As
filed with the Securities and Exchange Commission on September 2, 2025
Registration
No. 333-286754
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
POST-EFFECTIVE AMENDMENT NO. 3
to
FORM
S-1
REGISTRATION
STATEMENT
UNDER
THE
SECURITIES ACT OF 1933
CYCLACEL
PHARMACEUTICALS, INC.
(Exact
name of registrant as specified in its charter)
| Delaware |
|
93-2403210 |
(State
or other jurisdiction of
incorporation
or organization) |
|
(I.R.S.
Employer
Identification
Number) |
Level
10, Tower 11, Avenue 5, The Horizon
Bangsar
South City, No. 8, Jalan Kerinchi, 59200, Kuala Lumpur, Malaysia
(Address
Of Principal Executive Offices And Zip Code)
Registrant’s
telephone number, including area code: (908) 517-7330
200
Connell Drive, Suite 1500, Berkeley Heights, NJ 07922
(Former
Name or Former Address, if Changed Since Last Report)
Datuk
Dr. Doris Wong Sing Ee
Chief
Executive Officer
Cyclacel
Pharmaceuticals, Inc.
Level
10, Tower 11, Avenue 5, The Horizon
Bangsar
South City, No. 8, Jalan Kerinchi, 59200, Kuala Lumpur, Malaysia
Tel.:
(908) 517-7330
(Name,
address, including zip code, and telephone number, including area code, of agent for service)
Copies
to:
Debbie
A. Klis
Mark C. Lee
Rimon
P.C.
1050 Connecticut Avenue, Suite 500
Washington, DC 20036
Tel.: 202-935-3390
[email protected]
Approximate
date of commencement of proposed sale to the public: As soon as practicable after this Registration Statement becomes effective.
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, 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 post-effective amendment filed pursuant to Rule 462(d) 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. ☐
Indicate
by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, smaller reporting company
or an emerging growth company. See the definitions of “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, as amended, or until the Registration Statement shall become effective
on such date as the Securities and Exchange Commission, acting pursuant to said Section 8(a), may determine.
EXPLANATORY
NOTE
On
April 25, 2025, Cyclacel Pharmaceuticals, Inc. (the “Company,” “we” or “us”) filed a
registration statement with the Securities and Exchange Commission (the “SEC”) on Form S-1 (File No. 333-286754) (as
amended, the “Initial Registration Statement”). The Initial Registration Statement was declared effective by the SEC on
April 29, 2025. The Initial Registration Statement originally covered the resale of up to 35,181,951 shares of common stock; up to
110,000,000 shares of common stock underlying the series E preferred stock; and up to 24,844,725 shares of common stock underlying
the common warrants of the Company. The Company is filing this Post-Effective Amendment No. 3 to the Initial Registration
Statement (this “Post-Effective Amendment No. 3”) to amend the Initial Registration Statement based on a verbal
comment from the Staff of the Securities Exchange Commission for the sole purpose of correcting an incorrect hyperlink in the
Exhibit Table.
No
additional securities are being registered under this Post-Effective Amendment No. 3, and no other changes have been made to the
Initial Registration Statement. This Post-Effective Amendment No. 3 does not modify or update in any way disclosures made in the
Initial Registration Statement other than as required to reflect the amendments discussed above. All applicable registration fees were
paid at the time of the original filing of the Registration Statement.
PART
II
INFORMATION
NOT REQUIRED IN PROSPECTUS
Item
16. Exhibits and Financial Statement Schedules.
The
financial statements filed as part of this registration statement are listed in the index to the financial statements immediately preceding
such financial statements, which index to the financial statements is incorporated herein by reference.
