, our board of directors has the authority to issue preferred stock in one or more classes or series and to fix the designations, powers, preferences and rights, and the qualifications, limitations or restrictions thereof, including dividend rights, conversion right, voting rights, terms of redemption, liquidation preferences and the number of shares constituting any class or series, without further vote or action by the stockholders.

The issuance of shares of preferred stock, or the issuance of rights to purchase such shares, may decrease the amount of earnings and assets available for distribution to the holders of common stock, could adversely affect the rights and powers, including voting rights,Section 2(11) of the common stock, and could have the effect of delaying, deterring or preventing a change of control of us or an unsolicited acquisition proposal.

As of July 23, 2019, we had 6,720 shares of preferred stock outstanding, consisting of (i) 4,080 shares of Series A Convertible Preferred Stock, (ii) 2,400 shares of Series B Convertible Preferred Stock, and (iii) 240 shares of Series C Convertible Preferred Stock.

Equity Incentive Plans

As of July 23, 2019, we had outstanding options to acquire 1,341,135 shares of our common stock, having a weighted-average exercise price of $10.25 per share. We also had 1,410,000 restricted stock units outstanding. Each restricted stock unit represents a contingent right to receive one share of our common stock provided certain timing and/or performance conditions are satisfied.

Warrants

As of July 23, 2019, we had outstanding warrants to purchase an aggregate of 8,413,017 shares of our common stock, having a weighted-average exercise price of $1.78 per share.

4

Anti-Takeover Effects of Delaware Law and Our Amended and Restated Certificate of Incorporation and Amended and Restated Bylaws

The provisions of Delaware law and our amended and restated certificate of incorporation and amended and restated bylaws, could discourage or make it more difficult to accomplish a proxy contest or other change in our management or the acquisition of control by a holder of a substantial amount of our voting stock. It is possible that these provisions could make it more difficult to accomplish, or could deter, transactions that stockholders may otherwise consider toSecurities Act will be in their best interests or in our best interests. These provisions are intended to enhance the likelihood of continuity and stability in the composition of our board of directors and in the policies formulated by the board of directors and to discourage certain types of transactions that may involve an actual or threatened change of our control. These provisions are designed to reduce our vulnerability to an unsolicited acquisition proposal and to discourage certain tactics that may be used in proxy fights. Such provisions also may have the effect of preventing changes in our management.

Delaware Statutory Business Combinations Provision. We are subject to the anti-takeover provisions of Section 203prospectus delivery requirements of the Delaware General Corporation Law,Securities Act. The selling stockholder has informed us that it does not have any written or oral agreement or understanding, directly or indirectly, with any person to distribute the DGCL. Section 203 prohibits a publicly-held Delaware corporation from engaging in a “business combination” with an “interested stockholder” for a period of three years afterResale Shares.

To the dateextent required, the Resale Shares to be sold, the names of the transaction in whichselling stockholder, the person became an interested stockholder, unlessrespective purchase prices and public offering prices, the business combination is, or the transaction in which the person became an interested stockholder was, approved in a prescribed manner or another prescribed exception applies. For purposes of Section 203, a “business combination” is defined broadly to include a merger, asset sale or other transaction resulting in a financial benefit to the interested stockholder, and, subject to certain exceptions, an “interested stockholder” is a person who, together with his or her affiliates and associates, owns, or within three years prior, did own, 15% or more of the corporation’s voting stock.

Election and Removal of Directors. Except as may otherwise be provided by the DGCL, any director or the entire board of directors may be removed, with or without cause, at an annual meeting or a special meeting called for that purpose, by the affirmative vote of the majority of the votes cast by the shares of our capital stock present in person or represented by proxy at such meeting and entitled to vote thereon, provided a quorum is present. Vacancies on our board of directors resulting from the removal of directors and newly created directorships resulting from any increase in the number of directors may be filled solely by the affirmative vote of a majority of the remaining directors then in office (although less than a quorum) or by the sole remaining director. This system of electing and removing directors may discourage a third party from making a tender offer or otherwise attempting to obtain control of us, because it generally makes it more difficult for stockholders to replace a majority of our directors. Our amended and restated certificate of incorporation and amended and restated bylaws do not provide for cumulative voting in the election of directors.

Advance Notice Provisions for Stockholder Proposals and Stockholder Nominations of Directors. Our amended and restated bylaws provide that, for nominations to the board of directors or for other business to be properly brought by a stockholder before a meeting of stockholders, the stockholder must first have given timely notice of the proposal in writing to our Secretary. For an annual meeting, a stockholder’s notice generally must be delivered not less than 90 days or more than 120 days prior to the anniversary of the previous year’s annual meeting.

Special Meetings of Stockholders. Special meetings of the stockholders may be called at any time only by the board of directors, the Chairman of the board of directors, the Chief Executive Officer or the President, subject to the rights of the holdersnames of any series of preferred stock then outstanding.

Blank-Check Preferred Stock. Our board of directors is authorized to issue, without stockholder approval, preferred stock, the rights of which will be determined at the discretion of the board of directorsagents, dealer or underwriter, and that, if issued, could operate as a “poison pill” to dilute the stock ownership of a potential hostile acquirer to prevent an acquisition that our board of directors does not approve.

Transfer Agent and Registrar

The transfer agent and registrar for our common stock is Corporate Stock Transfer, Inc.

Stock Market Listing

Our common stock is listed on The Nasdaq Capital Market under the symbol “RTTR.”

5

DESCRIPTION OF DEBT SECURITIES

The following description, together with the additional information we include in any applicable prospectus supplements, summarizes the material terms and provisions of the debt securities that we may offer under this prospectus. While the terms we have summarized below will apply generally to any future debt securities we may offer pursuant to this prospectus, we will describe the particular terms of any debt securities that we may offer in more detail in the applicable prospectus supplement. If we so indicate in a prospectus supplement, the terms of any debt securities offered under such prospectus supplement may differ from the terms we describe below, and to the extent the terms set forth in a prospectus supplement differ from the terms described below, the terms set forth in the prospectus supplement shall control.

We may sell from time to time, in onecommissions or more offerings under this prospectus, debt securities, which may be senior or subordinated. We will issue any such senior debt securities under a senior indenture that we will enter into with a trustee to be named in the senior indenture. We will issue any such subordinated debt securities under a subordinated indenture, which we will enter into with a trustee to be named in the subordinated indenture. We use the term “indentures” to refer to either the senior indenture or the subordinated indenture, as applicable. The indentures will be qualified under the Trust Indenture Act of 1939, as in effect on the date of the indenture. We use the term “debenture trustee” to refer to either the trustee under the senior indenture or the trustee under the subordinated indenture, as applicable.

The following summaries of material provisions of the senior debt securities, the subordinated debt securities and the indentures are subject to, and qualified in their entirety by reference to, all the provisions of the indenture applicable to a particular series of debt securities.

