As
filed with the Securities and Exchange Commission on May 15 , 2019
Registration
No. 333-231022
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
AMENDMENT
NO. 1
to
FORM
S-3
REGISTRATION
STATEMENT
UNDER
THE
SECURITIES ACT OF 1933
COCRYSTAL
PHARMA, INC.
(Exact
name of registrant as specified in its charter)
Delaware
|
|
20-578559
|
(State
or other jurisdiction of
incorporation
or organization)
|
|
(I.R.S.
Employer
Identification
No.)
|
19805
N. Creek Parkway
Bothell,
Washington 98011
(786)
459-1831
(Address,
including zip code, and telephone number, including area code, of registrant’s principal executive offices)
James
Martin, Chief Financial Officer
Cocrystal
Pharma, Inc.
19805
N. Creek Parkway
Bothell,
Washington 98011
(786)
459-1831
(Name,
address, including zip code, and telephone number, including area code, of agent for service)
Copy
to:
Michael
D. Harris, Esq.
Brian
S. Bernstein, Esq.
Nason,
Yeager, Gerson, Harris & Fumero, P.A.
3001
PGA Blvd., Suite 305
Palm
Beach Gardens, Florida 33410
(561)
686-3307
Approximate
date of commencement of proposed sale to the public: From time to time after the effective date of this registration statement.
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, 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 [X]
|
Non-accelerated
filer [ ]
|
Smaller
reporting company [X]
|
|
Emerging
growth company [ ]
|
If
an emerging growth company, indicate by checkmark if the registrant has not elected 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 Securities and Exchange Commission, acting pursuant to said Section 8(a), may determine.
EXPLANATORY
NOTE
We
are filing this Pre-Effective Amendment No. 1 to our registration statement on Form S-3 (the “Amendment”) to respond
to comments we received from the Securities and Exchange Commission on May 1, 2019 in regard to the registration statement on
Form S-3 filed on April 25, 2019 (File No. 333-231022) (the “Registration Statement”).
This
Amendment is amending the disclosure under the heading “Incorporation of Certain Information by Reference” in the
prospectus included in Part I of the Registration Statement. Except as described above and for certain updates to the cover page
and signature page of the Registration Statement and the cover page of the prospectus, no changes are being made to the Registration
Statement as originally filed.
The
information in this prospectus is not complete and may be changed. These securities may not be sold until the registration statement
filed with the Securities and Exchange Commission of which this prospectus is a part becomes effective. This prospectus is not
an offer to sell these securities and it is not soliciting an offer to buy these securities in any state where the offer or sale
is not permitted.
Subject
to Completion, Dated May 15 , 2019
PROSPECTUS
Cocrystal
Pharma, Inc.
1,686,494
Shares
Common
Stock
This
prospectus relates to the possible resale by the selling stockholders (the “Selling Stockholders”) identified in this
prospectus of up to 1,686,494 shares of our common stock, par value $0.001 per share which includes (i) 1,602,283 shares of common
stock issued in a private placement transaction, which closed on March 13, 2019 and (ii) 84,211 shares of common stock (the “Warrant
Shares”) issuable upon exercise of warrants issued on May 3, 2018 (the “Warrants”). We are registering these
shares of common stock (including the Warrant Shares) on behalf of the Selling Stockholders, to be offered and sold by them from
time to time.
We
are not selling any shares of common stock under this prospectus and will not receive any of the proceeds from the sale of shares
of common stock by the Selling Stockholders. However, we may receive proceeds from the cash exercise of the Warrants, which, if
all Warrants are exercised, would result in gross proceeds to the Company of approximately $176,000.
The
Selling Stockholders may offer the shares of our common stock from time to time and at such prices as each Selling Stockholder
may determine through public or private transactions or through other means described in the section entitled “Plan of Distribution”
or a supplement to this prospectus. Each Selling Stockholder may also sell the shares under Rule 144 under the Securities Act
of 1933, if available, rather than under this prospectus.
We
are registering the offer and sale of the shares of our common stock pursuant to certain registration rights granted to the Selling
Stockholders. The registration of these shares does not necessarily mean that any of the shares will be offered or sold by the
Selling Stockholders. The timing and amount of any sale is within the sole discretion of each Selling Stockholder.
The
Selling Stockholders will pay all underwriting discounts and selling commissions, if any, in connection with the sale of the shares
of common stock. We have agreed to pay certain expenses in connection with this registration statement and to indemnify the Selling
Stockholders against certain liabilities. To our knowledge, as of the date of this prospectus, no underwriter or other person
has been engaged to facilitate the sale of shares of common stock in this offering.
Our
common stock is traded on The Nasdaq Capital Market under the symbol “COCP.” On May 14 , 2019, the last reported
sales price of our common stock was $ 2.43 per share.
Investing
in our securities involves risks. You should read carefully and consider “Risk Factors” included in our most recent
Annual Report on Form 10-K and on page 4 of this prospectus and in the applicable prospectus supplement before investing in our
securities.
Neither
the Securities and Exchange Commission nor any state securities commission has approved or disapproved of these securities or
determined whether this prospectus is truthful or complete. Any representation to the contrary is a criminal offense.
The
date of this prospectus is ______________, 2019
TABLE
OF CONTENTS
You
should rely only on information contained in this prospectus. We have not authorized anyone to provide you with information that
is different from that contained in this prospectus. We are not offering to sell or seeking offers to buy shares of common stock
in jurisdictions where offers and sales are not permitted. The information contained in this prospectus is accurate only as of
the date of this prospectus, regardless of the time of delivery of this prospectus or of any sale of our common stock. We are
responsible for updating this prospectus to ensure that all material information is included and will update this prospectus to
the extent required by law.