| |
|
|
|
Incorporated
by Reference |
|
Filed/
Furnished |
| Exhibit
No. |
|
Exhibit
Description |
|
Form |
|
File
No. |
|
Exhibit |
|
Filing Date |
|
Herewith |
| 2.1# |
|
Agreement for the Sale and Purchase of Certain Assets dated March 10, 2025 by and between Cyclacel Pharmaceuticals, Inc., Cyclacel Limited, and with its liquidators |
|
8-K |
|
000-50626 |
|
2.1 |
|
03/14/25 |
|
|
| 3.1 |
|
Amended and Restated Certificate of Incorporation of Cyclacel Pharmaceuticals, Inc. |
|
10-K |
|
000-50626 |
|
3.1 |
|
04/01/13 |
|
|
| 3.2 |
|
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Cyclacel Pharmaceuticals, Inc. |
|
8-K |
|
000-50626 |
|
3.1 |
|
05/27/16 |
|
|
| 3.3 |
|
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Cyclacel Pharmaceuticals, Inc. |
|
8-K |
|
000-50626 |
|
3.1 |
|
04/14/20 |
|
|
| 3.4 |
|
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Cyclacel Pharmaceuticals, Inc. |
|
S-1 |
|
333-282555
|
|
3.4 |
|
01/19/24 |
|
|
| 3.5 |
|
Certificate of Correction to the Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Cyclacel Pharmaceuticals, Inc. |
|
S-1 |
|
333-282555 |
|
3.5 |
|
01/19/24 |
|
|
| 3.6 |
|
Second Amended and Restated Bylaws of Cyclacel Pharmaceuticals, Inc. |
|
8-K |
|
000-50626 |
|
3.1 |
|
05/07/20 |
|
|
| 3.7 |
|
Amendment No. 1 to the Second Amended and Restated Bylaws of Cyclacel Pharmaceuticals, Inc. |
|
8-K |
|
000-50626 |
|
3.1 |
|
11/07/23 |
|
|
| 3.8 |
|
Certificate of Designation of 6% Convertible Exchangeable Preferred Stock |
|
8-K |
|
000-50626 |
|
3.2 |
|
11/05/04 |
|
|
| 3.9 |
|
Certificate of Designation of Series A Preferred Stock (previously filed as Exhibit 3.5 to the Registrant’s Registration Statement on Form S-1 |
|
S-1 |
|
333-218305 |
|
3.5 |
|
07/17/17 |
|
|
| 3.10 |
|
Certificate of Designation of Preferences, Rights and Limitations of the Series B Convertible Preferred Stock |
|
8-K |
|
000-50626 |
|
3.1 |
|
12/22/20 |
|
|
| 3.11 |
|
Certificate of Designation of Preferences, Rights and Limitations of Series C Preferred Stock |
|
8-K |
|
000-50626 |
|
3.1 |
|
01/06/25 |
|
|
| 3.12 |
|
Certificate of Designation of Preferences, Rights and Limitations of Series D Preferred Stock |
|
8-K |
|
000-50626 |
|
3.2 |
|
01/06/25 |
|
|
| 3.13 |
|
Amended and Restated Certificate of Designation of Preferences, Rights and Limitations of Series C Preferred Stock filed with the Secretary of State of the State of Delaware on February 10, 2025 |
|
8-K |
|
000-50626 |
|
3.2 |
|
02/12/25 |
|
|
| |
|
|
|
Incorporated
by Reference |
|
Filed/
Furnished |
| Exhibit
No. |
|
Exhibit
Description |
|
Form |
|
File
No. |
|
Exhibit |
|
Filing Date |
|
Herewith |
| 3.14 |
|
Amended and Restated Certificate of Designation of Preferences, Rights and Limitations of Series D Convertible Preferred Stock filed with the Secretary of State of the State of Delaware on February 6, 2025 |
|
8-K |
|
000-50626 |
|
3.4 |
|
02/12/25 |
|
|
| 3.15 |
|
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Cyclacel Pharmaceuticals, Inc. filed with the Secretary of State of the State of Delaware on February 10, 2025 |
|
8-K |
|
000-50626 |
|
3.5 |
|
02/12/25 |
|
|
| 4.1 |
|
Specimen of common stock Certificate (previously filed as Exhibit 4.1 to Registrant’s Registration Statement on Form S-1 |
|
S-1 |
|
333-109653 |
