Securities Registration (foreign Private Issuer) (f-3/a)
May 30 2017 - 6:05AM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on May 26,
2017
Registration No. 333-218297
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Pre-Effective Amendment No. 1
to
FORM F-3
REGISTRATION STATEMENT
UNDER THE SECURITIES ACT OF
1933
INTELLIPHARMACEUTICS
INTERNATIONAL INC.
(Exact
name of Registrant as specified in its charter)
Not Applicable
(Translation
of Registrant’s name into English)
Canada
(State
or other jurisdiction of
incorporation
or organization)
|
Not Applicable
(I.R.S.
Employer
Identification
Number)
|
Intellipharmaceutics
International Inc.
30 Worcester Road
Toronto, Ontario
Canada, M9W 5X2
(416) 798-3001
(Address
and telephone number of Registrant’s principal executive
offices)
Corporation Service Company
1090 Vermont Avenue N.W.
Washington, D.C. 20005
(800) 927-9800
(Name,
address, and telephone number of agent for service)
___________________
With copies to:
Richard DiStefano, Esq.
Blank Rome LLP
405 Lexington Avenue
New York, New York 10174
Telephone: (212) 885-5000
Facsimile: (212) 885-5001
|
Tina M. Woodside, Esq.
Gowling WLG
(Canada)
LLP
Suite 1600, 1 First Canadian Place
100 King Street West
Toronto, Ontario M5X 1G5
Telephone: (416) 369-4584
Facsimile: (416) 862-7661
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Approximate date of commencement of proposed
sale to the public:
From time to time after this
registration statement becomes effective.
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, check the following box.
[X]
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.C. or a post-effective amendment thereto that shall become
effective upon filing with the Commission pursuant to Rule 462(e)
under the Securities Act, please check the following box. [
]
If this
Form is a post-effective amendment to a registration statement
filed pursuant to General Instruction I.C. filed to register
additional securities or additional classes of securities pursuant
to Rule 413(b) under the Securities Act, please check the following
box. [ ]
Indicate by check mark
whether
the registrant is an emerging growth company as
defined in Rule 405 of the Securities Act of
1933.
Emerging growth
company
[ ]
If an emerging growth company that prepares its
financial statements in accordance with U.S. GAAP, 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 term “new or revised financial accounting standard”
refers to any update issued by the Financial Accounting Standards
Board to its Accounting Standards Codification after April 5,
2012.
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 or until this
Registration Statement shall become effective on such date as the
Securities and Exchange Commission, acting pursuant to Section 8(a)
of the Securities Act, may determine.
EXPLANATORY NOTE
Intellipharmaceutics
International Inc. is filing this pre-effective Amendment
No. 1 (this “Amendment”) to the Registration
Statement on Form F-3 (Registration No. 333-218297) (the
“Registration Statement”) as an exhibit-only filing to
re-file in appropriate format Exhibits 5.1, 8.1, 8.2, 23.1 and 23.2
included with the Registration Statement on May 26, 2017.
Accordingly, this Amendment consists only of the facing page, this
explanatory note, Item 9 of Part II of the Registration
Statement, the signature pages to the Registration Statement, the
exhibit index and the re-filed Exhibits 5.1, 8.1, 8.2, 23.1 and
23.2. The remainder of the Registration Statement, including the
prospectus, is unchanged and therefore has not been included in
this Amendment.
PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
Item 9. Exhibits
Exhibit Number
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Description
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1.1*
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Form of
Underwriting Agreement for common shares, preference shares,
warrants, subscription receipts and/or units.
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4.1
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Articles
of Incorporation of the Company and Amendments thereto
(incorporated herein by reference to the Company’s Annual
Report on Form 20-F for the fiscal year ended November 30, 2009 as
filed on June 1, 2010).
|
|
|
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4.2
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By-laws
of the Company (incorporated by reference to the Company’s
Annual Report on Form 20-F for the fiscal year ended November 30,
2009 as filed on June 1, 2010).
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|
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4.3*
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Form of
Subscription Receipt Agreement.
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4.4*
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Form of
Warrant Agreement (including form of Warrant
Certificate).
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4.5*
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Form of
Unit Agreement.
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5.1
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Opinion
of Gowling WLG (Canada) LLP as to the legality of the securities
being registered.
|
|
|
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8.1
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Tax
opinion of Blank Rome LLP.
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8.2
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Tax
opinion of Gowling WLG (Canada) LLP.
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23.1
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Consent
of Independent Registered Public Accounting Firm (MNP
LLP)
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23.2
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Consent
of Deloitte LLP
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23.3
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Consent
included in opinion of Gowling WLG (Canada) LLP filed as Exhibit
5.1.
