As filed with the U.S. Securities and Exchange Commission on November 3, 2021
Registration No. 333-______
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
__________________
FORM F-6
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
For Depositary Shares Evidenced by American Depositary Receipts
__________________
RELIEF THERAPEUTICS Holding SA
(Exact name of issuer of deposited securities as specified in its charter)
n/a
(Translation of issuer’s name into English)
Switzerland
(Jurisdiction of incorporation or organization of issuer)
JPMORGAN CHASE BANK, N.A.
(Exact name of depositary as specified in its charter)
383 Madison Avenue, Floor 11, New York, New York 10179
Telephone +1-800-990-1135
(Address, including zip code, and telephone number, including area code, of depositary’s principal executive offices)
__________________
The Corporation Trust Company
Corporation Trust Center
1209 Orange Street
Wilmington, DE 19801
+1-302-658-7851
(Address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
JPMorgan Chase Bank, N.A. 383 Madison Avenue, Floor 11 New York, New York 10179 Telephone: +1-800-990-1135 | Scott R. Saks, Esq. Norton Rose Fulbright US LLP 1301 Avenue of the Americas New York, New York 10019-6022 Telephone: +1-212-318-3151 |
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 (1) | Proposed maximum
aggregate offering
price (2) | Amount of
registration
fee |
| American Depositary Shares evidenced by American Depositary Receipts, each American Depositary Share representing one hundred and fifty (150) ordinary shares with a nominal value of CHF 0.01 of RELIEF THERAPEUTICS Holding SA | 100,000,000
American
Depositary
Shares | $0.05 | $5,000,000 | $463.50 |
| (1) | Each unit represents one American Depositary Share. |
| (2) | 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 American Depositary Receipts evidencing American Depositary Shares. |
The Registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the Registrant shall file a further amendment which specifically states that this Registration Statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933 or until the Registration Statement shall become effective on such date as the Commission, acting pursuant to said Section 8(a), may determine.
PART I
INFORMATION REQUIRED IN PROSPECTUS
The Prospectus consists of the proposed form of American Depositary Receipt (“ADR” or “American Depositary Receipt”) included as Exhibit A to the form of the Deposit Agreement filed as Exhibit (a) to this Registration Statement on Form F-6, which is incorporated herein by reference.
Item 1. DESCRIPTION OF SECURITIES TO BE REGISTERED
CROSS REFERENCE SHEET
| Item Number and Caption | | Location in Form of American Depositary
Receipt Filed Herewith as Prospectus |
| | | |
| (1) | Name and address of Depositary | | Introductory paragraph and bottom of face of American Depositary Receipt |
| (2) | Title of American Depositary Receipts and identity of deposited securities | | Face of American Depositary Receipt, top center |
| | Terms of Deposit: | | |
| | (i) | Amount of deposited securities represented by one unit of American Depositary Shares | | Face of American Depositary Receipt, upper right corner |
| | (ii) | Procedure for voting, if any, the deposited securities | | Paragraphs (6), (11) and (12) |
| | (iii) | Collection and distribution of dividends | | Paragraphs (4), (5), (7), (10), (11) and (13) |
| | (iv) | Transmission of notices, reports and proxy soliciting material | | Paragraphs (3), (8), (11) and (12) |
| | (v) | Sale or exercise of rights | | Paragraphs (4), (5), (7) and (10) |
| | (vi) | Deposit or sale of securities resulting from dividends, splits or plans of reorganization | | Paragraphs (3), (4), (5), (7), (10), (11) and (13) |
| | (vii) | Amendment, extension or termination of the Deposit Agreement | | Paragraphs (15), (16) and (17) |
| | (viii) | Rights of holders of ADRs to inspect the transfer books of the Depositary and the list of Holders of ADRs | | Paragraph (3) |
| | (ix) | Restrictions upon the right to deposit or withdraw the underlying securities | | Paragraphs (1), (2), (4), (5) and (6) |
| | (x) | Limitation upon the liability of the Depositary | | Paragraphs (14) and (17) |
| (3) | Fees and Charges | | Paragraph (7) |
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Item 2. AVAILABLE INFORMATION
| Item Number and Caption | | Location in Form of American Depositary
Receipt Filed Herewith as Prospectus |
| | | |
| RELIEF THERAPEUTICS Holding SA (the “Company”) publishes information in English required to maintain the exemption from registration under the Securities Exchange Act of 1934, as amended, afforded by Rule 12g3-2(b) promulgated thereunder on its Internet Web site or through an electronic information delivery system generally available to the public in its primary trading market. As of the date hereof, the Company’s internet website is located at www.relieftherapeutics.com. | | Paragraph (8) |
