UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Amendment No. 1
to
FORM 40-F
(Check one)
| [ ] | Registration statement pursuant to Section 12 of the Securities Exchange Act of 1934 |
or
| [X] | Annual report pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934 |
For the fiscal year ended: December 31, 2020
Commission File Number: 001-38064
Aeterna Zentaris Inc.
(Exact name of Registrant as specified in its charter)
| Ontario, Canada | 2834 | Not Applicable | ||
(Province or other jurisdiction of incorporation or organization) | (Primary Standard Industrial Classification Code Number (if applicable)) | (I.R.S. Employer Identification Number (if applicable)) |
315 Sigma Drive
Summerville, South Carolina 29486
(843) 900-3223
(Address and telephone number of Registrant’s principal executive offices)
Klaus Paulini, PhD
President and Chief Executive Officer
Aeterna Zentaris, Inc.,
315 Sigma Drive
Summerville, South Carolina 29486
(843) 900-3211
(Name, address (including zip code) and telephone number (including area code) of agent for service in the United States)
Securities registered or to be registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||
| Common Shares | AEZS | The Nasdaq Stock Market Toronto Stock Exchange |
Securities registered or to be registered pursuant to Section 12(g) of the Act: None
Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act: None
For annual reports, indicate by check mark the information filed with this Form:
| [X] Annual Information Form | [X] Audited Annual Financial Statements |
Indicate the number of outstanding shares of each of the issuer’s classes of capital or common stock as of the close of the period covered by the annual report:
Common Shares outstanding as of December 31, 2020: 62,678,613
Indicate by check mark whether the Registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Exchange Act during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports); and (2) has been subject to such filing requirements for the past 90 days.
Yes [X] No [ ]
Indicate by check mark whether the Registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the Registrant was required to submit such files).
Yes [X] No [ ]
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 12b-2 of the Exchange Act.
Emerging Growth Company [ ]
If an emerging growth company that prepares its financial statements in accordance with U.S. GAAP, 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 13(a) of the Exchange Act. [ ]
Indicate by check mark whether the registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report. [ ]
EXPLANATORY NOTE
On March 25, 2021, Aeterna Zentaris Inc., (the “Company”) filed its annual report on Form 40-F for the fiscal year ended December 31, 2020 (the “Annual Report”). This Amendment No. 1 to the Annual Report is being filed for the purpose of: (a) filing revised audited consolidated financial statements of the Company, solely to correct inadvertent typographical errors in certain headings in the financial statements, as Exhibit 99.2; (b) filing a new consent from the Company’s independent registered public accounting firm as Exhibit 99.8; and (c) filing certifications under Sections 302 and 906 of the Sarbanes-Oxley Act of 2002 as Exhibits 99.4, 99.5, 99.6 and 99.7.
Other than as discussed above and expressly set forth herein, this Amendment No. 1 does not, and does not purport to, amend or restate any other information contained in the Annual Report nor does this Amendment No. 1 reflect any events that have occurred after the Annual Report was filed. Accordingly, this Amendment No. 1 should be read in conjunction with the Annual Report.
EXHIBIT INDEX
* Previously Filed
** Filed Herewith
SIGNATURES
Pursuant to the requirements of the Exchange Act, the Registrant certifies that it meets all of the requirements for filing on Form 40-F and has duly caused this annual report to be signed on its behalf by the undersigned, thereto duly authorized.
| Aeterna Zentaris Inc. | ||
| March 26, 2021 | By: | /s/ Klaus Paulini |
| Name: | Klaus Paulini | |
| Title: | President and Chief Executive Officer | |
