SEC Form F-6 POS filed by ASLAN Pharmaceuticals Limited
As filed with the U.S. Securities and Exchange Commission on June 14, 2024
Registration No. 333-271460
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
____________________
POST-EFFECTIVE AMENDMENT NO. 3 TO
FORM F-6
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
For Depositary Shares Evidenced by American Depositary Receipts
____________________
ASLAN Pharmaceuticals Limited
(Exact name of issuer of deposited securities as specified in its charter)
N/A
(Translation of issuer’s name into English)
The Cayman Islands
(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, NY 10179
Telephone (800) 990-1135
____________________
(Address, including zip code, and telephone number, including area code, of depositary’s principal executive offices)
Cogency Global Inc.
122 East 42nd Street, 18th Floor
New York, NY 10168
Telephone: (212) 947-7200
(Address, including zip code, and telephone number, including area code, of agent for service)
Copy to:
JPMorgan Chase Bank, N.A.
383 Madison Avenue, Floor 11
New York, NY 10179
Tel. No.: (800) 990-1135
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
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Title of each class of Securities to be registered
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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 a specified number of ordinary shares of ASLAN Pharmaceuticals Limited | n/a | n/a | n/a | n/a | |||||
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| (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. | ||||||||
Pursuant to Rule 429, the Prospectus contained herein also relates to the American Depositary Shares registered under Form F-6 Registration Statement Nos. 333-248632 and 333-224273. This Registration Statement constitutes Post-Effective Amendment No. 1 to Registration No. 333-248632 and Post Effective Amendment No. 2 to Registration Statement No. 333-224273.
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 Amendment No. 2 to the Amended and Restated Deposit Agreement (the “Deposit Agreement” or the “Amended and Restated Deposit Agreement”) filed as Exhibit (a)(3) to this Post-Effective Amendment to Registration Statement on Form F-6, which is incorporated herein by reference.
CROSS REFERENCE SHEET
| Item 1. | DESCRIPTION OF SECURITIES TO BE REGISTERED |
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) and (10) | ||
| (iv) | Transmission of notices, reports and proxy soliciting material | Paragraphs (3), (8), (11) and (12) | ||
| (v) | Sale or exercise of rights | Paragraphs (4), (5) and (10) | ||
| (vi) | Deposit or sale of securities resulting from dividends, splits or plans of reorganization | Paragraphs (3), (4), (5), (10) 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 | Paragraph (14) | ||
| (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 | ||
| (a) | Statement that ASLAN Pharmaceuticals Limited is subject to the periodic reporting requirements of the Securities Exchange Act of 1934, as amended, and, accordingly files certain reports with the Securities and Exchange Commission, and that such reports can be inspected by holders of American Depositary Receipts and copied at public reference facilities maintained by the Securities and Exchange Commission in Washington, D.C. | Paragraph (8) | |
PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
| Item 3. | EXHIBITS |
| (a)(1) |
Form of Deposit Agreement. Form of Amended and Restated Deposit Agreement among ASLAN Pharmaceuticals Limited, JPMorgan Chase Bank, N.A., as depositary (the “Depositary”), and all Holders and Beneficial Owners from time to time of ADRs issued thereunder. Previously filed as Exhibit (a) to Form F-6 (333-248632) filed with the Securities and Exchange Commission, which is incorporated herein by reference. | |
| (a)(2) | Form of Amendment No. 1 to Deposit Agreement. Form of Amendment No. 1 to the Amended and Restated Deposit Agreement among ASLAN Pharmaceuticals Limited, the Depositary and all Holders and Beneficial Owners from time to time of ADRs issued thereunder. Previously filed as Exhibit (a)(2) to Post-Effective Amendment No. 1 to Form F-6 (333-224273) filed with the Securities and Exchange Commission, which is incorporated herein by reference. | |
| (a)(3) | Form of Amendment No. 2 to Deposit Agreement. Form of Amendment No. 1 to the Amended and Restated Deposit Agreement among ASLAN Pharmaceuticals Limited, the Depositary and all Holders and Beneficial Owners from time to time of ADRs issued thereunder, including the form of American Depositary Receipt attached as Exhibit A thereto. Filed herewith as Exhibit (a)(3). | |
| (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. Not Applicable. |
| (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 counsel to the Depositary as to the legality of the securities being registered. Previously filed. |
| (e) | Certification under Rule 466. Filed herewith as Exhibit (e). |
| (f) | Power of Attorney for certain officers and directors of the Registrant. Included as part of 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. |
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, 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 Post-Effective Amendment to 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, June 14, 2024.
