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Share Name | Share Symbol | Market | Type |
---|---|---|---|
AzurRx BioPharma Inc | NASDAQ:AZRX | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 3.45 | 3.41 | 3.51 | 0 | 01:00:00 |
Delaware
|
2834
|
46-4993860
|
(State
or other jurisdiction of
incorporation
or organization)
|
(Primary
standard industrial
classification
code number)
|
(I.R.S.
employer
identification
number)
|
|
Johan M. (Thijs) Spoor
President and Chief Executive Officer
AzurRx BioPharma, Inc.
760 Parkside Avenue
Downstate Biotechnology Incubator, Suite 304
Brooklyn, New York 11226
(646) 699-7855
|
|
|
|
|
|
Daniel W. Rumsey, Esq.
Jessica R. Sudweeks, Esq.
Disclosure Law Group,
a Professional Corporation
600 West Broadway, Suite 700
San Diego, California 92101
Tel: (619) 272-7050
Fax: (619) 330-2101
|
|
Large
accelerated filer [ ]
|
Accelerated
filer [ ]
|
Non-accelerated
filer [ ]
|
Smaller
reporting company [ ]
|
|
Emerging
growth company [X]
|
Title of Each Class of
Securities to be Registered
|
|
Amount to
be Registered
(1)
|
|
|
Proposed Maximum Aggregate
Offering Price
|
|
Amount of
Registration Fee
|
|
||
|
|
|
|
|
|
|
|
|
|
|
Common stock, par value $0.0001 per share
|
|
5,905,535
|
(2) |
|
$
|
19,192,988.75
|
(3)
|
$
|
2,224.47
|
(4)
|
The
information in this prospectus is not complete and may be changed.
We may not sell these securities until the registration statement
filed with the Securities and Exchange Commission is 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.
|
PRELIMINARY PROSPECTUS
|
SUBJECT TO COMPLETION
|
DATED AUGUST 9
, 2017
|
|
|
|
|
|
|
|
Page
|
|
|
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|
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|
|
|
1
|
|
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4
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|
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|
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5
|
|
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|
|
6
|
|
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8
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9
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11
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13
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|
|
|
|
13
|
|
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|
|
13
|
|
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|
|
14
|
|
|
Common
stock offered by the selling stockholders
|
Up to
5,905,535 shares
|
Common
stock outstanding
|
11,232,446
shares
(1)
|
Use
of proceeds
|
The
selling stockholders will receive all of the proceeds from the sale
of the shares offered for sale under this prospectus. We will not
receive proceeds from the sale of the shares by the selling
stockholders. However, we may receive up to approximately $21.75
million in proceeds from the exercise of common stock purchase
warrants described below. Proceeds that we receive under these
warrants will be used to advance our research and development
activities and for working capital and general corporate
purposes.
|
NASDAQ
Capital Market Symbol
|
AZRX
|
Risk
Factors
|
Investing in our
securities involves a high degree of risk. You should carefully
review and consider the “
Risk Factors
” section of this
prospectus beginning on page 4 for a discussion of factors to
consider before deciding to invest in shares of our common
stock.