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23.4
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Consent
included in opinion of Blank Rome LLP filed as Exhibit
8.1.
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|
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23.5
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Consent
included in opinion of Gowling WLG (Canada) LLP filed as Exhibit
8.2.
|
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|
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24.1**
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Power
of Attorney (included on the signature pages to this Registration
Statement).
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--------------
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*
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To be
filed by amendment or as an exhibit to a report pursuant to
Section 13(a) or 15(d) of the Securities Exchange
Act of 1934, including any Report of Foreign Private Issuer on
Form 6-K, and incorporated herein by reference if necessary or
required by the transaction.
|
SIGNATURES
Pursuant to the
requirements of the Securities Act of 1933, the Registrant
certifies that it has reasonable grounds to believe that it meets
all of the requirements for filing on Form F-3 and has duly caused
this Registration Statement to be signed on its behalf by the
undersigned, thereunto duly authorized, in the City of Toronto,
Province of Ontario, Canada, on May 26, 2017.
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INTELLIPHARMACEUTICS INTERNATIONAL INC.
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By:
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/s/
Dr. Amina Odidi
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Dr.
Amina Odidi
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President,
Chief Operating Officer and Director
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Pursuant to the
requirements of the Securities Act of 1933, this amendment has been
signed by the following persons in the capacities and on the dates
indicated.
Signature
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Title
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Date
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/s/
Dr. Isa Odidi
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Chairman
of the Board of Directors
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May 26
, 2017
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Dr. Isa
Odidi
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and
Chief Executive Officer
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|
|
|
|
|
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*
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Chief
Financial Officer
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May 26,
2017
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Domenic
Della Penna
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(Principal
Financial
and
Accounting Officer)
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/s/ Dr.
Amina Odidi
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President,
Chief Operating Officer
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May 26,
2017
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Dr.
Amina Odidi
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and
Director
|
|
|
|
|
|
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*
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Director
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May 26,
2017
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Kenneth
Keirstead
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*
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Director
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May 26,
2017
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Bahadur
Madhani
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*
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Director
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May 26,
2017
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Eldon
R. Smith
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By
/s/ Dr. Isa Odidi
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Dr. Isa Odidi, as
Attorney-in-Fact
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AUTHORIZED REPRESENTATIVE
Pursuant to the
requirements of Section 6(a) of the Securities Act of 1933, the
undersigned has signed this Registration Statement, solely in the
capacity of the duly authorized representative of
Intellipharmaceutics International Inc. in the United States, on
May 26, 2017.
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VASOGEN INC.
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By:
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/s/ Dr. Amina Odidi
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Name: Dr.
Amina Odidi
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Title: President,
Chief Operating Officer and Director
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EXHIBIT INDEX
Exhibit Number
|
|
Description
|
|
|
|
1.1*
|
|
Form of
Underwriting Agreement for common shares, preference shares,
warrants, subscription receipts and/or units.
|
4.1
|
|
Articles
of Incorporation of the Company and Amendments thereto
(incorporated herein by reference to the Company’s Annual
Report on Form 20-F for the fiscal year ended November 30, 2009 as
filed on June 1, 2010).
|
4.2
|
|
By-laws
of the Company (incorporated by reference to the Company’s
Annual Report on Form 20-F for the fiscal year ended November 30,
2009 as filed on June 1, 2010).
|
4.3*
|
|
Form of
Subscription Receipt Agreement.
|
4.4*
|
|
Form of
Warrant Agreement (including form of Warrant
Certificate).
|
4.5*
|
|
Form of
Unit Agreement.
|
5.1
|
|
Opinion
of Gowling WLG (Canada) LLP as to the legality of the securities
being registered.
|
8.1
|
|
Tax
opinion of Blank Rome LLP.
|
8.2
|
|
Tax
opinion of Gowling WLG (Canada) LLP.
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23.1
|
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Consent
of Independent Registered Public Accounting Firm (MNP
LLP)
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23.2
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Consent
of Deloitte LLP
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23.3
|
|
Consent
included in opinion of Gowling WLG (Canada) LLP filed as Exhibit
5.1.
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23.4
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|
Consent
included in opinion of Blank Rome LLP filed as Exhibit
8.1.
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23.5
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Consent
included in opinion of Gowling WLG (Canada) LLP filed as Exhibit
8.2.
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24.1**
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Power
of Attorney (included on the signature pages to this Registration
Statement).
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--------------
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*
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To be
filed by amendment or as an exhibit to a report pursuant to
Section 13(a) or 15(d) of the Securities Exchange
Act of 1934, including any Report of Foreign Private Issuer on
Form 6-K, and incorporated herein by reference if necessary or
required by the transaction.
|
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