|
4.1 |
|
02/17/04 |
|
|
| 4.2 |
|
Specimen of Preferred Stock Certificate of Designation |
|
S-1 |
|
333-119585 |
|
3.2 |
|
10/21/04 |
|
|
| 4.3 |
|
Form of Warrant to purchase shares of Cyclacel Pharmaceuticals, Inc. common stock |
|
8-K |
|
000-50626 |
|
4.1 |
|
07/01/11 |
|
|
| 4.4 |
|
Registration Rights Agreement, dated as of December 14, 2012, by and between the Company and Aspire Capital Fund, LLC |
|
8-K |
|
000-50626 |
|
4.1 |
|
12/17/12 |
|
|
| 4.5 |
|
Registration Rights Agreement, dated November 14, 2013, by and between the Company and Aspire Capital Fund, LLC |
|
10-Q |
|
000-50626 |
|
4.1 |
|
11/14/13 |
|
|
| 4.6 |
|
Form of Warrant to purchase shares of Cyclacel Pharmaceuticals, Inc.’s common stock |
|
S-1 |
|
333-218305 |
|
4.3 |
|
07/17/17 |
|
|
| 4.7 |
|
Form of Pre-Funded Warrant |
|
8-K |
|
000-50626 |
|
4.1 |
|
04/24/20 |
|
|
| 4.8 |
|
Form of Common Warrant |
|
8-K |
|
000-50626 |
|
4.2 |
|
04/24/20 |
|
|
| 4.9 |
|
Form of Warrant |
|
8-K |
|
000-50626 |
|
4.1 |
|
12/22/20 |
|
|
| 4.10 |
|
Form of Pre-Funded Common Stock Purchase Warrant |
|
8-K |
|
000-50626 |
|
4.1 |
|
12/26/23 |
|
|
| 4.11 |
|
Form of Common Stock Purchase Warrant |
|
8-K |
|
000-50626 |
|
4.2 |
|
12/26/23 |
|
|
| 4.12 |
|
Description of Securities |
|
10-K |
|
000-50626 |
|
4.12 |
|
04/02/25 |
|
|
| 4.13 |
|
Form of Pre-Funded Warrant |
|
8-K |
|
000-50626 |
|
4.1 |
|
05/02/24 |
|
|
| 4.14 |
|
Form of Series A Warrant |
|
8-K |
|
000-50626 |
|
4.2 |
|
05/02/24 |
|
|
| 4.15 |
|
Form of Series B Warrant |
|
8-K |
|
000-50626 |
|
4.3 |
|
05/02/24 |
|
|
| 4.16 |
|
Form of Placement Agent Warrant |
|
8-K |
|
000-50626 |
|
4.4 |
|
05/02/24 |
|
|
| 4.17 |
|
Form of Series C Warrant |
|
8-K |
|
000-50626 |
|
4.1 |
|
11/15/24 |
|
|
| 4.18 |
|
Form of Series D Warrant |
|
8-K |
|
000-50626 |
|
4.2 |
|
11/15/24 |
|
|
| 4.19 |
|
Form of Placement Agent Warrant |
|
8-K |
|
000-50626 |
|
4.3 |
|
11/15/24 |
|
|
| 4.20 |
|
Form of Pre-Funded Warrant |
|
8-K |
|
000-50626 |
|
4.1 |
|
01/06/25 |
|
|
| 5.1** |
|
Opinion of Rimon, P.C. |
|
|
|
|
|
|
|
|
|
|
| 10.1† |
|
Amended and Restated 2006 Equity Incentive Plan |
|
8-K |
|
000-50626 |
|
10.1 |
|
05/24/12 |
|
|
| 10.2† |
|
2015 Equity Incentive Plan |
|
8-K |
|
000-50626 |
|
10.1 |
|
05/22/15 |
|
|
| 10.3† |
|
Amended and Restated 2018 Equity Incentive Plan |
|
8-K |
|
000-50626 |
|
10.1 |
|
06/14/23 |
|
|
| |
|
|
|
Incorporated
by Reference |
|
Filed/
Furnished |
| Exhibit
No. |
|
Exhibit
Description |
|
Form |
|
File
No. |
|
Exhibit |
|
Filing Date |
|
Herewith |
| 10.4# |
|
Clinical Collaboration Agreement by and between Cyclacel Pharmaceuticals, Inc. and the University of Texas M.D. Anderson Cancer Center dated as of August 21, 2018 |
|
10-Q |
|
000-50626 |
|
10.1 |
|
11/13/18 |
|
|
| 10.5 |
|
Cyclacel Pharmaceuticals, Inc. 2020 Inducement Equity Incentive Plan |
|
8-K |
|
000-50626 |
|
10.1 |
|
11/12/20 |
|
|
| 10.6 |
|
Form of Stock Option Grant Notice and Stock Option Agreement under the Cyclacel Pharmaceuticals, Inc. 2020 Inducement Equity Incentive Plan |
|
8-K |
|
000-50626 |
|
10.2 |
|
11/12/20 |
|
|
| 10.7 |
|
Employment Agreement between Cyclacel Pharmaceuticals, Inc. and Spiro Rombotis |
|
8-K |
|
000-50626 |
|
10.1 |
|
05/04/23 |
|
|
| 10.8 |
|
Employment Agreement between Cyclacel Pharmaceuticals, Inc. and Paul McBarron |