|
|
Shares
|
Maximum Number of Shares Being
Offered
Pursuant to this Prospectus
|
Shares
|
|||||
|
Beneficially
Owned
|
|
Warrants
|
Warrants
Exercisable
|
Debenture
|
Beneficially
Owned After
|
||
Name of
Selling
|
Prior to
|
Common
|
Currently
|
on a
Later
|
Conversion
|
Offering (1)
|
||
Securityholder
|
Offering
|
Stock
|
Exercisable
|
Date
|
Shares
|
Number
|
|
Percent
*
|
2010
Jennings Family Revocable Trust
|
23,315
|
-
|
23,315
|
-
|
-
|
-
|
|
**
|
ADEC
Private Equity Investments, LLC
|
1,676,009
|
-
|
699,461
|
-
|
-
|
976,548
|
(2
)
|
8.2
%
|
Alexander
Capital, LP
|
133,710
|
-
|
50,000
|
83,710
|
-
|
-
|
(3
)
|
**
|
Amory
Ross
|
157,143
|
78,571
|
19,643
|
58,929
|
-
|
-
|
|
**
|
Andrea
Ross
|
57,146
|
28,573
|
7,143
|
21,430
|
-
|
-
|
|
**
|
Andrew
Sanford
|
16,000
|
8,000
|
2,000
|
6,000
|
-
|
-
|
|
**
|
Brian
Herman
|
10,600
|
-
|
10,600
|
-
|
-
|
-
|
(4
)
|
**
|
Brian
Thebault
|
171,429
|
85,714
|
21,429
|
64,286
|
-
|
-
|
|
**
|
Bruce
Conway
|
406,559
|
185,000
|
82,809
|
138,750
|
-
|
-
|
|
**
|
Bryan
McShaine
|
46,631
|
-
|
46,631
|
-
|
-
|
-
|
|
**
|
BTR
Partners
|
285,714
|
142,857
|
35,714
|
107,143
|
-
|
-
|
(5
)
|
**
|
Catherine
and Raymond Marzulli
|
10,944
|
-
|
10,944
|
-
|
-
|
-
|
|
**
|
CEDA
Investments, LLC
|
57,144
|
28,572
|
7,143
|
21,429
|
-
|
-
|
(2
)
|
**
|
Charlotte
Ross
|
57,144
|
28,572
|
7,143
|
21,429
|
-
|
-
|
|
**
|
Christopher
Laffey
|
11,138
|
5,569
|
1,392
|
4,177
|
-
|
-
|
(6
)
|
**
|
Cross
River Partners LP
|
142,857
|
71,429
|
17,857
|
53,571
|
-
|
-
|
(7
)
|
**
|
Dana
Ross
|
57,144
|
28,572
|
7,143
|
21,429
|
-
|
-
|
|
**
|
Daniel
and Agatha Tis
|
19,869
|
-
|
19,869
|
-
|
-
|
-
|
|
**
|
Daniel
and Beth Erlanger
|
32,832
|
-
|
32,832
|
-
|
-
|
-
|
|
**
|
Daniel
Erlanger
|
37,114
|
-
|
37,114
|
-
|
-
|
-
|
|
**
|
David
Graham
|
28,571
|
14,286
|
3,571
|
10,714
|
-
|
-
|
|
**
|
David
Ide
|
46,631
|
-
|
46,631
|
-
|
-
|
-
|
|
**
|
David
Miedzygorski
|
2,332
|
-
|
2,332
|
-
|
-
|
-
|
|
**
|
Davis
Family Trust
|
533,689
|
-
|
138,560
|
-
|
-
|
395,129
|
(8
)
|
3.5
%
|
Deborah
L. Millar Revocable Trust
|
29,145
|
-
|
29,145
|
-
|
-
|
-
|
(9
)
|
**
|
Doug
Aguililla
|
4,000
|
-
|
4,000
|
-
|
-
|
-
|
(10
)
|
**
|
EBR
Ventures, LLC
|
700,000
|
100,000
|
25,000
|
75,000
|
-
|
500,000
|
(2
)
|
4.4
%
|
Edward
Borkowski
|
236,536
|
-
|
34,973
|
-
|
-
|
201,563
|
(11
)
|
1.8
%
|
Edward
Borkowski and Nancy McCormick