General

Each indenture will provide that debt securities may be issued from time to time in one or more series and may be denominated and payable in foreign currencies or units based on or relating to foreign currencies. Neither indenture will limit the amount of debt securities that may be issued thereunder, and each indenture will provide that the specific terms of any series of debt securities shall be set forth in, or determined pursuant to, an authorizing resolution and/or a supplemental indenture, if any, relating to such series.

We will describe in each prospectus supplement the following terms relating to a series of debt securities:

the title or designation;
the aggregate principal amount and any limit on the amount that may be issued;
the currency or units based on or relating to currencies in which debt securities of such series are denominated and the currency or units in which principal or interest or both will or may be payable;
whether we will issue the series of debt securities in global form, the terms of any global securities and who the depositary will be;
the maturity date and the date or dates on which principal will be payable;
the interest rate, which may be fixed or variable, or the method for determining the rate and the date interest will begin to accrue, the date or dates interest will be payable and the record dates for interest payment dates or the method for determining such dates;
whether or not the debt securities will be secured or unsecured, and the terms of any secured debt;
the terms of the subordination of any series of subordinated debt;
the place or places where payments will be payable;

6

our right, if any, to defer payment of interest and the maximum length of any such deferral period;
the date, if any, after which, and the price at which, we may, at our option, redeem the series of debt securities pursuant to any optional redemption provisions;
the date, if any, on which, and the price at which we are obligated, pursuant to any mandatory sinking fund provisions or otherwise, to redeem, or at the holder’s option to purchase, the series of debt securities;
whether the indenture will restrict our ability to pay dividends, or will require us to maintain any asset ratios or reserves;
whether we will be restricted from incurring any additional indebtedness;
a discussion on any material or special U.S. federal income tax considerations applicable to a series of debt securities;
the denominations in which we will issue the series of debt securities, if other than denominations of $1,000 and any integral multiple thereof; and
any other specific terms, preferences, rights or limitations of, or restrictions on, the debt securities.

We may issue debt securities that provide for an amount less than their stated principal amount to be due and payable upon declaration of acceleration of their maturity pursuant to the terms of the indenture. We will provide you with information on the federal income tax considerations and other special considerations applicable to any of these debt securities in the applicable prospectus supplement.

Conversion or Exchange Rights

We will set forth in the prospectus supplement the terms, if any, on which a series of debt securities may be convertible into or exchangeable for our common stock or our other securities. We will include provisions as to whether conversion or exchange is mandatory, at the option of the holder or at our option. We may include provisions pursuant to which the number of shares of our common stock or our other securities that the holders of the series of debt securities receive would be subject to adjustment.

Information Concerning the Debenture Trustee

The debenture trustee, other than during the occurrence and continuance of an event of default under the applicable indenture, undertakes to perform only those duties as are specifically set forth in the applicable indenture. Upon an event of default under an indenture, the debenture trustee under such indenture must use the same degree of care as a prudent person would exercise or use in the conduct of his or her own affairs. Subject to this provision, the debenture trustee is under no obligation to exercise any of the powers given it by the indentures at the request of any holder of debt securities unless it is offered reasonable security and indemnity against the costs, expenses and liabilities that it might incur.

Payment and Paying Agents

Unless we otherwise indicate in the applicable prospectus supplement, we will make payment of the interest on any debt securities on any interest payment date to the person in whose name the debt securities, or one or more predecessor securities, are registered at the close of business on the regular record date for the interest.

We will pay principal of and any premium and interest on the debt securities of a particular series at the office of the paying agents designated by us, except that unless we otherwise indicate in the applicable prospectus supplement, we will make interest payments by check which we will mail to the holder. Unless we otherwise indicate in a prospectus supplement, we will designate the corporate trust office of the debenture trustee in the City of New York as our sole paying agent for paymentsdiscounts with respect to debt securities of each series. We will name in the applicable prospectus supplement any other paying agents that we initially designate for the debt securities of a particular series. We will maintain a paying agent in each place of payment for the debt securities of a particular series.

All money we pay to a paying agent or the debenture trustee for the payment of the principal of or any premium or interest on any debt securities which remains unclaimed at the end of two years after such principal, premium or interest has become due and payable will be repaid to us, and the holder of the security thereafter may look only to us for payment thereof.

Governing Law

The indentures and the debt securities will be governed by and construed in accordance with the laws of the State of New York, except to the extent that the Trust Indenture Act is applicable.

Subordination of Subordinated Debt Securities

Our obligations pursuant to any subordinated debt securities will be unsecured and will be subordinate and junior in priority of payment to certain of our other indebtedness to the extent described in a prospectus supplement. The subordinated indenture does not limit the amount of senior indebtedness we may incur. It also does not limit us from issuing any other secured or unsecured debt.

7

DESCRIPTION OF WARRANTS

General

We may issue warrants to our stockholders to purchase shares of our common stock, preferred stock and/or debt securities. We may offer warrants separately or together with one or more additional warrants, debt securities, common stock, preferred stock, rights or purchase contracts, or any combination of those securities in the form of units, as described in the applicable prospectus supplement. Each series of warrants will be issued under a separate warrant agreement to be entered into between us and a bank or trust company, as warrant agent. The warrant agent will act solely as our agent in connection with the certificates relating to the rights of the series of certificates and will not assume any obligation or relationship of agency or trust for or with any holders of rights certificates or beneficial owners of rights. The following description sets forth certain general terms and provisions of the rights to which any prospectus supplement may relate. The particular terms of the warrant to which any prospectus supplement may relate and the extent, if any, to which the general provisions may apply to the rights so offered will be described in the applicable prospectus supplement. To the extent that any particular terms of the warrant, warrant agreement or warrant certificates described in a prospectus supplement differ from any of the terms described below, then the terms described below will be deemed to have been superseded by that prospectus supplement. We encourage you to read the applicable warrant agreement and warrant certificate for additional information before you decide whether to purchase any of our rights.

