As filed with the Securities and Exchange Commission on November 9, 2021 | Registration No. 333- |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM F-6
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933 FOR AMERICAN DEPOSITARY SHARES EVIDENCED BY
AMERICAN DEPOSITARY RECEIPTS
AUTOLUS THERAPEUTICS plc
(Exact name of issuer of deposited securities as specified in its charter)
N/A
(Translation of issuer’s name into English)
England and Wales
(Jurisdiction of incorporation or organization of issuer)
CITIBANK, N.A.
(Exact name of depositary as specified in its charter)
388 Greenwich Street
New York, New York 10013
+1 877 248 4237
(Address, including zip code, and telephone number, including area code, of depositary’s principal executive offices)
Corporation Service Company
1180 Avenue of the Americas, Suite 210
New York, New York 10036
+1 800 927 9801
(Address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
Darren K. DeStefano Christian E. Plaza Courtney T. Thorne Cooley LLP 11951 Freedom Drive Reston, Virginia 20190-5656 +1 703 456 8000 | | Herman H. Raspé, Esq. Patterson Belknap Webb & Tyler LLP 1133 Avenue of the Americas New York, New York 10036 +1 212-336-2000 | | Claire Keast-Butler Cooley (UK) LLP 22 Bishopsgate London EC2N 4BQ United Kingdom +44 20 7583 4055 |
It is proposed that this filing become effective under Rule 466: | ☒ | immediately upon filing. |
| ☐ | on (Date) at (Time). |
If a separate registration statement has been filed to register the deposited shares, check the following box: ☐
CALCULATION OF REGISTRATION FEE
Title of Each Class of Securities to be Registered | Amount to be Registered | Proposed Maximum Aggregate Price Per Unit* | Proposed Maximum Aggregate Offering Price** | Amount of Registration Fee |
American Depositary Shares (ADS(s)), each ADS representing the right to receive one (1) Ordinary Share of Autolus Therapeutics plc | 100,000,000 ADSs | $5.00 | $5,000,000 | $463.50 |
| * | Each unit represents 100 ADSs. |
| ** | Estimated solely for the purpose of calculating the registration fee. Pursuant to Rule 457(k), such estimate is computed on the basis of the maximum aggregate fees or charges to be imposed in connection with the issuance of ADSs. |
This Registration Statement may be executed in any number of counterparts, each of which shall be deemed an original, and all of such counterparts together shall constitute one and the same instrument.
PART I
INFORMATION REQUIRED IN PROSPECTUS
Cross Reference Sheet
| Item 1. | DESCRIPTION OF SECURITIES TO BE REGISTERED |
Item Number and Caption | | Location in Form of American Depositary Receipt (“Receipt”) Filed Herewith as Prospectus |
| | | | |
1. | Name of Depositary and address of its principal executive office | | Face of Receipt - Introductory Article. |
| | | |
2. | Title of Receipts and identity of deposited securities | | Face of Receipt - Top Center. |
| | | | |
| Terms of Deposit: | | |
| | | |
| (i) | The amount of deposited securities represented by one American Depositary Share ("ADSs") | | Face of Receipt - Upper right corner. |
| | | | |
| (ii) | The procedure for voting, if any, the deposited securities | | Reverse of Receipt - Paragraphs (17) and (18). |
| | | | |
| (iii) | The collection and distribution of dividends | | Reverse of Receipt - Paragraph (15). |
| | | | |
| (iv) | The transmission of notices, reports and proxy soliciting material | | Face of Receipt - Paragraph (14); Reverse of Receipt - Paragraph (18). |
| | | | |
| (v) | The sale or exercise of rights | | Reverse of Receipt – Paragraphs (15) and (17). |
| | | | |
| (vi) | The deposit or sale of securities resulting from dividends, splits or plans of reorganization | | Face of Receipt - Paragraphs (3) and (6); Reverse of Receipt - Paragraphs (15) and (17). |
| | | | |
| (vii) | Amendment, extension or termination of the deposit agreement | | Reverse of Receipt - Paragraphs (23) and (24) (no provision for extensions). |
| | | | |
| (viii) | Rights of holders of Receipts to inspect the transfer books of the Depositary and the list of holders of ADSs | | Face of Receipt - Paragraph (14). |
Item Number and Caption | | Location in Form of American Depositary Receipt (“Receipt”) Filed Herewith as Prospectus |
| | | | |
| (ix) | Restrictions upon the right to deposit or withdraw the underlying securities | | Face of Receipt – Paragraphs (2), (3), (4), (6), (7), (9) and (10). |
| | | | |
| (x) | Limitation upon the liability of the Depositary | | Face of Receipt - Paragraph (8); Reverse of Receipt - Paragraphs (20) and (21). |
| | | | |
3. | Fees and charges which may be imposed directly or indirectly on holders of ADSs | | Face of Receipt - Paragraph (11). |
| | | | |
Item 2. | AVAILABLE INFORMATION | | Face of Receipt - Paragraph (14). |
The Company is subject to the periodic reporting requirements of the United States Securities Exchange Act of 1934, as amended, and, accordingly, files certain reports with, and submits certain reports to, the United States Securities and Exchange Commission (the “Commission”). These reports can be retrieved from the Commission’s internet website (www.sec.gov), and can be inspected and copied at the public reference facilities maintained by the Commission at 100 F Street, N.E., Washington D.C. 20549.