ABOUT
THIS PROSPECTUS
This
prospectus is part of a “shelf” registration statement that we have filed with the Securities and Exchange Commission
(“SEC”). By using a shelf registration statement, the selling stockholders identified herein (the “Selling Stockholders”)
may sell, at any time and from time to time, in one or more transactions as described under “Plan of Distribution”,
up to 1,686,494 shares of our common stock, par value $0.001 per share which represents: (i) 1,602,283 issued in our private placement
offering which closed on March 13, 2019 and (ii) shares of common stock underlying the Warrants which were issued to the Company’s
underwriter in the Company’s May 2018 public offering. We will not receive any of the proceeds from the sales of the common
stock by the Selling Stockholders.
This
prospectus provides you with a general description of us and our securities. We may add, update or change in a prospectus supplement
any of the information contained in this prospectus or the documents incorporated by reference. For further information about
our business and our securities, you should refer to the registration statement and the reports incorporated by reference in this
prospectus, as described in “Additional Information” and “Incorporation of Certain Information by Reference”.
This prospectus contains summaries of certain provisions contained in some of the documents described herein, but reference is
made to the actual documents for complete information. All of the summaries are qualified in their entirety by the actual documents.
Copies of some of the documents referred to herein have been filed, will be filed or will be incorporated by reference as exhibits
to the registration statement of which this prospectus is a part, and you may obtain copies of those documents as described below
under the heading “Where You Can Find More Information.”
You
must not rely upon any information or representation not contained or incorporated by reference in this prospectus. You should
rely only on the information contained in this prospectus and in any prospectus supplement (including in any documents incorporated
by reference herein or therein). You should not assume that the information contained in this prospectus is accurate on any date
subsequent to the date set forth on the front of the document or that any information we have incorporated by reference is correct
on any date subsequent to the date of the document incorporated by reference, even though this prospectus is delivered or securities
are sold on a later date. We and the Selling Stockholders have not authorized anyone to provide you with any different information.
The Selling Stockholders are offering to sell our securities, and seeking offers to buy, only in jurisdictions where offers and
sales are permitted.
Cocrystal
Pharma, Inc. and its subsidiaries are collectively referred to herein as “Cocrystal”, “the Company”, “we”,
“us”, and “our”, unless otherwise specified or the context indicates otherwise.
PROSPECTUS
SUMMARY
This
summary only highlights the more detailed information appearing elsewhere in this prospectus or incorporated by reference in this
prospectus. It may not contain all of the information that is important to you. You should carefully read the entire prospectus
and the documents incorporated by reference in this prospectus before deciding whether to invest in our securities. Unless otherwise
indicated or the context requires otherwise, in this prospectus and any prospectus supplement hereto references to “Cocrystal,”
“we,” “us,” and “our” refer to Cocrystal Pharma, Inc. and its consolidated subsidiaries.
Corporate
Information
Our
principal executive offices are located at 19805 N. Creek Parkway, Bothell, Washington 98011 and our telephone number is (786)
459-1831. Our Internet website address is www.cocrystalpharma.com. The information on our website is not incorporated into this
prospectus.
Our
Company
Cocrystal
Pharma, Inc. is a biotechnology company seeking to discover and develop novel antiviral therapeutics as treatments for serious
and/or chronic viral diseases. We employ unique structure-based technologies and Nobel Prize winning expertise to create first-
and best-in-class antiviral drugs. These technologies are designed to efficiently deliver small molecule therapeutics that are
safe, effective and convenient to administer. We have identified promising preclinical and early clinical stage antiviral compounds
for unmet medical needs including influenza, Hepatitis C virus (“HCV”), and norovirus infections.
The
Company operates in one segment. Management uses cash flows as the primary measure to manage its business and does not segment
its business for internal reporting or decision-making.
Cocrystal
Technology
We
are developing antiviral therapeutics that inhibit the essential replication function of various viruses. One of our goals is
to decrease the duration of HCV therapy by advancing drug candidates targeting the HCV RNA-dependent RNA polymerase enzyme. Additional
goals include treating human and avian (bird) influenza virus and norovirus infections by discovering and developing drug candidates
targeting the viral replication complex. To discover and design these inhibitors, we use a proprietary platform comprising computation,
medicinal chemistry, X-ray crystallography, and our extensive know-how. We determine the structures of cocrystals containing the
inhibitors bound to the enzyme or protein to guide our design. We also use advanced computational methods to screen and design
product candidates using proprietary cocrystal structural information. In designing the candidates, we seek to anticipate and
avert potential viral mutations leading to resistance. By designing and selecting drug candidates that interrupt the viral replication
process and also have specific binding characteristics, we seek to develop drugs that are not only effective against both the
virus and possible mutants of the virus, but which also have reduced off-target interactions that cause undesirable clinical side
effects. This approach requires an extensive knowledge of viruses and drug targets to carry out. In addition, knowledge and experience
in the fields of structural biology, and enzymology are required. We developed our proprietary structure-based drug design under
the guidance of Dr. Roger Kornberg, our Chief Scientist and recipient of the Nobel Prize in Chemistry in 2006. Our drug discovery
process focuses on those parts of the enzymes to which drugs bind and on drug-enzyme interactions at the atomic level. Additionally,
we have developed proprietary targeted in-house chemical libraries of non-nucleoside inhibitors, metal-binding inhibitors, and
drug-like fragments. Our drug discovery process is different from traditional, empirical, medicinal chemistry approaches that
often require iterative high-throughput compound screening and lengthy hit-to-lead processes. We continue developing preclinical
and clinical drug candidates using our proprietary drug discovery technology.
Merck
Collaboration Agreement
On
January 2, 2019, we entered into an Exclusive License and Research Collaboration Agreement (the “Collaboration Agreement”)
with Merck Sharp & Dohme Corp. (“Merck”) to discover and develop certain proprietary influenza A/B antiviral agents.
Under
the terms of the Collaboration Agreement, Merck is funding research and development for the program at Cocrystal and Merck, including
clinical development at Merck, and Merck is responsible for worldwide commercialization of any products derived from the collaboration.
The Company received an upfront payment of $4,000,000 and is eligible to receive milestone payments related to designated development,
regulatory and sales milestones with the potential to earn up to $156,000,000, as well as royalties on product sales.