We will provide in a prospectus supplement the following terms of the warrants being issued:

the specific designation and aggregate number of, and the price at which we will issue, the warrants;
the currency or currency units in which the offering price, if any, and the exercise price are payable;
the designation, amount and terms of the securities purchasable upon exercise of the warrants;
if applicable, the exercise price for shares of our common stock and the number of shares of common stock to be received upon exercise of the warrants;
if applicable, the exercise price for shares of our preferred stock, the number of shares of preferred stock to be received upon exercise, and a description of that series of our preferred stock;
if applicable, the exercise price for our debt securities, the amount of debt securities to be received upon exercise, and a description of that series of debt securities;
the date on which the right to exercise the warrants will begin and the date on which that right will expire or, if you may not continuously exercise the warrants throughout that period, the specific date or dates on which you may exercise the warrants;
whether the warrants will be issued in fully registered form or bearer form, in definitive or global form or in any combination of these forms, although, in any case, the form of a warrant included in a unit will correspond to the form of the unit and of any security included in that unit;
any applicable material U.S. federal income tax consequences;
the identity of the warrant agent for the warrants and of any other depositaries, execution or paying agents, transfer agents, registrars or other agents;
the proposed listing, if any, of the warrants or any securities purchasable upon exercise of the warrants on any securities exchange;
if applicable, the date from and after which the warrants and the common stock, preferred stock and/or debt securities will be separately transferable;
if applicable, the minimum or maximum amount of the warrants that may be exercised at any one time;
information with respect to book-entry procedures, if any;
the anti-dilution provisions of the warrants, if any;
any redemption or call provisions;
whether the warrants may be sold separately or with other securities as parts of units; and
any additional terms of the warrants, including terms, procedures and limitations relating to the exchange and exercise of the warrants.

Each warrant will entitle the holder of rights to purchase for cash the principal amount of shares of common stock or other securities at the exercise price provided in the applicable prospectus supplement. Warrants may be exercised at any time up to the close of business on the expiration date for the rights provided in the applicable prospectus supplement.

Holders may exercise warrants as described in the applicable prospectus supplement. Upon receipt of payment and the warrant certificate properly completed and duly executed at the corporate trust office of the rights agent or any other office indicated in the prospectus supplement, we will, as soon as practicable, forward the shares of common stock or other securities, as applicable, purchasable upon exercise of the rights. If less than all of the warrants issued in any rights offering are exercised, we may offer any unsubscribed securities directly to persons other than stockholders, to or through agents, underwriters or dealers or through a combination of such methods, including pursuant to standby arrangements, as described in the applicable prospectus supplement.

Warrant Agent

The warrant agent for any warrants we offer will be set forth in an accompanying prospectus supplement or, if appropriate, a post-effective amendment to the applicable prospectus supplement.

8

DESCRIPTION OF RIGHTSregistration statement that includes this prospectus.

 

GeneralThe Resale Shares will be sold only through registered or licensed brokers or dealers if required under applicable state securities laws. In addition, in certain states, the Resale Shares covered hereby may not be sold unless they have been registered or qualified for sale in the applicable state or an exemption from the registration or qualification requirement is available and is complied with.

 

We may issue rightsare required to our stockholderspay certain fees and expenses incurred by us incident to purchase sharesthe registration of our common stock, preferred stock, and/or debt securities described inthe Resale Shares. Discounts, concessions, commissions and similar selling expenses attributable to the sale of Resale Shares covered by this prospectus. We may offer rights separately or together with one or more additional rights, debt securities, common stock, warrants or purchase contracts, or any combination of those securities in the form of units, as described in the applicable prospectus supplement. Each series of rights will be issuedborne by the selling stockholder. We have agreed to indemnify the selling stockholder against certain losses, claims, damages and liabilities, including liabilities under a separate rights agreement to be entered into between us and a bank or trust company, as rights agent. The rights agent will act solely as our agent in connection with the certificatesSecurities Act, relating to the rightsregistration of the seriesResale Shares offered by this prospectus.

We agreed to keep this prospectus effective until the earlier of certificates(i) the date on which the securities may be resold by the selling stockholder without registration and without regard to any volume or manner-of-sale limitations by reason of Rule 144, without the requirement for us to be in compliance with the current public information under Rule 144 under the Securities Act or (ii) all of the securities have been sold pursuant to this prospectus or Rule 144 under the Securities Act.

Under applicable rules and regulations under the Exchange Act, any person engaged in the distribution of the Resale Shares may not simultaneously engage in market making activities with respect to the Resale Shares for the applicable restricted period, as defined in Regulation M, prior to the commencement of the distribution. In addition, the selling stockholder will not assume any obligation or relationship of agency or trust for or with any holders of rights certificates or beneficial owners of rights. The following description sets forth certain general terms andbe subject to applicable provisions of the rights toExchange Act and the rules and regulations thereunder, including Regulation M, which any prospectus supplement may relate. The particular termslimit the timing of purchases and sales of the rights to whichResale Shares by the selling stockholder or any prospectus supplement may relate and the extent, if any, to which the general provisions may apply to the rights so offered will be described in the applicable prospectus supplement. To the extent that any particular terms of the rights, rights agreement or rights certificates described in a prospectus supplement differ from any of the terms described below, then the terms described below will be deemed to have been superseded by that prospectus supplement. We encourage you to read the applicable rights agreement and rights certificate for additional information before you decide whether to purchase any of our rights.other person.

 

We will provide inmake copies of this prospectus available to the selling stockholder for the purpose of satisfying the requirement to deliver a copy of this prospectus supplementto each purchaser at or prior to the following termstime of the rights being issued:

the date of determining the stockholders entitled to the rights distribution;
the aggregate number of shares of common stock or other securities purchasable upon exercise of the rights;
the exercise price;
the aggregate number of rights issued;
whether the rights are transferrable and the date, if any, on and after which the rights may be separately transferred;
the date on which the right to exercise the rights will commence, and the date on which the right to exercise the rights will expire;
the method by which holders of rights will be entitled to exercise;
the conditions to the completion of the offering, if any;
the withdrawal, termination and cancellation rights, if any;
whether there are any backstop or standby purchaser or purchasers and the terms of their commitment, if any;
whether stockholders are entitled to oversubscription rights, if any;
any applicable U.S. federal income tax considerations; and
any other terms of the rights, including terms, procedures and limitations relating to the distribution, exchange and exercise of the rights, as applicable.

Each right will entitlesale (including by compliance with Rule 172 under the holder of rights to purchase for cash the principal amount of shares of common stock or other securities at the exercise price provided in the applicable prospectus supplement. Rights may be exercised at any time up to the close of business on the expiration date for the rights provided in the applicable prospectus supplement.

Holders may exercise rights as described in the applicable prospectus supplement. Upon receipt of payment and the rights certificate properly completed and duly executed at the corporate trust office of the rights agent or any other office indicated in the prospectus supplement, we will, as soon as practicable, forward the shares of common stock or other securities, as applicable, purchasable upon exercise of the rights. If less than all of the rights issued in any rights offering are exercised, we may offer any unsubscribed securities directly to persons other than stockholders, to or through agents, underwriters or dealers or through a combination of such methods, including pursuant to standby arrangements, as described in the applicable prospectus supplement.

Rights Agent

The rights agent for any rights we offer will be set forth in the applicable prospectus supplement.Securities Act).

