−Removed: On May 15, 2020, the Company entered into an Open Market
−Removed: Sale Agreement SM (the “Agreement”) with Jefferies LLC, as sales agent (“Jefferies”), pursuant
−Removed: to which the Company may offer and sell, from time to time, through Jefferies, shares of the Company’s common stock, par
−Removed: value $0.001 per share, having an aggregate offering price of up to $75,000,000 (the “Shares”).
−Removed: The Company is not obligated to sell any Shares under the
−Removed: Subject to the terms and conditions of the Agreement, Jefferies will use commercially reasonable efforts, consistent
−Removed: with its normal trading and sales practices and applicable laws and regulations to sell Shares from time to time based upon the
−Removed: Company’s instructions, including any price, time or size limits specified by the Company, subject to certain limitations.
−Removed: Under the Agreement, Jefferies may sell the Shares by any method permitted by law deemed to be an “at the market offering”
−Removed: as defined in Rule 415(a)(4) under the Securities Act of 1933, as amended, including block transactions, sales made directly on
−Removed: the Nasdaq Capital Market or sales made into any other existing trading market of the Company’s common stock.
−Removed: Shares sold under the Agreement will be issued pursuant to the
−Removed: shelf registration statement on Form S-3 (File No.
−Removed: 333-234262) (the “Registration Statement”), filed by the
−Removed: Company with the U.S.
−Removed: Securities and Exchange Commission (the “SEC”) on October 18, 2019, which was declared
−Removed: effective on October 31, 2019.
−Removed: The Company will file a prospectus supplement with the SEC on May 15, 2020 in connection with
−Removed: the offer and sale of the Shares pursuant to the Agreement.
−Removed: The Company will pay Jefferies a
−Removed: commission of up to 3.0% of the gross proceeds from each sale of Shares, reimburse legal fees and disbursements and provide
−Removed: Jefferies with customary indemnification and contribution rights.
−Removed: The Agreement will terminate as set forth in the
−Removed: The foregoing description of the Agreement does not purport
−Removed: to be complete and is qualified in its entirety by reference to the full text of the Agreement, a copy of which is filed as Exhibit
−Removed: 10.7 to this Quarterly Report on Form 10-Q and incorporated herein by reference.
−Removed: Sichenzia Ross, counsel to the Company, has issued a legal
−Removed: opinion relating to the validity of the Shares being offered pursuant to the Agreement.
−Removed: A copy of such legal opinion, including
−Removed: the consent included therein, is filed as Exhibit 5.1 to this Quarterly Report on Form 10-Q and is incorporated herein by reference.
−Removed: This Quarterly Report on Form 10-Q shall not constitute
−Removed: an offer to sell or the solicitation of an offer to buy any Shares under the Agreement nor shall there be any sale of such Shares
−Removed: in any state in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities
−Removed: laws of any such state.
of the following documents are included as exhibits to this report pursuant to Item 601 of Regulation S-K
−Removed: Opinion of Sichenzia Ross Ference LLP
−Removed: Filed herewith
−Removed: Employment Agreement, dated January 9, 2020, by and between Maged Shenouda and Relmada Therapeutics, Inc.
−Removed: Incorporated by
−Removed: reference to Exhibit 10.1 to Form 8-K filed January 10, 2020.
−Removed: Employment Agreement, dated January 9, 2020, by and between Charles Ence and Relmada Therapeutics, Inc.
−Removed: Incorporated by
−Removed: reference to Exhibit 10.2 to Form 8-K filed January 10, 2020.
−Removed: Amended and Restated Employment Agreement, dated January 9, 2020, by and between Sergio Traversa and Relmada Therapeutics, Inc.
−Removed: Incorporated by
−Removed: reference to Exhibit 10.3 to Form 8-K filed January 10, 2020.
−Removed: Amendment No.
−Removed: 5 to the Relmada Therapeutics, Inc.
−Removed: 2014 Stock Option and Equity Incentive Plan, as amended.
−Removed: Incorporated by
−Removed: reference to Exhibit 10.1 to Form 8-K filed March 9, 2020
−Removed: Employment Agreement, dated March 7, 2020, by and between Thomas Wessel and Relmada Therapeutics, Inc.
−Removed: Incorporated by
−Removed: reference to Exhibit 10.1 to Form 8-K filed March 12, 2020.
−Removed: Severance and Separation Agreement, dated April 1, 2020, by and between Ottavio Vitolo and Relmada Therapeutics, Inc.
−Removed: Filed herewith
−Removed: Open Market Sale Agreement SM dated
−Removed: as of May 15, 2020 by and between Relmada Therapuetics, Inc.
−Removed: and Jefferies LLC.
−Removed: Filed herewith
−Removed: Consent of Sichenzia R oss Ference
−Removed: LLP (contained in Exhibit 5.1).
−Removed: Filed herewith
Certification of the Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
−Removed: Filed herewith
Certification of the Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
−Removed: Filed herewith
Certification of the Chief Executive Officer pursuant to U.S.C.
Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002*
−Removed: Filed herewith
Certification of the Principal Financial Officer pursuant to U.S.C.
Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002*
−Removed: Filed herewith
Instance Document
−Removed: Filed herewith
Taxonomy Extension Schema Document
−Removed: Filed herewith
Taxonomy Calculation Linkbase Document
−Removed: Filed herewith
Taxonomy Extension Definition Linkbase Document
−Removed: Filed herewith
Taxonomy Label Linkbase Document
−Removed: Filed herewith
Taxonomy Presentation Linkbase Document
−Removed: Filed herewith
Exhibit attached to this Form 10-Q shall not be deemed “filed”
5 unchanged sentences
by the undersigned thereunto duly authorized.
+Added: August 12, 2020
Sergio Traversa
7 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.