| 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/ Gregory A. Levendis | |
| Name: Gregory A. Levendis | ||
| Title: Executive Director | ||
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, ASLAN Pharmaceuticals Limited 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 Post-Effective Amendment to Registration Statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in Singapore, on June 14, 2024.
| ASLAN Pharmaceuticals Limited | ||
| By: | /s/Carl Firth, Ph.D. | |
| Name: | Carl Firth, Ph.D. | |
| Title: | Chief Executive Officer | |
Each person whose signature appears below constitutes and appoints each of Carl Firth, Ph.D., Kiran Asarpota and Ben Goodger as attorneys-in-fact with full power of substitution, for him or her in any and all capacities, to do any and all acts and all things and to execute any and all instruments which said attorney and agent may deem necessary or desirable to enable the registrant to comply with the Securities Act of 1933, as amended (the “Securities Act”), and any rules, regulations and requirements of the Securities and Exchange Commission thereunder, in connection with the registration under the Securities Act of American depositary shares representing ordinary shares of the registrant (the “ADSs”), including, without limitation, the power and authority to sign the name of each of the undersigned in the capacities indicated below to the Registration Statement on Form F-6 (the “Registration Statement”) to be filed with the Securities and Exchange Commission with respect to such ADSs, to any and all amendments or supplements to such Registration Statement, whether such amendments or supplements are filed before or after the effective date of such Registration Statement, to any related Registration Statement filed pursuant to Rule 462(b) under the Securities Act, and to any and all instruments or documents filed as part of or in connection with such Registration Statement or any and all amendments thereto, whether such amendments are filed before or after the effective date of such Registration Statement; and each of the undersigned hereby ratifies and confirms all that such attorney and agent shall do or cause to be done by virtue hereof.
Under the requirements of the Securities Act, this Post-Effective Amendment to Registration Statement on Form F-6 has been signed by the following persons on June 14, 2024, in the capacities indicated.
SIGNATURES
Signature |
Title | |
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/s/Carl Firth, Ph.D. Carl Firth, Ph.D. |
Chief Executive Officer (principal executive officer) | |
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/s/Kiran Asarpota Kiran Asarpota |
Chief Operating Officer (principal financial and accounting officer) | |
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/s/Andrew Howden Andrew Howden |
Chairman | |
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/s/Kathleen M. Metters, Ph.D. Kathleen M. Metters, Ph.D. |
Director | |
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/s/Neil Graham, M.D., M.P.H., M.B.B.S. Neil Graham, M.D., M.P.H., M.B.B.S. |
Director | |
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/s/Robert Hoffman Robert E. Hoffman |
Director | |
SIGNATURE OF AUTHORIZED U.S. REPRESENTATIVE OF THE REGISTRANT
Pursuant to the requirements of the United States Securities Act of 1933, as amended, the undersigned, the registrant’s duly authorized representative in the United States has signed this Post-Effective Amendment to Registration Statement on Form F-6 on June 14, 2024.
| Authorized U.S. Representative | ||
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ASLAN Pharmaceuticals (USA) Inc., a Delaware corporation | ||
| By: |
/s/Carl Firth, Ph.D. | |
| Name: | Carl Firth, Ph.D. | |
| Title: | Chief Executive Officer and President | |
INDEX TO EXHIBITS
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Exhibit Number |
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| (a)(3) | Form of Amendment No. 2 to the Amended and Restated Deposit Agreement | |
| (e) | Rule 466 Certification | |