 

9

DESCRIPTION OF UNITS

The following description, together with the additional information that we include in any applicable prospectus supplements summarizes the material terms and provisions of the units that we may offer under this prospectus. While the terms we have summarized below will apply generally to any units that we may offer under this prospectus, we will describe the particular terms of any series of units in more detail in the applicable prospectus supplement. The terms of any units offered under a prospectus supplement may differ from the terms described below.

We will incorporate by reference from reports that we file with the SEC, the form of unit agreement that describes the terms of the series of units we are offering, and any supplemental agreements, before the issuance of the related series of units. The following summaries of material terms and provisions of the units are subject to, and qualified in their entirety by reference to, all the provisions of the unit agreement and any supplemental agreements applicable to a particular series of units. We urge you to read the applicable prospectus supplements related to the particular series of units that we may offer under this prospectus, as well as any related free writing prospectuses and the complete unit agreement and any supplemental agreements that contain the terms of the units.

General

We may issue units consisting of common stock, preferred stock, one or more debt securities, warrants, rights or purchase contacts for the purchase of common stock, preferred stock and/or debt securities in one or more series, in any combination. Each unit will be issued so that the holder of the unit is also the holder of each security included in the unit. Thus, the holder of a unit will have the rights and obligations of a holder of each security included in the unit. The unit agreement under which a unit is issued may provide that the securities included in the unit may not be held or transferred separately, at any time or at any time before a specified date.

We will describe in the applicable prospectus supplement the terms of the series of units being offered, including:

the designation and terms of the units and of the securities comprising the units, including whether and under what circumstances those securities may be held or transferred separately;
any provisions of the governing unit agreement that differ from those described below; and
any provisions for the issuance, payment, settlement, transfer or exchange of the units or of the securities comprising the units.

The provisions described in this section, as well as those set forth in any prospectus supplement or as described under “Description of Capital Stock,” “Description of Debt Securities,” “Description of Warrants,” “Description of Rights” and “Description of Purchase Contracts” will apply to each unit, as applicable, and to any common stock, debt security, warrant, right or purchase contract included in each unit, as applicable.

Unit Agent

The name and address of the unit agent for any units we offer will be set forth in the applicable prospectus supplement.

Issuance in Series

We may issue units in such amounts and in such numerous distinct series as we determine.

Enforceability of Rights by Holders of Units

Each unit agent will act solely as our agent under the applicable unit agreement and will not assume any obligation or relationship of agency or trust with any holder of any unit. A single bank or trust company may act as unit agent for more than one series of units. A unit agent will have no duty or responsibility in case of any default by us under the applicable unit agreement or unit, including any duty or responsibility to initiate any proceedings at law or otherwise, or to make any demand upon us. Any holder of a unit may, without the consent of the related unit agent or the holder of any other unit, enforce by appropriate legal action its rights as holder under any security included in the unit.

108

 

 

LEGAL MATTERS

 

Reed Smith LLP, New York, New York, will pass upon the validity of the issuanceshares of the securities to becommon stock offered by this prospectus.hereby.

 

EXPERTS

 

Mayer Hoffman McCann P.C., ourThe consolidated financial statements of Qualigen Therapeutics, Inc. as of December 31, 2021 and 2020 and for the year ended December 31, 2021 and for the nine-month period ended December 31, 2020, incorporated in this prospectus by reference from the Company’s Annual Report on Form 10-K for the year ended December 31, 2021 have been audited by Baker Tilly US, LLP, an independent registered public accounting firm, has audited our balance sheets as of December 31, 2018 and 2017, and the related Statements of Operations and Comprehensive Loss, Statements of Changes in Stockholders’ Equity and Statements of Cash Flows for each of the two years in the period ended December 31, 2018, as set forthstated in their report which report expresses an unqualified opinion and includes an explanatory paragraph relating to our ability to continue as a going concern. We havethereon, incorporated herein by reference, our financial statementsand have been incorporated in this prospectus and in this registration statement in reliance onupon such report and upon the reportauthority of Mayer Hoffman McCann P.C. given on their authoritysuch firm as experts in accounting and auditing.

 

WHERE YOU CAN FIND MOREADDITIONAL INFORMATION

 

As permitted byThis prospectus is part of the registration statement on Form S-3 we filed with the SEC rules, this prospectus omits certainunder the Securities Act and does not contain all the information that is includedset forth in the registration statement of whichstatement. Whenever a reference is made in this prospectus formsto any of our contracts, agreements or other documents, the reference may not be complete and you should refer to the exhibits that are a part and its exhibits. Sinceof the registration statement or the exhibits to the reports or other documents incorporated by reference into this prospectus may not contain allfor a copy of the information that you may find important, we urge you to review the full text of these documents. If we have filed asuch contract, agreement or other document as an exhibit to the registration statement of which this prospectus forms a part, please read the exhibit for a more complete understanding of the document or matter involved. Each statement in this prospectus, including statements incorporated by reference as discussed above, regarding a contract, agreement or other document is qualified in its entirety by reference to the actual document.

We Because we are subject to the information and reporting requirements of the Exchange Act, and, in accordance with these requirements, we file annual, quarterly and current reports, proxy statements, information statements and other information with the SEC. Our SEC filings are available to the public over the Internet at the SEC’s website atwww.sec.gov. In addition, we provide free access to these materials http://www.sec.gov.

We maintain a website at www.qualigeninc.com. Information contained in or accessible through our websitewww.ritterpharmaceuticals.com, as soon as reasonably practicable after they are filed with or furnished to the SEC. does not constitute a part of this prospectus.

 

11

INCORPORATION OF CERTAIN INFORMATION BY REFERENCE

 

The SEC allows us to “incorporate by reference” information from other documents that we file with them. Incorporation by reference allows us toit, which means that we can disclose important information to you by referring you to those other documents. The information incorporated by reference is an importantconsidered to be part of this prospectus. Information in this prospectus andsupersedes information incorporated by reference that we filed with the SEC prior to the date of this prospectus, while information that we file later with the SEC will automatically update and supersede the information in this information. Thisprospectus. We incorporate by reference into this prospectus omits certain information contained inand the registration statement as permitted by the SEC. You should refer to the registration statement and any prospectus supplement filed hereafter, including the exhibits, for further information about us and the securities we may offer pursuant to this prospectus. Statements inof which this prospectus regardingis a part the provisions of certaininformation or documents listed below that we have filed with or incorporated by reference in, the registration statement are not necessarily complete and each statement is qualified in all respects by that reference. Copies of all or any part of the registration statement, including the documents incorporated by reference or the exhibits, may be obtained upon payment of the prescribed rates at the offices of the SEC listed above in “Where You Can Find More Information.” The documents we are incorporating by reference are:(Commission File No. 001-37428):