|
8-K |
|
000-50626 |
|
10.2 |
|
05/04/23 |
|
|
| 10.9 |
|
Form of Indemnification Agreement for directors |
|
10-K/A |
|
000-50626 |
|
10.16 |
|
11/29/23 |
|
|
| 10.10 |
|
Placement Agency Agreement by and between Cyclacel Pharmaceuticals, Inc. and Ladenburg Thalmann & Co. Inc., dated December 21, 2023 |
|
8-K |
|
000-50626 |
|
10.1 |
|
12/26/23 |
|
|
| 10.11 |
|
Securities Purchase Agreement by and between Cyclacel Pharmaceuticals, Inc. and the Purchasers, dated December 21, 2023 |
|
8-K |
|
000-50626 |
|
10.2 |
|
12/26/23 |
|
|
| 10.12 |
|
Securities Purchase Agreement by and between Cyclacel Pharmaceuticals, Inc. and Spiro Rombotis and Paul McBarron, dated December 21, 2023 |
|
8-K |
|
000-50626 |
|
10.3 |
|
12/26/23 |
|
|
| 10.13 |
|
Securities Purchase Agreement, dated as of April 30, 2024, between the Company and the purchaser named therein |
|
8-K |
|
000-50626 |
|
10.1 |
|
05/02/24 |
|
|
| 10.14 |
|
Form of Registration Rights Agreement, dated as of April 30, 2024, between the Company and the purchaser named therein |
|
8-K |
|
000-50626 |
|
10.2 |
|
05/02/24 |
|
|
| 10.15 |
|
Warrant Exercise and Reload Agreement, dated November 13, 2024 |
|
8-K |
|
000-50626 |
|
10.1 |
|
11/15/24 |
|
|
| 10.16 |
|
Securities Purchase Agreement, dated as of January 2, 2025, by and between the Company and David Lazar |
|
8-K |
|
000-50626 |
|
10.1 |
|
01/06/25 |
|
|
| 10.17 |
|
Form of Director Settlement Agreement and Release |
|
8-K |
|
000-50626 |
|
10.2 |
|
01/06/25 |
|
|
| 10.18 |
|
Settlement and Release Agreement, dated as of January 2, 2025, by and between the Company and Spiro Rombotis |
|
8-K |
|
000-50626 |
|
10.3 |
|
01/06/25 |
|
|
| 10.19 |
|
Settlement and Release Agreement, dated as of January 2, 2025, by and between the Company and Paul McBarron |
|
8-K |
|
000-50626 |
|
10.4 |
|
01/06/25 |
|
|
| 10.20 |
|
Warrant Exchange Agreement, dated as of January 2, 2025, by and between the holder and the Company |
|
8-K |
|
000-50626 |
|
10.5 |
|
01/06/25 |
|
|
| |
|
|
|
Incorporated
by Reference |
|
Filed/
Furnished |
| Exhibit
No. |
|
Exhibit
Description |
|
Form |
|
File
No. |
|
Exhibit |
|
Filing Date |
|
Herewith |
| 10.21 |
|
Addendum to Securities Purchase Agreement, dated as of January 9, 2025, by and between the Company and David Lazar |
|
8-K |
|
000-50626 |
|
10.1 |
|
01/09/25 |
|
|
| 10.22 |
|
Securities Purchase Agreement, dated as of February 4, 2025, between the Company and David Lazar |
|
8-K |
|
000-50626 |
|
10.1 |
|
02/06/25 |
|
|
| 10.23 |
|
Amendment Agreement, dated as of February 4, 2025, between the Company and Armistice Capital Master Fund Ltd. |
|
8-K |
|
000-50626 |
|
10.2 |
|
02/06/25 |
|
|
| 10.24 |
|
Securities Purchase Agreement, dated as of February 5, 2025, between the Company and Helena Special Opportunities 1 Ltd. |
|
8-K |
|
000-50626 |
|
10.3 |
|
02/06/25 |
|
|
| 10.25 |
|
Lock-Up Addendum, dated February 20, 2025, by and between the Company and David Lazar |
|
8-K |
|
000-50626 |
|
10.1 |
|
02/24/25 |
|
|
| 10.26 |
|
Securities Purchase Agreement dated February 11, 2025 by and between David Elliot Lazar and Doris Wong Sing Ee |
|
8-K |
|
000-50626 |
|
10.1 |
|
02/27/25 |
|
|
| 10.27 |
|
Assignment and Assumption Agreement dated February 26, 2025 by and between David Elliot Lazar and Doris Wong Sing Ee |