Private
Placement
On
March 13, 2019, the Company closed a private placement of 1,602,283 shares of its common stock and received gross proceeds of
$4,182,000, before deducting offering expenses and commissions, and net proceeds were approximately $3,674,000, after payment
of commission to a broker-dealer and legal fees of the broker-dealer and our legal and accounting fees.
Pursuant
to the terms of the Purchase Agreements executed by the Company and the investors, the Company agreed to prepare and file with
the SEC a registration statement on or before April 25, 2019 for purposes of registering the resale of the shares. The Company
also agreed to use its commercially reasonable efforts to cause the registration statement to be declared effective by the SEC
within 30 days after the filing deadline (60 days in the event the registration statement is reviewed by the SEC). If the Company
fails to meet the specified filing deadlines or keep the registration statement effective, subject to certain permitted exceptions,
the Company will be required to pay liquidated damages to the Selling Stockholders.
THE
OFFERING
Common stock outstanding
prior to the offering:
|
31,620,646
shares
|
|
|
Common stock offered by the Selling Stockholders:
|
1,686,494 shares,
including 84,211 Warrant Shares
|
|
|
Common stock outstanding immediately following
the offering:
|
31,704,857 shares
|
|
|
Use of proceeds:
|
We will not receive
any of the proceeds from the sale of any of the shares that may be offered from time to time by the Selling Stockholders.
|
|
|
Risk Factors:
|
See “Risk
Factors” beginning on page 4 of this prospectus for a discussion of factors you should carefully consider before deciding
to invest in shares of our common stock.
|
|
|
Stock Symbol:
|
“COCP”
|
The
number of shares of common stock to be outstanding prior to and after this offering excludes:
|
●
|
1,199,824 shares
of common stock issuable upon the exercise of outstanding stock options, having a weighted average exercise price of $5.70
per share;
|
|
|
|
|
●
|
159,164 shares of
common stock issuable upon the exercise of warrants, having a weighted average exercise price of $15.00 per share; and
|
|
|
|
|
●
|
1,505,414 shares
of common stock reserved for future issuance under our 2015 Equity Incentive Plan.
|
CAUTIONARY
NOTE REGARDING FORWARD LOOKING STATEMENTS
This
prospectus including the incorporated documents contains forward-looking statements. All statements other than statements of historical
facts, including statements regarding our future financial position, liquidity, business strategy and plans and objectives of
management for future operations, are forward-looking statements. The words “believe,” “may,” “estimate,”
“continue,” “anticipate,” “intend,” “should,” “plan,” “could,”
“target,” “potential,” “is likely,” “will,” “expect” and similar expressions,
as they relate to us, are intended to identify forward-looking statements. We have based these forward-looking statements largely
on our current expectations and projections about future events and financial trends that we believe may affect our financial
condition, results of operations, business strategy and financial needs.
The
results anticipated by any or all of these forward-looking statements might not occur. Important factors, uncertainties and risks
that may cause actual results to differ materially from these forward-looking statements are contained in the risk factors that
follow and elsewhere in this prospectus and the incorporated documents. We undertake no obligation to publicly update or revise
any forward-looking statements, whether as the result of new information, future events or otherwise. For more information regarding
some of the ongoing risks and uncertainties of our business, see the risk factors that follow and or that are disclosed in our
incorporated documents.
RISK
FACTORS
Investing
in our securities involves risks. Before purchasing the securities offered by this prospectus you should consider carefully the
risk factors incorporated by reference in this prospectus from our Annual Report on Form 10-K for the year ended December 31,
2018 filed with the SEC on April 1, 2019, as well as the risks, uncertainties and additional information (i) set forth in our
SEC reports on Forms 10-K, 10-Q and 8-K and in the other documents incorporated by reference in this prospectus that we file with
the SEC after the date of this prospectus and which are deemed incorporated by reference in this prospectus, and (ii) the information
contained in any applicable prospectus supplement. For a description of these reports and documents, and information about where
you can find them, see “Incorporation of Certain Documents By Reference.” The risks and uncertainties we discuss in
this prospectus and in the documents incorporated by reference in this prospectus are those that we currently believe may materially
affect our company. Additional risks not presently known, or currently deemed immaterial, also could materially and adversely
affect our financial condition, results of operations, business and prospects.
USE
OF PROCEEDS
We
will not receive any proceeds from the sale of our common stock by the Selling Stockholders. However, we may receive proceeds
from the cash exercise of the Warrants, which would result in gross proceeds to us of approximately $176,000 and will be used
for general corporate purposes. The use of proceeds from such Warrant exercises, if any, will not be subject to any restrictions.
SELLING
STOCKHOLDERS
As
described in the section of this prospectus entitled “About this Prospectus”, the Selling Stockholders acquired shares
of our common stock and Warrants exercisable for Warrant Shares. In connection with the closing of the Private Placement, we entered
into Purchase Agreements containing certain registration rights, pursuant to which we agreed to prepare and file one or more registration
statements covering the resale of the shares of common stock and Warrant Shares issued in the Private Placement. We are filing
this Registration Statement to comply with our registration requirements under the Purchase Agreements. For additional information
regarding the issuance of common stock in the Private Placement, see “Prospectus Summary—Private Placement.”
Additionally, the Warrant Shares are being registered in accordance with certain piggy-back registration rights granted under
the Warrants.
The
following table sets forth for each Selling Stockholder, the name, the number and percentage of shares of common stock beneficially
owned as of April 25, 2019, the maximum number of shares of common stock that may be offered pursuant to this prospectus and the
number and percentage of shares of common stock that would be beneficially owned after the sale of the maximum number of shares
of common stock pursuant to this prospectus. The information presented in the table is based on 31,620,646 shares of our common
stock outstanding on April 25, 2019.