 

 our Annual Report on Form 10-K for the fiscal year ended December 31, 20182021, which was filed with the SEC on April 1, 2019;
our proxy statementMarch 31, 2022, as amended on Form 10-K/A filed with the SEC on April 26, 2019;29, 2022;
   
 our Quarterly ReportReports on Form 10-Q for the fiscal quarterquarters ended March 31, 2019,2022, June 30, 2022 and September 30, 2022, which were filed with the SEC on May 13, 2022, August 15, 2019;2022 and November 14, 2022, respectively;
   
 our Current Reports on Form 8-K (other than information furnished rather than filed) filed with the SEC on January 18, 2022, March 6, 2019,4, 2022, May 4, 2022, June 17, 2019, July 1, 20192, 2022, August 26, 2022, September 2, 2022, October 28, 2022, November 22, 2022, December 12, 2022 and July 11, 2019;December 22, 2022; and
   
 the description of our common stock, which is registered under Section 12 of the Company’s Common Stock containedExchange Act, in the Company’ Registration Statementour registration statement on Form 8-A, (File No. 1-37428) filed with the SEC on June 15, 2015, including any amendment or report filedas updated by Exhibit 4.15 to our Annual Report on Form 10-K for the purpose of updating such descriptionfiscal year ended December 31, 2022.

 

In addition, all documents that the Company filesAll filings filed by us pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act after the date of 1934, as amended (the “Exchange Act”), subsequent to the initial filing of the registration statement of which this Registration Statementprospectus is a part and prior to effectiveness of the filing of a post-effective amendment which indicates that all securities offered hereby have been sold or which deregisters all securities then remaining unsold,registration statement shall be deemed to be incorporated by reference into this Registration Statementprospectus.

9

We also incorporate by reference any future filings (other than current reports furnished under Item 2.02 or Item 7.01 of Form 8-K and exhibits filed on such form that are related to besuch items unless such Form 8-K expressly provides to the contrary) made with the SEC pursuant to Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act, including those made after the date of the initial filing of the registration statement of which this prospectus is a part hereofand prior to effectiveness of such registration statement, until we file a post-effective amendment that indicates the termination of the offering of the shares of our common stock made by this prospectus and will become a part of this prospectus from the date of filing ofthat such documents except as to any document or portion of any document that is deemed furnishedare filed with the SEC. Information in such future filings updates and not filed.

Pursuant to Rule 412 undersupplements the Securities Act, any statement contained in the documents incorporated or deemed to be incorporated by referenceinformation provided in this Registration Statement shallprospectus. Any statements in any such future filings will automatically be deemed to be modified, superseded or replaced for purposes of this Registration Statement to the extent that a statement contained herein ormodify and supersede any information in any other subsequentlydocument we previously filed document which alsowith the SEC that is incorporated or deemed to be incorporated herein by reference to the extent that statements in the later filed document modify or replace such earlier statements.

You can request a copy of these filings, at no cost, by writing or telephoning us at the following address or telephone number:

Qualigen Therapeutics, Inc.

2042 Corte Del Nogal

Carlsbad, California 92011

(760) 918-9165 

Attn: Secretary

You may also access the documents incorporated by reference in this Registration Statement modifies, supersedesprospectus through our website www.qualigeninc.com. Except for the specific incorporated documents listed above, no information available on or replaces such statement. Any such statement so modified, superseded or replacedthrough our website shall not be deemed except as so modified, superseded or replaced, to constitute a part of this Registration Statement.

Upon written or oral request made to us at the address or telephone number below, we will, at no cost to the requester, provide to each person, including any beneficial owner, to whombe incorporated in this prospectus is delivered,or the registration statement of which it forms a copy of any or all of the information that has been incorporated by reference into this prospectus (other than an exhibit to a filing, unless that exhibit is specifically incorporated by reference into that filing), but not delivered with this prospectus:

Ritter Pharmaceuticals, Inc.

1880 Century Park East, Suite 1000

Los Angeles, California 90067

(310) 203-1000part.

 

1210

 

PART II

INFORMATION NOT REQUIRED IN PROSPECTUS

 

Item 14. Other Expenses of Issuance and Distribution

 

The following table sets forth an itemizationestimate of the variousfees and expenses all of which we will pay,payable by us in connection with the issuance and distributionsale of the securities being registered. All of the amounts shown are estimated except the SEC Registration Fee.

 

SEC Registration Fee $3,579 
Legal Fees and Expenses  * 
Accounting Fees and Expenses  * 
Miscellaneous  * 
Total $* 

*These fees will be dependent on the type of securities offered and number of offerings and, therefore, cannot be estimated at this time. In accordance with Rule 430B under the Securities Act, additional information regarding estimated fees and expenses will be provided at the time information as to an offering is included in a prospectus supplement.

  Amount
SEC registration fees $671 
Accounting fees and expenses  8,500 
Legal fees and expenses  10,000 
Miscellaneous fees and expenses  829 
Total $20,000 

 

Item 15. Indemnification of Directors and Officers

 

Our amended and restated certificate of incorporation provides that we shall indemnify, to the fullest extent authorized by the Delaware General Corporation Law (“DGCL”), each person who is involved in any litigation or other proceeding because such person is or was a director or officer of Ritter Pharmaceuticals,Qualigen Therapeutics, Inc. or is or was serving as an officer or director of another entity at our request, against all expense, loss or liability reasonably incurred or suffered in connection therewith. Our amended and restated certificate of incorporation provides that the right to indemnification includes the right to be paid expenses incurred in defending any proceeding in advance of its final disposition, provided, however, that such advance payment will only be made upon delivery to us of an undertaking, by or on behalf of the director or officer, to repay all amounts so advanced if it is ultimately determined that such director is not entitled to indemnification. If we do not pay a proper claim for indemnification in full within 30 days after we receive a written claim for such indemnification, our certificate of incorporation and our bylaws authorize the claimant to bring an action against us and prescribe what constitutes a defense to such action.

 

Section 145 of the Delaware General Corporation Law permits a corporation to indemnify any director or officer of the corporation against expenses (including attorney’s fees), judgments, fines and amounts paid in settlement actually and reasonably incurred in connection with any action, suit or proceeding brought by reason of the fact that such person is or was a director or officer of the corporation, if such person acted in good faith and in a manner that he reasonably believed to be in, or not opposed to, the best interests of the corporation, and, with respect to any criminal action or proceeding, if he or she had no reason to believe his or her conduct was unlawful. In a derivative action, (i.e., one brought by or on behalf of the corporation), indemnification may be provided only for expenses actually and reasonably incurred by any director or officer in connection with the defense or settlement of such an action or suit if such person acted in good faith and in a manner that he or she reasonably believed to be in, or not opposed to, the best interests of the corporation, except that no indemnification shall be provided if such person shall have been adjudged to be liable to the corporation, unless and only to the extent that the court in which the action or suit was brought shall determine that the defendant is fairly and reasonably entitled to indemnity for such expenses despite such adjudication of liability.

