As filed with the Securities and Exchange Commission on July 5, 2024
Registration No. 333-280648
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
AMENDMENT NO. 1 TO
FORM S-3/A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
AZITRA, INC.
(Exact name of registrant as specified in its charter)
| Delaware | | 2834 | | 46-4478536 |
(State or other jurisdiction of incorporation or organization) | | (Primary Standard Industrial Classification Code Number) | | (I.R.S. Employer Identification Number) |
21 Business Park Drive
Branford, Connecticut 06405
(203) 646-6446
(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)
Francisco D. Salva, Chief Executive Officer
Azitra, Inc.
21 Business Park Drive
Branford, Connecticut 06405
(203) 646-6446
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copy to:
Daniel K. Donahue
Greenberg Traurig, LLP
18565 Jamboree Road, Suite 500
Irvine, California 92612
(949) 732-6500
Approximate date of commencement of proposed sale to the public:
From time to time after the effective date of this registration statement.
If the only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans, please check the following 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: ☒
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, a smaller reporting company or an emerging growth company. See the definitions of a “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
| Large accelerated filer ☐ | | Accelerated filer ☐ |
| | | |
| Non-accelerated filer ☒ | | Smaller reporting company ☒ |
| | | |
| | | Emerging growth company ☒ |
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 7(a)(2)(B) of the Securities Act. ☐
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.
EXPLANATORY NOTE
This Amendment No. 1 (Amendment No. 1) to the Registration Statement on Form S-3 (File No. 333- 280648) of Azitra, Inc. (Registration Statement) is being filed solely for the purpose of filing an exhibit as indicated in Part II of this Amendment No. 1. This Amendment No. 1 does not modify any provision of the prospectus that forms a part of the Registration Statement. Accordingly, a preliminary prospectus has been omitted.
PART II – INFORMATION NOT REQUIRED IN PROSPECTUS
Item 16. Exhibits
| Exhibit No. | | Description | | Method of Filing |
| | | | | |
| 3.1 | | Amended and Restated Certificate of Incorporation of the Registrant | | Incorporated by reference from the Registrant’s Current Report on Form 8-K dated June 21, 2023 |
| | | | | |
| 3.2 | | Amended and Restated Bylaws of the Registrant | | Incorporated by reference from the Registrant’s Current Report on Form 8-K dated June 21, 2023 |
| | | | | |
| 3.3 | | Certificate of Amendment dated June 27, 2024 to Amended and Restated Certificate of Incorporation | | Previously filed |
| | | | | |
| 4.1 | | Specimen Certificate representing shares of common stock of Registrant | | Incorporated by reference from the Registrant’s Registration Statement on Form S-1 filed on June 13, 2023 |
| | | | | |
| 4.2 | | Form of Senior Indenture | | Previously filed |
| | | | | |
| 4.3 | | Form of Subordinated Indenture | | Filed electronically herewith |
| | | | | |
| 4.4 | | Form of Senior Note | | Previously filed |
| | | | | |
| 4.5 | | Form of Subordinated Note | | Previously filed |
| | | | | |
| 4.6 | | Form of Warrant Agreement | | To be filed by amendment to this registration statement, or as an exhibit to a document to be incorporated by reference into this registration statement, in each case in connection with a particular offering of the securities |
| | | | | |
| 4.7 | | Form of Unit Agreement | | To be filed by amendment to this registration statement, or as an exhibit to a document to be incorporated by reference into this registration statement, in each case in connection with a particular offering of the securities |
| | | | | |
| 5.1 | | Opinion and Consent of Greenberg Traurig, LLP | | Previously filed |
| | | | | |
| 23.1 | | Consent of Grassi & Co., CPAs, P.C. | | Previously filed |
| | | | | |
| 23.4 | | Consent of Greenberg Traurig, LLP (included in Exhibit 5.1) | | Previously filed |
| | | | | |
| 24.1 | | Power of Attorney | | Previously filed |
| | | | | |
| 25.1 | | Form T-1 Statement of Eligibility of Trustee for Senior Indenture under the Trust Indenture Act of 1939 | | To be subsequently filed, if applicable, under the electronic form type “305B2” |
| | | | | |
| 25.2 | | Form T-1 Statement of Eligibility of Trustee for Subordinated Indenture under the Trust Indenture Act of 1939 | | To be subsequently filed, if applicable, under the electronic form type “305B2” |
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Branford, State of Connecticut, on July 5, 2024.
| | AZITRA, INC. |
| | |
| | /s/ Francisco D. Salva |
| | Francisco D. Salva |
| | Chief Executive Officer and Director |
Pursuant to the requirements of the Securities Act of 1933, this registration statement has been signed by the following persons in the capacities and on the dates indicated.
| Signature | | Title | | Date |
| | | | | |
| /s/ Francisco D. Salva | | President, | | |
| Francisco D. Salva | | Chief Executive Officer and Director (Principal Executive Officer) | | July 5, 2024 |
| | | | | |
| /s/ Norman Staskey | | Chief Financial Officer, | | |
| Norman Staskey | | Treasurer and Secretary (Principal Financial and Accounting Officer) | | July 5, 2024 |
| | | | | |
| * | | | | |
| Travis Whitfill | | Chief Operating Officer and Director | | July 5, 2024 |
| | | | | |
| * | | | | |
| Andrew McClary | | Director | | July 5, 2024 |
| | | | | |
| * | | | | |
| Barbara Ryan | | Director | | July 5, 2024 |
| | | | | |
| * | | | | |
| John Schroer | | Director | | July 5, 2024 |
| *By: | /s/ Francisco D. Salva | |
| | Attorney-in-Fact | |