Only
those Selling Stockholders listed below may offer and sell the common stock pursuant to this prospectus and any accompanying prospectus
supplement. The Selling Stockholders may offer all or less than all of the shares listed in the table below for sale pursuant
to this prospectus and any accompanying prospectus supplement from time to time. Accordingly, no estimate can be given as to the
shares of common stock that the Selling Stockholders will hold upon consummation of any such sales, but for purposes of the last
two columns below, we have assumed that all of the shares of common stock that may be offered pursuant to this prospectus will
be sold by the Selling Stockholders.
Beneficial
ownership is determined in accordance with the rules of the SEC. Unless otherwise indicated, this table is based on information
supplied to us by the Selling Stockholders and certain of our otherwise indicated, to our knowledge, the persons named in the
table have sole voting and investment power with respect to all shares beneficially owned, subject to community property laws
where applicable.
Name
and Address of Selling Stockholder
|
|
Number
of
securities
beneficially
owned before
offering
|
|
|
Number
of
securities
to be
offered
|
|
|
Number
of
securities
owned after
offering
|
|
|
Percentage
of
securities
beneficially
owned after
offering
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Connective Capital I QP LP
(1)
|
|
|
70,000
|
|
|
|
70,000
|
|
|
|
0
|
|
|
|
0
|
%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
LSP Life Sciences Fund N.V. (2)
|
|
|
1,885,394
|
|
|
|
766,283
|
|
|
|
1,119,111
|
|
|
|
3.5
|
%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Wasatch Micro Cap Value Fund (3)
|
|
|
243,000
|
|
|
|
243,000
|
|
|
|
0
|
|
|
|
0
|
%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Wasatch Ultra Growth Fund (4)
|
|
|
846,443
|
|
|
|
523,000
|
|
|
|
323,443
|
|
|
|
1.0
|
%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
A.G.P./Alliance Global Partners (5)
|
|
|
29,474
|
|
|
|
29,474
|
|
|
|
0
|
|
|
|
0
|
%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Carmelo Cataudella (5)
|
|
|
3,500
|
|
|
|
3,500
|
|
|
|
0
|
|
|
|
0
|
%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
David Birenbaum (5)
|
|
|
1,684
|
|
|
|
1,684
|
|
|
|
0
|
|
|
|
0
|
%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
David Bocchi (5)
|
|
|
11,092
|
|
|
|
11,092
|
|
|
|
0
|
|
|
|
0
|
%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Harry Ioannou (5)
|
|
|
21,053
|
|
|
|
21,053
|
|
|
|
0
|
|
|
|
0
|
%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
James Tang (5)
|
|
|
3,158
|
|
|
|
3,158
|
|
|
|
0
|
|
|
|
0
|
%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Zachary Grodko (5)
|
|
|
3,158
|
|
|
|
3,158
|
|
|
|
0
|
|
|
|
0
|
%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Zachary Hirsch (5)
|
|
|
11,092
|
|
|
|
11,092
|
|
|
|
0
|
|
|
|
0
|
%
|
*
|
Indicates beneficial
ownership of less than 1%.
|
(1)
Address is 385 Homer Avenue, Palo Alto, California 94301. Mr. Robert Romero, as portfolio manager, has the power to vote and dispose
of the securities held by the Selling Stockholder.
(2)
LSP Life Sciences Fund N.V. (“Record Holder”) is the record holder of 1,046,294
shares of common stock. LSP Advisory B.V. (“Sole Director”) is the sole director of the Record Holder and in such
capacity may be deemed to beneficially own the shares held of record by Record Holder. In addition, Sole Director has the power
to vote and dispose of 839,100 shares of common stock held in client accounts for which it serves as the investment advisor. LSP
Advisory Group B.V. is the sole shareholder of the Sole Director and Mr. Marcus Wegter is the director of LSP Advisory Group B.V.
Therefore, each of LSP Advisory Group B.V. and Mr. Wegter may be deemed to share beneficial ownership of the shares of common
stock beneficially owned by LSP Advisory B.V. Address is c/o LSP, Johannes Vermeerplein 9, 1071 DV Amsterdam, the Netherlands.
(3)
Address is 505 Wakara Way, 3
rd
Floor, Salt Lake City, Utah 84108. Mr. Brian Bythrow
has
the power to vote and dispose of the securities held by the Selling Stockholder.
(4)
Address is 505 Wakara Way, 3
rd
Floor, Salt Lake City, Utah 84108. Mr. John Malooly
has the power to vote and dispose of the securities held by the Selling Stockholder.
(5)
Address is c/o A.G.P./Alliance Global Partners, 590 Madison Avenue, 36
th
Floor, New York, New York 10022. Represents
Warrant Shares underlying the Warrants which were issued in May 2018 to A.G.P./Alliance Global Partners (“AGP”) as
partial consideration for acting as the representative of the underwriters in the May 2018 offering. Subsequently, most of the
Warrants were transferred to affiliates of AGP who are listed as Selling Stockholders. AGP has acted as a sales agent pursuant
to the Equity Distribution Agreement, dated July 19, 2018 (the “Distribution Agreement”) by and among the Company,
AGP and the other parties named therein. The sales of the Company’s common stock pursuant to the Distribution Agreement
are currently suspended.
PLAN
OF DISTRIBUTION
We
are registering the shares of common stock of the Selling Stockholders which were issued in the March 2019 private placement offering
and the Warrant Shares underlying the Warrants issued in May 2018 to permit the resale of such shares by such stockholders from
time to time after the date of this prospectus. We will not receive any of the proceeds from the sale by the Selling Stockholders
of the shares. We will only receive the proceeds from the exercise of the Warrants. We will bear all fees and expenses incident
to our obligation to register the shares, except that, if the shares are sold through underwriters or broker-dealers, the Selling
Stockholders will be responsible for any underwriting discounts or commissions or agent’s commissions.
The
Selling Stockholders, which may include donees, pledgees, transferees or other successors in interest selling shares or interests
in shares received after the date of this prospectus from a selling stockholder as a gift, pledge, partnership, distribution or
other transfer, may sell all or a portion of the shares beneficially owned by them and offered hereby from time to time directly
or through one or more underwriters, broker-dealers or agents. The shares may be sold in one or more transactions at fixed prices,
at prevailing market prices at the time of the sale, at varying prices determined at the time of sale, or at negotiated prices.