 

Pursuant to Section 102(b)(7) of the Delaware General Corporation Law, our amended and restated certificate of incorporation eliminates the liability of a director to us or our stockholders for monetary damages for such a breach of fiduciary duty as a director, except for liabilities arising:

 

 from any breach of the director’s duty of loyalty to us or our stockholders;
   
 from acts or omissions not in good faith or which involve intentional misconduct or a knowing violation of law;
   
 under Section 174 of the Delaware General Corporation Law;DGCL; or
   
 from any transaction from which the director derived an improper personal benefit.

 

We carry insurance policies insuring our directors and officers against certain liabilities that they may incur in their capacity as directors and officers.

II-1

In addition, we have entered into indemnification agreements with each of our current directors and executive officers. These agreements require us to indemnify these individuals toprovide for the fullest extent permitted under Delaware lawindemnification of such persons for all reasonable expenses and liabilities incurred in connection with any action or proceeding brought against liabilities that may arisethem by reason of the fact that they are or were serving in such capacity. We believe that these indemnification agreements are necessary to attract and retain qualified persons as directors and officers. Furthermore, we have obtained director and officer liability insurance to cover liabilities our directors and officers may incur in connection with their serviceservices to us and to advance expenses incurred as a result of any proceeding against them as to which they could be indemnified. us.

We also intend to enter into indemnification agreements withmaintain general liability insurance which covers certain liabilities of our future directors and executive officers.officers arising out of claims based on acts or omissions in their capacities as directors or officers, including liabilities under the Securities Act of 1933, as amended.

11

 

Item 16. Exhibits

 

    Incorporated by Reference
Exhibit No. Description Form File No. Exhibit 

Filing Date

           
2.1 Agreement and Plan of Merger, among Ritter Pharmaceuticals, Inc., RPG28 Merger Sub, Inc. and Qualigen, Inc., dated January 15, 2020 8-K 001-37428 2.1 January 21, 2020
           
2.2 Amendment No. 1 to Agreement and Plan of Merger among Ritter Pharmaceuticals, Inc., RPG28 Merger Sub, Inc. and Qualigen, Inc., dated February 1, 2020 S-4 333-236235 Annex B April 6, 2020
           
2.3 Amendment No. 2 to Agreement and Plan of Merger among Ritter Pharmaceuticals, Inc., RPG28 Merger Sub, Inc. and Qualigen, Inc., dated March 26, 2020 S-4 333-236235 Annex C April 6, 2020
           
2.4 Contingent Value Rights Agreement, dated May 22, 2020, among the Company, John Beck in the capacity of CVR Holders’ Representative and Andrew J. Ritter in his capacity as a consultant to the Company. 8-K 001-37428 2.4 May 29, 2020
           
4.1 Amended and Restated Certificate of Incorporation 8-K 001-37428 3.1 July 1, 2015
           
4.2 Certificate of Amendment to the Amended and Restated Certificate of Incorporation 8-K 001-37428 3.1 September 15, 2017
           
4.3 Certificate of Amendment to the Amended and Restated Certificate of Incorporation 8-K 001-37428 3.1 March 22, 2018
           
4.4 Certificate of Designation of Preferences, Rights and Limitations of Series Alpha Preferred Stock of the Company, filed with the Delaware Secretary of State on May 20, 2020 8-K 001-37428 3.1 May 29, 2020
           
4.5 Certificate of Amendment to the Certificate of Incorporation of the Company, filed with the Delaware Secretary of State on May 22, 2020 [reverse stock split] 8-K 001-37428 3.2 May 29, 2020
           
4.6 Certificate of Merger, filed with the Delaware Secretary of State on May 22, 2020 8-K 001-37428 3.3 May 29, 2020
           
4.7 Certificate of Amendment to the Certificate of Incorporation of the Company, filed with the Delaware Secretary of State on May 22, 2020 [name change] 8-K 001-37428 3.4 May 29, 2020
           
4.8 Amended and Restated Bylaws of the Company, through August 10, 2021 10-Q 001-37428 3.8 August 16, 2021
           
4.9 Warrant Agency Agreement between Ritter Pharmaceuticals, Inc. and Corporate Stock Transfer, Inc. and Form of Warrant Certificate 8-K 001-37428 4.1 October 4, 2017
           
4.10 First Amendment to Warrant Agency Agreement between Ritter Pharmaceuticals, Inc. and Corporate Stock Transfer, Inc. 8-K 001-37428 4.1 May 7, 2018
           
4.11 Second Amendment to Warrant Agency Agreement between the Company and Equiniti Group plc, dated November 9, 2020 10-K 001-37428 4.3 March 31, 2021
           
4.12 Warrant, issued by the Company in favor of Alpha Capital Anstalt, dated May 22, 2020 [post-Merger] 8-K 001-37428 10.13 May 29, 2020
           
4.13 Form of Warrant, issued by the Company in favor of GreenBlock Capital LLC and its designees, dated May 22, 2020 [post-Merger] 8-K 001-37428 10.10 May 29, 2020

The exhibits to this registration statement are listed in the Exhibit Index to this registration statement, which Exhibit Index is hereby incorporated by reference.

12

4.14 Common Stock Purchase Warrant for 1,920,768 shares in favor of Alpha Capital Anstalt, dated July 10, 2020 8-K 001-37428 10.2 July 10, 2020
           
4.15 Pre-Funded Common Stock Purchase Warrant for 1,920,768 shares in favor of Alpha Capital Anstalt, dated July 10, 2020 8-K 001-37428 10.3 July 10, 2020
           
4.16 Common Stock Purchase Warrant for 1,287,829 shares in favor of Alpha Capital Anstalt, dated August 4, 2020 8-K 001-37428 10.3 August 4, 2020
           
4.17 “Two-Year” Common Stock Purchase Warrant for 1,348,314 shares in favor of Alpha Capital Anstalt, dated December 18, 2020 8-K 001-37428 10.3 December 18, 2020
           
4.18 “Deferred” Common Stock Purchase Warrant for 842,696 shares in favor of Alpha Capital Anstalt, dated December 18, 2020 8-K 001-37428 10.4 December 18, 2020
           
4.19 “Prefunded” Common Stock Purchase Warrant for 1,000,000 shares in favor of Alpha Capital Anstalt, dated December 18, 2020 8-K 001-37428 10.5 December 18, 2020
           
4.20 Form of liability classified Warrant to Purchase Common Stock (“exploding warrant”) 10-K 001-37428 4.13 March 31, 2021
4.13 Form of “service provider” (non-“exploding”) compensatory equity classified Warrant 10-K 001-37428 4.14 March 31, 2021
           