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PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
Item 3. EXHIBITS
| | (a) | Form of Deposit Agreement. Form of Deposit Agreement among RELIEF THERAPEUTICS Holding SA (the “Company”), JPMorgan Chase Bank, N.A., as depositary (the “Depositary”), and all Holders and Beneficial Owners from time to time of American Depositary Receipts (“ADRs”) issued from time to time thereunder (the “Deposit Agreement”), including the Form of ADR attached as Exhibit A thereto. Filed herewith as Exhibit (a). |
| | | |
| | (b) | Any other agreement to which the Depositary is a party relating to the issuance of the American Depositary Shares registered hereunder or the custody of the deposited securities represented thereby. Form of Nominee Agreement among the Company and the Depositary. 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. Not Applicable. |
| | | |
| | (d) | Opinion of Norton Rose Fulbright US LLP, counsel to the Depositary, as to the legality of the securities being registered. Filed herewith as Exhibit (d). |
| | | |
| | (e) | Certification under Rule 466. Not applicable. |
| | | |
| | (f) | Powers of Attorney for certain officers and directors of the Company. Set forth on the signature pages hereto. |
Item 4. UNDERTAKINGS
| | (a) | The Depositary hereby undertakes to make available at the principal office of the Depositary in the United States, for inspection by holders of the American Depositary Receipts, 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 amounts of fees charged are 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 American Depositary Receipt thirty days before any change in the fee schedule. |
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SIGNATURE
Pursuant to the requirements of the Securities Act of 1933, as amended, JPMorgan Chase Bank, N.A. on behalf of the legal entity created by the Deposit Agreement among RELIEF THERAPEUTICS Holding SA, JPMorgan Chase Bank, N.A., and all Holders and Beneficial Owners from time to time of American Depositary Receipts (“ADRs”) 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 November 3, 2021.
| | Legal entity created by the form of Deposit Agreement for the issuance of ADRs evidencing American Depositary Shares |
| | By: | JPMORGAN CHASE BANK, N.A., as Depositary |
| | | By: | /s/ Timothy E. Green |
| | | | Name: | Timothy E. Green |
| | | | Title: | Vice President |
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, RELIEF THERAPEUTICS Holding SA 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 Geneva, Switzerland, on November 3, 2021.
| | RELIEF THERAPEUTICS Holding SA |
| | | |
| | | |
| | | |
| | By: | /s/ Thomas Plitz |
| | | Name: | Thomas Plitz |
| | | Title: | Authorized Signatory and Member of the Board of Directors |
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POWERS OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Thomas Plitz and Jack Weinstein, and each of them, his or her true and lawful attorneys-in-fact and agents, each with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in any and all capacities, to sign any or all amendments (including post-effective amendments) to this Registration Statement and any and all related registration statements pursuant to Rule 462(b) of the Securities Act, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, or their substitute or substitutes, may lawfully do or cause to be done by virtue hereof.
Under the requirements of the Securities Act of 1933, as amended, this Registration Statement on Form F-6 has been signed by the following persons on November 3, 2021, in the capacities indicated.
SIGNATURES
Signature | | Title |
| | | |
| /s/ Jack Weinstein | | Chief Financial Officer and Treasurer |
| Jack Weinstein | | (principal executive and financial officer) |
| | | |
| /s/ Jeremy Meinen | | Vice President, Finance and Administration |
| Jeremy Meinen | | (principal accounting officer) |
| | | |
| /s/ Raghuram Selvaraju | | Chairman of the Board |
| Raghuram Selvaraju, Ph.D, M.B.A. | | |
| | | |
| /s/ Thomas Plitz | | Director |
| Thomas Plitz | | |
| | | |
| /s/ Patrice P. Jean | | Director |
| Dr. Patrice P. Jean | | |
| | | |
| /s/ Paolo Galfetti | | Director |
| Paolo Galfetti | | |
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SIGNATURE OF AUTHORIZED U.S. REPRESENTATIVE OF THE REGISTRANT
Pursuant to the requirements of the Securities Act of 1933, as amended, the undersigned, the duly authorized representative in the United States of RELIEF THERAPEUTICS Holding SA, has signed this Registration Statement on Form F-6 in New York, New York, on November 3, 2021.
| | Authorized U.S. Representative |
| | |
| | Relief Therapeutics US, Inc. |
| | By: | /s/ Jack Weinstein |
| | | Name: | Jack Weinstein |
| | | Title: | President |
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INDEX TO EXHIBITS
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