These sales may be effected in transactions, which may involve crosses or block transactions, on any national securities exchange
or quotation service on which the securities may be listed or quoted at the time of sale. The Selling Stockholders may use any
one or more of the following methods when disposing of the shares:
|
●
|
through the writing
of options, whether such options are listed on an options exchange or otherwise;
|
|
|
|
|
●
|
ordinary brokerage
transactions and transactions in which the broker-dealer solicits purchasers;
|
|
|
|
|
●
|
block trades in
which the broker-dealer will attempt to sell the shares as agent but may position and resell a portion of the block as principal
to facilitate the transaction;
|
|
|
|
|
●
|
purchases by a broker-dealer
as principal and resale by the broker-dealer for its account;
|
|
|
|
|
●
|
an exchange distribution
in accordance with the rules of the applicable exchange;
|
|
|
|
|
●
|
privately negotiated
transactions;
|
|
|
|
|
●
|
short sales;
|
|
|
|
|
●
|
broker-dealers may
agree with the Selling Stockholders to sell a specified number of such securities at a stipulated price per security;
|
|
|
|
|
●
|
a combination of
any such methods of sale; or
|
|
|
|
|
●
|
any other method
permitted pursuant to applicable law.
|
If
the Selling Stockholders effect such transactions by selling shares to or through underwriters, broker-dealers or agents, such
underwriters, broker-dealers or agents may receive commissions in the form of discounts, concessions or commissions from the Selling
Stockholders or commissions from purchasers of the shares for whom they may act as agent or to whom they may sell as principal
(which discounts, concessions or commissions as to particular underwriters, broker-dealers or agents may be in excess of those
customary in the types of transactions involved).
In
connection with sales of the shares or otherwise, the Selling Stockholders may enter into hedging transactions with broker-dealers,
which may in turn engage in short sales of the shares in the course of hedging in positions they assume. The Selling Stockholders
may also sell the shares short and deliver the shares covered by this prospectus to close out short positions and to return borrowed
shares in connection with such short sales. The Selling Stockholders may also loan or pledge the shares to broker-dealers that
in turn may sell such shares.
The
Selling Stockholders may pledge or grant a security interest in some or all of the shares owned by them, and, if they default
in the performance of their secured obligations, the pledgees or secured parties may offer and sell the shares from time to time
pursuant to this prospectus or other applicable provisions of the Securities Act, as amended, or the Securities Act, amending,
if necessary, the list of Selling Stockholders to include such pledgee, transferee or other successors in interest as Selling
Stockholders under this prospectus. The Selling Stockholders also may transfer and donate the shares in other circumstances in
which case the transferees, donees, pledgees or other successors in interest will be the selling beneficial owners for purposes
of this prospectus.
The
Selling Stockholders also may resell all or a portion of the shares in open market transactions, rather than under this prospectus,
in reliance upon Rule 144 under the Securities Act, provided that they meet the criteria and conform to the requirements of that
rule.
The
Selling Stockholders and any broker-dealer participating in the distribution of the shares may be deemed to be “underwriters”
within the meaning of the Securities Act, and any commission paid, or any discounts or concessions allowed to, any such broker-dealer
may be deemed to be underwriting commissions or discounts under the Securities Act. At the time a particular offering of the shares
is made, a prospectus supplement, if required, will be distributed which will set forth the aggregate amount of shares being offered
and the terms of the offering, including the name or names of any broker-dealers or agents, any discounts, commissions and other
terms constituting compensation from the Selling Stockholders and any discounts, commissions or concessions allowed or reallowed
or paid to broker-dealers.
Under
the securities laws of some states, the shares may be sold in such states only through registered or licensed brokers or dealers.
In addition, in some states, the shares may not be sold unless such shares have been registered or qualified for sale in such
state or an exemption from registration or qualification is available and is complied with.
There
can be no assurance that the Selling Stockholders will sell any or all of the shares registered pursuant to the registration statement
of which this prospectus forms a part.
The
Selling Stockholders and any other person participating in such distribution will be subject to applicable provisions of the Securities
Exchange Act of 1934, or the Exchange Act, and the rules and regulations thereunder, including, without limitation, Regulation
M of the Exchange Act, which may limit the timing of purchases and sales of any of the shares of by the Selling Stockholders and
any other participating person. Regulation M may also restrict the ability of any person engaged in the distribution of the shares
to engage in market-making activities with respect to the shares. All of the foregoing may affect the marketability of the shares
and the ability of any person or entity to engage in market-making activities with respect to the shares.
We
will pay all expenses of the registration of the shares pursuant to the registration statement of which this prospectus forms
a part, including, without limitation, filing fees payable to the SEC and expenses of compliance with state securities or “blue
sky” laws; provided, however, that the Selling Stockholders will pay all underwriting discounts and selling commissions,
if any. We will indemnify the Selling Stockholders against liabilities, including some liabilities under the Securities Act, or
the Selling Stockholders will be entitled to contribution. We may be indemnified by the Selling Stockholders against civil liabilities,
including liabilities under the Securities Act, that may arise from any written information furnished to us by the Selling Stockholders
specifically for use in this prospectus or we may be entitled to contribution.
Once
sold under the registration statement of which this prospectus forms a part, the shares will be freely tradable in the hands of
persons other than our affiliates.
LEGAL
MATTERS
The
validity of the securities offered hereby will be passed upon for us by Nason, Yeager, Gerson, Harris & Fumero, P.A., Palm
Beach Gardens, Florida.