4.14 Description of Common Stock 10-K 001-37428 4.7 March 31, 2020
           
4.15 Amended and Restated Common Stock Purchase Warrant to GreenBlock Capital LLC (300,000 shares) 10-Q 

001-

37428

  4.15 May 13, 2022
           
4.16 Amended and Restated Common Stock Purchase Warrant to Christopher Nelson (300,000 shares)  10-Q 001-37428  4.16 May 13, 2022
           
4.17 Common Stock Purchase Warrant for 2,500,000 shares in favor of Alpha Capital Anstalt, dated December 22, 2022  8-K 001-37428  4.1 December 22, 2022
           
5.1 Opinion of Reed Smith LLP       Filed herewith
           
23.1 Consent of Reed Smith LLP (included in the opinion filed as Exhibit 5.1)       Filed herewith
           
23.2 Consent of Baker Tilly US, LLP       Filed herewith
           
24.1 Power of Attorney (included on the signature page hereto).       Filed herewith
           
107 Filing Fee Table       Filed herewith

 

Item 17. Undertakings

 

(a) The undersigned registrant hereby undertakes:

 

(1) To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:

 

(i) Toto include any prospectus required by sectionSection 10(a)(3) of the Securities Act of 1933;

 

(ii) Toto reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than a 20% change in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective registration statement; and

 

13

(iii) Toto include any material information with respect to the plan of distribution not previously disclosed in the registration statement or any material change to such information in the registration statement;statement.

 

Provided, however, that paragraphs (1)(i), (1)(ii) and (1)(iii) do not apply if the information required to be included in a post-effective amendment by those paragraphs is contained in reports filed with or furnished to the Commission by the registrant pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 that are incorporated by reference in the registration statement, or is contained in a form of prospectus filed pursuant to Rule 424(b) that is part of the registration statement.

(2) That, for the purpose of determining any liability under the Securities Act of 1933, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initialbona fide offering thereof.

 

(3) To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering.

 

(4) That, for the purpose of determining liability under the Securities Act of 1933 to any purchaser:

 

(i) Each prospectus filed by the registrant pursuant to Rule 424(b)(3) shall be deemed to be part of the registration statement as of the date the filed prospectus was deemed part of and included in the registration statement; and

 

(ii) Each prospectus required to be filed pursuant to Rule 424(b)(2), (b)(5), or (b)(7) as part of a registration statement in reliance on Rule 430B relating to an offering made pursuant to Rule 415(a)(1)(i), (vii), or (x) for the purpose of providing the information required by sectionSection 10(a) of the Securities Act of 1933 shall be deemed to be part of and included in the registration statement as of the earlier of the date such form of prospectus is first used after effectiveness or the date of the first contract of sale of securities in the offering described in the prospectus. As provided in Rule 430B, for liability purposes of the issuer and any person that is at that date an underwriter, such date shall be deemed to be a new effective date of the registration statement relating to the securities in the registration statement to which that prospectus relates, and the offering of such securities at that time shall be deemed to be the initialbona fide offering thereof.Provided, however, that no statement made in a registration statement or prospectus that is part of the registration statement or made in a document incorporated or deemed incorporated by reference into the registration statement or prospectus that is part of the registration statement will, as to a purchaser with a time of contract of sale prior to such effective date, supersede or modify any statement that was made in the registration statement or prospectus that was part of the registration statement or made in any such document immediately prior to such effective date.

(5) Each prospectus filed pursuant to Rule 424(b) as part of a registration statement relating to an offering, other than registration statements relying on Rule 430B or other than prospectuses filed in reliance on Rule 430A (§230.430A of this chapter), shall be deemed to be part of and included in the registration statement as of the date it is first used after effectiveness; provided, however, that no statement made in a registration statement or prospectus that is part of the registration statement or made in a document incorporated or deemed incorporated by reference into the registration statement or prospectus that is part of the registration statement will, as to a purchaser with a time of contract of sale prior to such first use, supersede or modify any statement that was made in the registration statement or prospectus that was part of the registration statement or made in any such document immediately prior to such date of first use.

 

(5)(6) That, for the purpose of determining liability of the registrant under the Securities Act of 1933, to any purchaser in the initial distribution of the securities, in a primary offering of securities of the undersigned registrant pursuant to this registration statement, regardless of the underwriting method used to sell the securities to the purchaser, if the securities are offered or sold to such purchaser by means of any of the following communications, the undersigned registrant will be a seller to the purchaser and will be considered to offer or sell such securities to such purchaser:

(i) Any preliminary prospectus or prospectus of the undersigned registrant relating to the offering required to be filed pursuant to Rule 424;

II-2

(ii) Any free writing prospectus relating to the offering prepared by or on behalf of the undersigned registrant or used or referred to by the undersigned registrant;

(iii) The portion of any other free writing prospectus relating to the offering containing material information about the undersigned registrant or its securities provided by or on behalf of the undersigned registrant; and

(iv) Any other communication that is an offer in the offering made by the undersigned registrant to the purchaser.

(b) The undersigned registrant hereby undertakes that, for purposes of determining any liability under the Securities Act of 1933, each filing of the registrant’s annual report pursuant to sectionSection 13(a) or sectionSection 15(d) of the Securities Exchange Act of 1934 (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to section 15(d) of the Securities Exchange Act of 1934) that is incorporated by reference in the registration statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initialbona fide offering thereof.

 

(c)(7) Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to directors, officers and controlling persons of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act of 1933 and will be governed by the final adjudication of such issue.

 

(d) The undersigned registrant hereby undertakes to file an application for the purpose of determining the eligibility of the trustee to act under subsection (a) of Section 310 of the Trust Indenture Act (“Act”) in accordance with the rules and regulations prescribed by the Commission under section 305(b)(2) of the Act.

II-314

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, as amended, the Companyregistrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-3 and has duly caused this Registration Statementregistration statement to be signed on its behalf by the undersigned, thereunto duly authorized, thereto duly authorized, in the City of Los Angeles,Carlsbad, State of California, on July 24, 2019.December 30, 2022.

 

 RITTER PHARMACEUTICALS,QUALIGEN THERAPEUTICS, INC.
   