PROSPECTUS
The Prospectus consists of the form of American Depositary Receipt included as Exhibit A to the Deposit Agreement filed as Exhibit (a) to this Registration Statement on Form F-6 and is incorporated herein by reference.
PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
| (a) | Deposit Agreement, by and among Autolus Therapeutics plc (the “Company”), Citibank, N.A., as depositary (the “Depositary”), and all Holders and Beneficial Owners of American Depositary Shares issued thereunder (“Deposit Agreement”), dated as of June 26, 2018. — Filed herewith as Exhibit (a). |
| (b) | At-the-Market Letter Agreement, by and among the Company and the Depositary, dated as of September 18, 2020. — Filed herewith as Exhibit (b). |
| (c) | Every material contract relating to the deposited securities between the Depositary and the issuer of the deposited securities in effect at any time within the last three years. — None. |
| (d) | Opinion of counsel for the Depositary as to the legality of the securities to be registered. — Filed herewith as Exhibit (d). |
| (e) | Certificate under Rule 466. — Filed herewith as Exhibit (e). |
| (f) | Powers of Attorney for certain officers and directors and the authorized representative of the Company. — Set forth on the signature pages hereto. |
| (a) | The Depositary undertakes to make available at the principal office of the Depositary in the United States, for inspection by holders of ADSs, any reports and communications received from the issuer of the deposited securities which are both (1) received by the Depositary as the holder of the deposited securities, and (2) made generally available to the holders of the underlying securities by the issuer. |
| (b) | If the amount of fees charged is not disclosed in the prospectus, the Depositary undertakes to prepare a separate document stating the amount of any fee charged and describing the service for which it is charged and to deliver promptly a copy of such fee schedule without charge to anyone upon request. The Depositary undertakes to notify each registered holder of an ADS thirty (30) days before any change in the fee schedule. |
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, Citibank, N.A., acting solely on behalf of the legal entity to be created by the Deposit Agreement, by and among Autolus Therapeutics plc, Citibank, N.A., as depositary, and all Holders and Beneficial Owners of American Depositary Shares to be issued thereunder, certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on the 9th day of November, 2021.
| Legal entity created by the Deposit Agreement under which the American Depositary Shares registered hereunder are to be issued, each American Depositary Share representing the right to receive one (1) ordinary share of Autolus Therapeutics plc. |
| | |
| CITIBANK, N.A., solely in its capacity as Depositary |
| | |
| By: | /s/ Joseph Connor |
| Name: | Joseph Connor |
| Title: | Attorney-in-Fact |
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, Autolus Therapeutics plc certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned thereunto duly authorized, in City of London, United Kingdom, on the November 9, 2021.
| AUTOLUS THERAPEUTICS plc |
| | |
| By: | /s/ Christian Itin |
| Name: | Christian Itin, Ph.D. |
| Title: | Chief Executive Officer |
POWERS OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints each of Christian Itin and Andrew Oakley to act as his/her true and lawful attorney-in-fact and agent, with full power of substitution, for him/her and in his/her name, place and stead, in any and all such capacities, to sign any and all amendments, including post-effective amendments, and supplements to this Registration Statement, and to file the same, with all exhibits thereto and other documents in connection therewith, with the United States Securities and Exchange Commission, granting unto said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as s/he might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agent, or his/her substitute or substitutes, 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 Statement on Form F-6 has been signed by the following persons in the following capacities on November 9, 2021.
Signature | | Title |
| | |
/s/ Christian Itin | | Chief Executive Officer |
Christian Itin, Ph.D. | | (Principal Executive Officer) |
| | |
/s/ Andrew Oakley | | Senior Vice President, Chief Financial Officer |
Andrew Oakley | | (Principal Financial Officer and Principal Accounting Officer) |
| | |
/s/ John H. Johnson | | Chairman of the Board |
John H. Johnson | | |
| | |
/s/ Joseph Anderson | | Director |
Joseph Anderson, Ph.D. | | |
| | |
/s/ Jay Backstrom | | Director |
Jay Backstrom, M.D., M.P.H. | | |
Signature | | Title |
| | |
/s/ Linda Bain | | Director |
Linda Bain | | |
| | |
/s/ John Berriman | | Director |
John Berriman | | |
| | |
/s/ Cynthia M. Butitta | | Director |
Cynthia M. Butitta | | |
| | |
/s/ Kapil Dhingra | | Director |
Kapil Dhingra, M.D. | | |
| | |
/s/ Martin Murphy | | Director |
Martin Murphy, Ph.D. | | |
SIGNATURE OF AUTHORIZED U.S. REPRESENTATIVE OF REGISTRANT
Pursuant to the requirements of the Securities Act of 1933, as amended, the undersigned, the duly authorized representative in the United States of Autolus Therapeutics plc has signed this registration statement on November 9, 2021.
| AUTOLUS, INC. |
| | |
| By: | /s/ Andrew Oakley |
| Name: | Andrew Oakley |
| Title: | Senior Vice President, Chief Financial Officer |
Index to Exhibits
Exhibit | Document | Sequentially Numbered Page |
(a) (b) | Deposit Agreement At-the-Market Letter Agreement | |
(d) (e) | Opinion of Counsel to the Depositary Rule 466 Certification | |