EXPERTS
The
consolidated financial statements as of December 31, 2018 and 2017 and for the years then ended and management’s assessment
of the effectiveness of internal control over financial reporting as of December 31, 2018 incorporated by reference in this Prospectus
have been so incorporated in reliance on the reports of BDO USA, LLP, an independent registered public accounting firm (the report
on the consolidated financial statements contains an explanatory paragraph regarding the Company’s ability to continue as
a going concern and the report on the effectiveness of internal control over financial reporting expresses an adverse opinion
on the effectiveness of the Company’s internal control over financial reporting as of December 31, 2018), incorporated herein
by reference, given on the authority of said firm as experts in auditing and accounting.
DISCLOSURE
OF COMMISSION POSITION
ON
INDEMNIFICATION FOR SECURITIES ACT LIABILITIES
Insofar
as indemnification for liabilities arising under the Securities Act may be permitted to our directors, officers and controlling
persons pursuant to the foregoing provisions, or otherwise, we have been advised that in the opinion of the SEC such indemnification
is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification
against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling
person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or
controlling person in connection with the securities being registered, we will, unless in the opinion of our counsel the matter
has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification
by us is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.
ADDITIONAL
INFORMATION
We
have filed with the SEC a registration statement on Form S-3, including the exhibits, schedules, and amendments to this registration
statement, under the Securities Act with respect to the shares of common stock offered hereby. This prospectus, which is part
of the registration statement, does not contain all the information set forth in the registration statement. For further information
with respect to us and the shares of our common stock to be sold in this offering, we make reference to the registration statement.
We
are an Exchange Act reporting company and are required to file periodic reports on Form 10-K and 10-Q and current reports on Form
8-K. You may read and copy all or any portion of the registration statement or any other information, at the SEC’s I
nternet
website, which is located at www.sec.gov and which also contains reports, proxy and information statements and other information
regarding issuers that file electronically with the SEC. Additionally, you may access our filings with the SEC through our website
at www.cocrystalpharma.com. The information on our website is not part of this prospectus.
We
will provide you without charge, upon your oral or written request, with a copy of any or all reports, proxy statements and other
documents we file with the SEC, as well as any or all of the documents incorporated by reference in this prospectus or the Registration
Statement (other than exhibits to such documents unless such exhibits are specifically incorporated by reference into such documents).
Requests for such copies should be directed to:
Investor
Relations
Cocrystal
Pharma, Inc.
19805
N. Creek Parkway
Bothell,
Washington 98011
Telephone
number: (786) 459-1831
You
should rely only on the information in this prospectus and the additional information described above and under the heading “Incorporation
of Certain Information by Reference” below. We have not, and the Selling Stockholders have not, authorized any other person
to provide you with different information. If anyone provides you with different or inconsistent information, you should not rely
upon it. The Selling Stockholders are not making an offer to sell these securities in any jurisdiction where the offer or sale
is not permitted. You should assume that the information in this prospectus was accurate on the date of the front cover of this
prospectus only, and that any information we have incorporated by reference was accurate on the date of the document incorporated
by reference only. Our business, financial condition, results of operations and prospects may have changed since such date.
INCORPORATION
OF CERTAIN INFORMATION BY REFERENCE
The
SEC allows us to “incorporate by reference” information that we file with it into this prospectus, which means that
we can disclose important information to you by referring you to those documents. The information incorporated by reference is
an important part of this prospectus. The information incorporated by reference is considered to be a part of this prospectus,
and information that we file later with the SEC will automatically update and supersede information contained in documents filed
earlier with the SEC or contained in this prospectus and any accompanying prospectus supplement.
We
incorporate by reference the documents listed below that we have previously filed with the SEC:
●
|
Our annual report
on Form 10-K for the year ended December 31, 2018 filed on April 1, 2019;
|
|
|
●
|
Our current reports
on Form 8-K filed on January 4, 2019, January 7, 2019, February 4, 2019, March 11, 2019, March 14, 2019, March 19, 2019, March
26, 2019, April 9, 2019 and April 18, 2019 (other than current reports furnished under Item 7.01 of Form 8-K and exhibits
that are related to such item); and
|
|
|
●
|
The description
of our common stock contained in our Registration Statement on Form 8-A (File No. 001-38418), filed under Section 12(b) of
the Exchange Act on March 9, 2018, including any subsequent amendment or report filed for the purpose of amending such description.
|
All
reports and other documents that we file with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act before the
completion or termination of the offering of the securities hereunder, including all such reports and documents we may file with
the SEC after the date of the initial filing of and prior to the effectiveness of the registration statement, will also be considered
to be incorporated by reference into this prospectus from the date of the filing of these reports and documents, and will supersede
the information herein; provided, however, that all reports or portions thereof that we “furnish” to the SEC will
not be considered incorporated by reference into this prospectus. We undertake to provide without charge to each person (including
any beneficial owner) who receives a copy of this prospectus, upon written or oral request, a copy of all of the preceding documents
that are incorporated by reference (other than exhibits, unless the exhibits are specifically incorporated by reference into these
documents). You may request a copy of these materials in the manner set forth under the heading “Additional Information,”
above.
PART
II
INFORMATION
NOT REQUIRED IN PROSPECTUS
Item
14. Other Expenses of Issuance and Distribution.
The
following table sets forth the costs and expenses payable by us in connection with the issuance and distribution of the securities
being registered hereunder. All of the amounts shown are estimates, except for the SEC Registration Fees.