 By:/s/Andrew J. Ritter Michael S. Poirier
  Andrew J. RitterMichael S. Poirier
  Chairman of the Board, Chief Executive Officer and President

 

POWER OF ATTORNEY

 

KNOW ALL MENPERSONS BY THESE PRESENTS, that each of the undersigned directorsperson whose signature appears below constitutes and officers of Ritter Pharmaceuticals, Inc. hereby appoints Andrew J. RitterMichael Poirier, Amy Broidrick and John W. Beck,Christopher Lotz, and each of them, acting singly, as his or her true and lawful attorney-in-factattorneys-in-fact and agent,agents, with full powers of substitution and resubstitution, for him or herthem and in his or hertheir name, place and stead, with full powerin any and all capacities, to act alone, to sign on his or her behalf and in the capacity set forth below, any and all amendments (including pre-effective and post-effective amendments and supplementsamendments) to this Registration Statement on Form S-3registration statement, and to sign any registration statement for the same offering covered by this registration statement that is to be effective upon filing pursuant to Rule 462 under the Securities Act of 1933, as amended, and to file each such amendment and post-effective amendment and supplements to this Registration Statement,the same, with all exhibits thereto, and any and all other documents in connection therewith, with the Securities and Exchange Commission, herebyand generally to do all such things in their names and behalf in their capacities as officers and directors to enable Qualigen Therapeutics, Inc. to comply with the provisions of the Securities Act of 1933, as amended, and all requirements of the Securities and Exchange Commission, granting unto said attorney-in-factattorneys-in-fact and agentagents, and each of them, full power and authority to do and perform anyeach and all actsevery act and thingsthing requisite and necessary or appropriate to be done in and about the premisesconnection therewith, as fully to all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that said attorney-in-factattorneys-in-fact and agentagents, or any of them, or their or his substitutes or substitute, may lawfully do or cause to be done by virtue hereof.

 

Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statementregistration statement has been signed below by the following persons in the capacities and on the dates indicated.

 

SignatureSignatures Title Date
     
/s/ Michael S. Poirier 

Chairman of the Board and Chief Executive Officer and Director

December 30, 2022
Michael S. Poirier(Principal Executive Officer)
  
/s/Andrew J. Ritter Christopher L. Lotz

Vice President of Finance, Chief Financial Officer

December 30, 2022
Christopher L. Lotz (Principal ExecutiveFinancial Officer) July 24,2019
Andrew J. Ritter
/s/ Amy Broidrick

Director

December 30, 2022
Amy S. Broidrick    
     

/s/ Richard A. David

 Chief Financial OfficerDirector December 30, 2022
/s/John W. Beck(Principal Financial and Accounting Officer)July 24,2019
John W. BeckRichard A. David    
     
/s/Ira E. Ritter Sidney W. Emery, Jr. Executive Chairman, Chief Strategic Officer and Director July 24,2019December 30, 2022
Ira E. RitterSidney W. Emery, Jr.    
     
/s/Noah Doyle Matthew E. Korenberg Director July 24,2019December 30, 2022
Noah DoyleMatthew E. Korenberg    
     
/s/Matthew W. Foehr Kurt H. Kruger Director July 24,2019December 30, 2022
Matthew W. FoehrKurt H. Kruger    
     
/s/Paul V. Maier Ira E. Ritter Director July 24,2019December 30, 2022
Paul V. Maier
/s/ William M. MerinoDirectorJuly 24, 2019
William M. Merino
/s/ Michael D. StepDirectorJuly 24, 2019
Michael D. StepIra E. Ritter    

 

II-415

EXHIBIT INDEX

 

    Incorporated by Reference

Exhibit

No.

 Description Form File No. Exhibit Filing Date
1.1* Form of Underwriting Agreement        
           
4.1 Form of Common Stock Certificate of Ritter Pharmaceuticals, Inc. 8-K 001-37428 4.1 3/22/2018
           
4.2 Amended and Restated Investors’ Rights Agreement, dated as of November 17, 2010, by and among Ritter Pharmaceuticals, Inc. and the persons and entities named therein S-1 333-202924 4.2 3/23/2015
           
4.3 Amendment No. 1 to the Amended and Restated Investors’ Rights Agreement, dated as of January 13, 2011, by and among Ritter Pharmaceuticals, Inc. and the persons and entities named therein S-1 333-202924 4.3 3/23/2015
           
4.4 Amendment No. 2 to the Amended and Restated Investors’ Rights Agreement, dated as of February 6, 2012, by and among Ritter Pharmaceuticals, Inc. and the persons and entities named therein S-1 333-202924 4.4 3/23/2015
           
4.5 Amendment No. 3 to the Amended and Restated Investors’ Rights Agreement, dated as of December 4, 2014, by and among Ritter Pharmaceuticals, Inc. and the persons and entities named therein S-1 333-202924 4.5 3/23/2015
           
4.6 Amendment No. 4 to the Amended and Restated Investors’ Rights Agreement, by and among Ritter Pharmaceuticals, Inc. and the persons and entities named therein S-1 333-208818 4.6 12/31/2015
           
4.7 Form of Representative’s Warrant Agreement S-1/A 333-202924 4.7 5/8/2015
           
4.8 Amended and Restated Registration Rights Agreement, dated July 23, 2019, by and between Ritter Pharmaceuticals, Inc. and Aspire Capital Fund, LLC S-1 333-232792 4.9 07/24/2019
           
4.9 Warrant Agency Agreement by and between Ritter Pharmaceuticals, Inc. and Corporate Stock Transfer and Form of Warrant Certificate 8-K 001-37428 4.1 10/4/2017
           
4.10 First Amendment to Warrant Agency Agreement by and between Ritter Pharmaceuticals, Inc. and Corporate Stock Transfer, Inc. 8-K 001-37428 4.1 5/7/2018
           
4.11 Registration Rights Agreement, by and among Ritter Pharmaceuticals, Inc. and the Purchasers signatory thereto, dated October 30, 2018 10-Q 001-37428 10.5 11/9/2018
           
4.12* Certificate of designation, preferences and rights with respect to any preferred stock issued hereunder        
           
4.13* Form of Senior Debt Security        
           
4.14* Form of Subordinated Debt Security        
           
4.15 Form of Senior Indenture        
           
4.16 Form of Subordinated Indenture        
           
4.17* Form of Warrant Agreement and Warrant Certificate        
           
4.18* Form of Rights Agreement and Right Certificate        
           
4.19* Form of Unit Agreement and Unit        
           
5.1 Opinion of Reed Smith LLP with respect to the legality of the securities being registered        
           
23.1 Consent of Mayer Hoffman McCann P.C., independent registered public accounting firm        
           
23.2 Consent of Reed Smith LLP (included in Exhibit 5.1)        
           
24.1 Power of Attorney (included on applicable signature pages)        
           
25.1* The Statement of Eligibility on Form T-1 under the Trust Indenture Act of 1939, as amended, of the Trustee under the Senior Indenture will be incorporated herein by reference from a subsequent filing in accordance with Section 305(b)(2) of the Trust Indenture Act of 1939        
           
25.2* The Statement of Eligibility on Form T-1 under the Trust Indenture Act of 1939, as amended, of the Trustee under the Subordinated Indenture will be incorporated herein by reference from a subsequent filing in accordance with Section 305(b)(2) of the Trust Indenture Act of 1939        

* To be filed by amendment or as an exhibit to a report pursuant to Section 13(a), 13(c) or 15(d) of the Exchange Act.

II-5