Post-effective Amendment Filed Solely to Add Exhibits to a Registration Statement (pos Ex)
July 16 2019 - 5:04PM
Edgar (US Regulatory)
As
filed with the Securities and Exchange Commission on July 16, 2019
Registration
No. 333-232195
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
Post-Effective
Amendment No. 1
to
FORM
S-1
REGISTRATION
STATEMENT
UNDER
THE
SECURITIES ACT OF 1933
TONIX
PHARMACEUTICALS HOLDING CORP.
(Exact
name of registrant as specified in its charter)
Nevada
|
2834
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26-1434750
|
|
|
|
(State
or other jurisdiction of
incorporation
or organization)
|
(Primary
Standard Industrial
Classification
Code Number)
|
(I.R.S.
Employer
Identification
Number)
|
509
Madison Avenue, Suite 1608
New
York, New York 10022
(212)
980-9155
(Address,
including zip code, and telephone number, including area code, of registrant’s principal executive offices)
Seth
Lederman
Chief
Executive Officer
Tonix
Pharmaceuticals Holding Corp.
509
Madison Avenue, Suite 1608
New
York, New York 10022
(212)
980-9155
(Name,
address, including zip code, and telephone number, including area code, of agent for service)
Copies
to:
Michael
J. Lerner, Esq.
Steven
M. Skolnick, Esq.
Lowenstein
Sandler LLP
1251
Avenue of the Americas
New
York, New York 10020
(973)
597-6394
|
Barry
I. Grossman, Esq.
Sarah
E. Williams, Esq.
Ellenoff
Grossman & Schole LLP
1345
Avenue of the Americas
New
York, New York 10105
(212)
370-1300
|
Approximate
date of commencement of proposed sale to public: As soon as practicable after this Registration Statement is declared 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 of 1933, 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, 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, a 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
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Large accelerated filer
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☐
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Accelerated filer
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☐
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Non-accelerated filer
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☒
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Smaller reporting company
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☒
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Emerging Growth Company
|
☐
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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 13 (a) of the Exchange Act. ☐
EXPLANATORY
NOTE
This
Post-Effective Amendment No. 1 to the Registration Statement on Form S-1 of Tonix Pharmaceuticals Holding Corp. (the
“Company”), as originally declared effective by the Securities and Exchange Commission (the “SEC”) on
July 15, 2019, is being filed for the sole purpose of filing Exhibit 5.1 as part of the Registration Statement. This
Post-Effective Amendment No. 1 does not modify any provision of Part I or Part II of the Registration Statement other than
supplementing Item 16 of Part II as set forth below. This
Registration Statement shall become effective upon filing
with the SEC in accordance with Rule 462(d) under the Securities Act of 1933, as amended.
PART
II
INFORMATION
NOT REQUIRED IN PROSPECTUS
Item
16. Exhibits and Financial Statement Schedules.
(a)
Exhibits
Exhibit
No.
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Description
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5.01
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Opinion of Brownstein
Hyatt Farber Schreck, LLP.
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23.02
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Consent of Brownstein
Hyatt Farber Schreck, LLP (included in Exhibit 5.01).
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Signatures
Pursuant
to the requirements of the Securities Act of 1933, as amended, the Registrant has duly caused this Registration Statement on Form
S-1 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on July
16, 2019.
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TONIX PHARMACEUTICALS HOLDING
CORP.
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By:
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/s/ Seth
Lederman
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Seth Lederman
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President and Chief Executive Officer
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Pursuant
to the requirements of the Securities Act of 1933, as amended, this Registration Statement on Form S-1 has been signed by the
following persons in the capacities and on the dates indicated.
Person
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Capacity
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Date
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/s/
Seth Lederman
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Chief Executive Officer
and Director
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Seth Lederman
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(Principal Executive
Officer)
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July 16, 2019
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/s/
Bradley Saenger
|
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Chief
Financial Officer
|
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Bradley Saenger
|
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(Principal Financial
and Accounting Officer)
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July 16, 2019
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*
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Margaret Smith Bell
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Director
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July 16, 2019
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*
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Daniel Goodman
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Director
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July 16, 2019
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*
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Patrick Grace
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Director
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July 16, 2019
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*
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David Grange
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Director
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July 16, 2019
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*
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Adeoye Olukotun
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Director
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July 16, 2019
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*
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John Rhodes
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Director
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July 16, 2019
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*
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James Treco
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Director
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July 16, 2019
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*
Pursuant to the Power of Attorney contained on the signature page to the Registration Statement, as initially filed on June 19,
2019.
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