SEC registration fees
|
|
$
|
533.49
|
|
Accounting fees and expenses
|
|
$
|
20,000
|
|
Legal fees and expenses
|
|
$
|
45,000
|
|
Miscellaneous fees and expenses
|
|
$
|
9,466.51
|
|
Total
|
|
$
|
75,000
|
|
Item
15. Indemnification of Directors and Officers.
Section
145(a) of the Delaware General Corporation Law (“DGCL”), which Cocrystal is subject to, provides that a corporation
may indemnify any person who was or is a party or is threatened to be made a party to any threatened, pending or completed action,
suit or proceeding, whether civil, criminal, administrative or investigative (other than an action by or in the right of the corporation)
by reason of the fact that the person is or was a director, officer, employee or agent of the corporation, or is or was serving
at the request of the corporation as a director, officer, employee or agent of another corporation, partnership, joint venture,
trust or other enterprise, against expenses (including attorneys’ fees), judgments, fines and amounts paid in settlement
actually and reasonably incurred by the person in connection with such action, suit or proceeding if the person acted in good
faith and in a manner the person reasonably believed to be in or not opposed to the best interests of the corporation, and, with
respect to any criminal action or proceeding, had no reasonable cause to believe the person’s conduct was unlawful. Section
145(b) of the DGCL provides that a corporation may indemnify any person who was or is a party or is threatened to be made a party
to any threatened, pending or completed action or suit by or in the right of the corporation to procure a judgment in its favor
by reason of the fact that the person is or was a director, officer, employee or agent of the corporation, or is or was serving
at the request of the corporation as a director, officer, employee or agent of another corporation, partnership, joint venture,
trust or other enterprise against expenses (including attorneys’ fees) actually and reasonably incurred by the person in
connection with the defense or settlement of such action or suit if the person acted in good faith and in a manner the person
reasonably believed to be in or not opposed to the best interests of the corporation and except that no indemnification shall
be made in respect of any claim, issue or matter as to which such person shall have been adjudged to be liable to the corporation
unless and only to the extent that the Court of Chancery or the court in which such action or suit was brought shall determine
upon application that, despite the adjudication of liability but in view of all the circumstances of the case, such person is
fairly and reasonably entitled to indemnity for such expenses which the Court of Chancery or such other court shall deem proper.
To the extent that a present or former director or officer of a corporation has been successful on the merits or otherwise in
defense of any action, suit or proceeding referred to in Section 145(a) and (b) of the DGCL, or in defense of any claim, issue
or matter therein, such person shall be indemnified against expenses (including attorneys’ fees) actually and reasonably
incurred by such person in connection therewith.
Any
indemnification under Section 145(a) and (b) of the DGCL (unless ordered by a court) shall be made by Cocrystal only as authorized
in the specific case upon a determination that indemnification of the present or former director, officer, employee or agent is
proper in the circumstances because the person has met the applicable standard of conduct set forth in Section 145(a) and (b).
Such determination shall be made, with respect to a person who is a director or officer at the time of such determination, (1)
by a majority vote of the directors who are not parties to such action, suit or proceeding, even though less than a quorum, or
(2) by a committee of such directors designated by majority vote of such directors, even though less than a quorum, or (3) if
there are no such directors, or if such directors so direct, by independent legal counsel in a written opinion, or (4) by the
shareholders. Expenses (including attorneys’ fees) incurred by an officer or director in defending any civil, criminal,
administrative or investigative action, suit or proceeding may be paid by the corporation in advance of the final disposition
of such action, suit or proceeding upon receipt of an undertaking by or on behalf of such director or officer to repay such amount
if it shall ultimately be determined that such person is not entitled to be indemnified by the corporation as authorized in this
section. Such expenses (including attorneys’ fees) incurred by former directors and officers or other employees and agents
may be so paid upon such terms and conditions, if any, as the corporation deems appropriate. The indemnification and advancement
of expenses provided by, or granted pursuant to, Section 145 shall not be deemed exclusive of any other rights to which those
seeking indemnification or advancement of expenses may be entitled under any bylaw, agreement, vote of shareholders or disinterested
directors or otherwise, both as to action in such person’s official capacity and as to action in another capacity while
holding such office.
Section
145 of the DGCL also empowers a corporation to purchase and maintain insurance on behalf of any person who is or was a director,
officer, employee or agent of the corporation, or is or was serving at the request of the corporation as a director, officer,
employee or agent of another corporation, partnership, joint venture, trust or other enterprise against any liability asserted
against such person and incurred by such person in any such capacity, or arising out of such person’s status as such, whether
or not the corporation would have the power to indemnify such person against such liability under Section 145.
Article
11 of Cocrystal’s Certificate of Incorporation provides that directors, officers, employees and agents shall be indemnified
to the fullest extent permitted by the DGCL. In furtherance of that authority, we have entered into Indemnification Agreements
with each of our executive officers and directors.
Cocrystal
carries directors and officers liability coverages designed to insure its officers and directors and those of its subsidiaries
against certain liabilities incurred by them in the performance of their duties, and also providing for reimbursement in certain
cases to Cocrystal and its subsidiaries for sums paid to directors and officers as indemnification for similar liability.
Insofar
as indemnification for liabilities arising under the Securities Act may be permitted to our directors, officers and controlling
persons pursuant to the foregoing provisions, or otherwise, Cocrystal has been advised that in the opinion of the SEC such indemnification
is against public policy as expressed in the Securities Act and is, therefore, unenforceable.
Item
16. Exhibits.
The
exhibits required by Item 601 of Regulation S-K and Item 16 of this Registration Statement are listed in the Exhibit Index immediately
preceding the signature page and such list is incorporated herein by reference.
Item
17. Undertakings.
(a)
The undersigned registrant hereby undertakes:
(1)
To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:
(i)
To include any prospectus required by Section 10(a)(3) of the Securities Act of 1933;
(ii)
To reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent
post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set
forth in the registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if
the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high
end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule
424(b) if, in the aggregate, the changes in volume and price represent no more than a 20 percent change in the maximum aggregate
offering price set forth in the “Calculation of Registration Fee” table in the effective registration statement; and
(iii)
To include any material information with respect to the plan of distribution not previously disclosed in the registration statement
or any material change in such information in the registration statement;
provided,
however
, that paragraphs (i), (ii) and (iii) do not apply if the information required to be included in a post-effective amendment
by those paragraphs is contained in reports filed with or furnished to the Commission by the registrant pursuant to Section 13
or Section 15(d) of the Securities Exchange Act of 1934 that are incorporated by reference in this registration statement, or
is contained in a form of prospectus filed pursuant to Rule 424(b) that is part of the registration statement.