|
8-K |
|
000-50626 |
|
10.2 |
|
02/27/25 |
|
|
| 10.28 |
|
Settlement and Release Agreement dated February 26, 2025 by and between Dr. Samuel Barker and the Company |
|
8-K |
|
000-50626 |
|
10.3 |
|
02/27/25 |
|
|
| 10.29 |
|
Assignment of Patent Rights Agreement dated March 10, 2025 by and between Cyclacel Pharmaceuticals, Inc., Cyclacel Limited, and with the liquidators of Cyclacel Limited |
|
8-K |
|
000-50626 |
|
10.1 |
|
03/14/25 |
|
|
| 21.1 |
|
Subsidiaries of Cyclacel Pharmaceuticals, Inc. |
|
10-K |
|
000-50626 |
|
21 |
|
03/26/14 |
|
|
| 23.1** |
|
Consent of Bush & Associates CPA LLC |
|
|
|
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| 23.2 |
|
Consent of Rimon, P.C. |
|
|
|
|
|
|
|
|
|
(included
in Exhibit 5.1) |
| 23.3** |
|
Consent of RSM US LLP |
|
|
|
|
|
|
|
|
|
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| 23.4** |
|
Consent of JP Centurion |
|
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| 24.1** |
|
Power of Attorney |
|
|
|
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|
|
|
|
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| 99.1** |
|
Form 10-K Adjusted Financial Information for the Year Ended December 31, 2024 |
|
|
|
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|
|
|
|
|
| 107** |
|
Filing Fee Table |
|
|
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|
|
|
|
|
|
|
| † |
Indicates
management compensatory plan, contract or arrangement. |
| # |
Cyclacel
Pharmaceuticals, Inc. has omitted certain exhibits pursuant to Item 601(a)(5) of Regulation S-K and shall furnish supplementally
to the Securities and Exchange Commission copies of any of the omitted exhibits upon request by the SEC. |
| ** |
Previously filed. |
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 Kuala Lumpur, Malaysia on September 2, 2025.
| |
Cyclacel
Pharmaceuticals, Inc. |
| |
|
| |
By: |
/s/
Datuk Dr. Doris Wong Sing Ee |
| |
Name: |
Datuk
Dr. Doris Wong Sing Ee |
| |
Title: |
Chief
Executive Officer and Executive Director |
Pursuant
to the requirements of the Securities Act of 1933, as amended, this registration statement has been signed by the following persons on
behalf of the registrant and in the capacities and on the dates indicated:
| Signature |
|
Title |
|
Date |
| |
|
|
|
|
| /s/
Datuk Dr. Doris Wong Sing Ee |
|
Chief
Executive Officer and Executive Director |
|
September 2, 2025 |
| Datuk
Dr. Doris Wong Sing Ee |
|
(principal
executive officer) |
|
|
| |
|
|
|
|
| /s/
Kiu Cu Seng |
|
Chief
Financial Officer, Executive Director and Secretary |
|
September 2, 2025 |
| Kiu
Cu Seng |
|
(principal
financial officer and principal accounting officer) |
|
|
| |
|
|
|
|
| /s/
* |
|
Director |
|
September 2, 2025 |
| Kwang
Fock Chong |
|
|
|
|
| |
|
|
|
|
| /s/
* |
|
Director |
|
September 2, 2025 |
Dr. Satis Waran Nair Krishnan |
|
|
|
|
| |
|
|
|
|
| /s/
* |
|
Director |
|
September 2, 2025 |
| Inigo Angel Laurduraj |
|
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| /s/
Datuk Dr. Doris Wong Sing Ee |
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Attorney-in-Fact* |
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September 2, 2025 |
| Datuk
Dr. Doris Wong Sing Ee |
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