(2)
That, for the purpose of determining any liability under the Securities Act of 1933, each such post-effective amendment shall
be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at
that time shall be deemed to be the initial
bona fide
offering thereof.
(3)
To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold
at the termination of the offering.
(5)
That, for the purpose of determining liability under the Securities Act of 1933 to any purchaser:
(i)
If the registrant is relying on Rule 430B:
(A)
Each prospectus filed by a registrant pursuant to Rule 424(b)(3) shall be deemed to be part of the registration statement as of
the date the filed prospectus was deemed part of and included in the registration statement; and
(B)
Each prospectus required to be filed pursuant to Rule 424(b)(2), (b)(5) or (b)(7) as part of a registration statement in reliance
on Rule 430B relating to an offering made pursuant to Rule 415(a)(1)(i), (vii) or (x) for the purpose of providing the information
required by Section 10(a) of the Securities Act of 1933 shall be deemed to be part of and included in the registration statement
as of the earlier of the date such form of prospectus is first used after effectiveness or the date of the first contract of sale
of securities in the offering described in the prospectus. As provided in Rule 430B, for liability purposes of the issuer and
any person that is at that date an underwriter, such date shall be deemed to be a new effective date of the registration statement
relating to the securities in the registration statement to which the prospectus relates, and the offering of such securities
at that time shall be deemed to be the initial
bona fide
offering thereof.
Provided, however
, that no statement
made in a registration statement or prospectus that is part of the registration statement or made in a document incorporated or
deemed incorporated by reference into the registration statement or prospectus that is part of the registration statement will,
as to a purchaser with a time of contract of sale prior to such effective date, supersede or modify any statement that was made
in the registration statement or prospectus that was part of the registration statement or made in any such document immediately
prior to such effective date; or
(ii)
If the registrant is subject to Rule 430C, each prospectus filed pursuant to Rule 424(b) as part of a registration statement relating
to an offering, other than registration statements relying on Rule 430B or other than prospectuses filed in reliance on Rule 430A,
shall be deemed to be part of and included in the registration statement as of the date it is first used after effectiveness.
Provided, however, that no statement made in a registration statement or prospectus that is part of the registration statement
or made in a document incorporated or deemed incorporated by reference into the registration statement or prospectus that is part
of the registration statement will, as to a purchaser with a time of contract of sale prior to such first use, supersede or modify
any statement that was made in the registration statement or prospectus that was part of the registration statement or made in
any such document immediately prior to such date of first use.
(b)
The undersigned registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing
of the registrant’s annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act that is incorporated by
reference in this registration statement shall be deemed to be a new registration statement relating to the securities offered
therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
Insofar
as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to directors, officers and controlling
persons of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion
of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is, therefore,
unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant
of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action,
suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered,
the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court
of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and
will be governed by the final adjudication of such issue.
EXHIBIT
INDEX
Exhibit
|
|
|
|
Incorporated
by Reference
|
|
Filed
or
Furnished
|
No.
|
|
Exhibit
Description
|
|
Form
|
|
Date
|
|
Number
|
|
Herewith
|
1.1
|
|
Underwriting Agreement, dated as of April 30, 2018, by and between Cocrystal Pharma, Inc. and A.G.P./Alliance Global Partners are representative of the several underwriters*
|
|
8-K
|
|
5/2/18
|
|
1.1
|
|
|
4.1
|
|
Form of Underwriter’s Warrant
|
|
8-K
|
|
5/2/18
|
|
4.1
|
|
|
4.2
|
|
Form of Securities Purchase Agreement, dated March 11, 2019
|
|
8-K
|
|
3/11/19
|
|
10.1
|
|
|
5.1
|
|
Opinion of Nason, Yeager, Gerson, Harris & Fumero, P.A. **
|
|
|
|
|
|
|
|
|
23.1
|
|
Consent of BDO USA, LLP**
|
|
|
|
|
|
|
|
|
23.2
|
|
Consent of Nason, Yeager, Gerson, Harris & Fumero, P.A.***
|
|
|
|
|
|
|
|
|
*
The exhibits from this Exhibit have been omitted. The Company undertakes to furnish the omitted exhibits to the Commission upon
request.
**
Previously filed.
***
Contained in Exhibit 5.1.
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 S-3 and has duly caused this registration statement to be signed on its behalf
by the undersigned, thereunto duly authorized, in the City of Bothell, State of Washington, on May 15 , 2019.
|
Cocrystal Pharma, Inc.
|
|
|
|
|
By:
|
/s/
Gary Wilcox
|
|
|
Gary Wilcox
|
|
|
Chief Executive Officer
|
In
accordance with 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/
Gary Wilcox
|
|
Chief
Executive Officer and Chairman of the Board (Principal Executive Officer)
|
|
May
15 , 2019
|
Gary Wilcox
|
|
|
|
|
|
|
|
|
|
/s/
James Martin
|
|
Chief
Financial Officer (Principal Financial Officer and Principal Accounting Officer)
|
|
May
15 , 2019
|
James Martin
|
|
|
|
|
|
|
|
|
|
|
|
Director
|
|
|
Todd Brady
|
|
|
|
|
|
|
|
|
|
/s/
Phillip Frost
|
|
Director
|
|
May
15 , 2019
|
Phillip Frost
|
|
|
|
|
|
|
|
|
|
/s/
Jane Hsiao
|
|
Director
|
|
May
15 , 2019
|
Jane Hsiao
|
|
|
|
|
|
|
|
|
|
/s/
Anthony Japour
|
|
Director
|
|
May
15 , 2019
|
Anthony Japour
|
|
|
|
|
|
|
|
|
|
/s/
Steven Rubin
|
|
Director
|
|
May
15 , 2019
|
Steven Rubin
|
|
|
|
|
Cocrystal Pharma (NASDAQ:COCP)
Historical Stock Chart
From Aug 2024 to Sep 2024
Cocrystal Pharma (NASDAQ:COCP)
Historical Stock Chart
From Sep 2023 to Sep 2024