|
86,536
|
-
|
34,973
|
-
|
-
|
51,563
|
(11
)
|
**
|
Edwin
W. Laffey
|
6,000
|
3,000
|
750
|
2,250
|
-
|
-
|
|
**
|
Eugene
Markowitz
|
14,902
|
-
|
14,902
|
-
|
-
|
-
|
|
**
|
Fred
Tedori
|
27,907
|
-
|
27,907
|
-
|
-
|
-
|
|
**
|
Gene
Humphreys
|
8,654
|
-
|
3,498
|
-
|
-
|
5,156
|
|
**
|
Glenn
Harnish and Jean Harnish JTWROS
|
14,000
|
7,000
|
1,750
|
5,250
|
-
|
-
|
|
**
|
Gene
and Catherine Salkind
|
233,169
|
-
|
94,378
|
-
|
-
|
138,791
|
|
1.2
%
|
Greg
and Madeline Sheldon
|
16,416
|
-
|
16,416
|
-
|
-
|
-
|
|
**
|
Greg
Sheldon
|
18,557
|
-
|
18,557
|
-
|
-
|
-
|
|
**
|
Hammermeister
Revocable Familty Trust
|
86,536
|
-
|
34,973
|
-
|
-
|
51,563
|
(12
)
|
**
|
Hans
Tommy Wilhelmsen
|
4,664
|
-
|
4,664
|
-
|
-
|
-
|
|
**
|
Harbor
Watch Partners, LP
|
185,714
|
92,857
|
23,214
|
69,643
|
-
|
-
|
(13
)
|
**
|
Ike
McEntire
|
11,657
|
-
|
11,657
|
-
|
-
|
-
|
|
**
|
JABCO
LP
|
135,878
|
57,143
|
35,878
|
42,857
|
-
|
-
|
(14
)
|
**
|
Joseph
Arvay
|
28,571
|
14,286
|
3,571
|
10,714
|
-
|
-
|
|
**
|
Joseph
Kerrissey
|
14,286
|
7,143
|
1,786
|
5,357
|
-
|
-
|
|
**
|
Joseph
M. Ahearn
|
57,315
|
-
|
23,315
|
-
|
-
|
34,000
|
|
**
|
Joseph
M. and Pamela Longo
|
57,143
|
28,571
|
7,143
|
21,429
|
-
|
-
|
|
**
|
Kathryn
M. Parsons Revocable Trust
|
67,078
|
28,571
|
17,078
|
21,429
|
-
|
-
|
(15
)
|
**
|
KC
Scott Family Limited Partnership
|
50,000
|
25,000
|
6,250
|
18,750
|
-
|
-
|
(16
)
|
**
|
Lee
Becker
|
37,143
|
18,571
|
4,643
|
13,929
|
-
|
-
|
|
**
|
Lincoln
Park Capital Fund, LLC
|
617,769
|
-
|
164,256
|
164,256
|
289,257
|
-
|
(17
)
|
**
|
Lucy
Shurtleff
|
34,514
|
11,429
|
14,514
|
8,571
|
-
|
-
|
|
**
|
Mario
Wagner Okuno
|
6,994
|
-
|
6,994
|
-
|
-
|
-
|
|
**
|
Mark
and Phyllis Waxman
|
19,869
|
-
|
19,869
|
-
|
-
|
-
|
|
**
|
Michael
Slobodow
|
5,829
|
-
|
5,829
|
-
|
-
|
-
|
|
**
|
Molly
Hsu
|
79,477
|
-
|
79,477
|
-
|
-
|
-
|
|
**
|
Netgain
Financial, Inc.
|
60,000
|
10,000
|
50,000
|
-
|
-
|
-
|
(18
)
|
**
|
Network
1 Financial Services, Inc.
|
10,131
|
-
|
10,131
|
-
|
-
|
-
|
(19
)
|
**
|
Olivia
Lutz Trust 2014
|
114,286
|
57,143
|
14,286
|
42,857
|
-
|
-
|
(20
)
|
**
|
Peter
Cella
|
11,657
|
-
|
11,657
|
-
|
-
|
-
|
|
**
|
PRK
Partners, LP
|
200,000
|
100,000
|
25,000
|
75,000
|
-
|
-
|
(21
)
|
**
|
Renee
Markowitz
|
24,836
|
-
|
24,836
|
-
|
-
|
-
|
|
**
|
Russell
W. Rice
|
5,829
|
-
|
5,829
|
-
|
-
|
-
|
|
**
|
S.
Clarke Moody
|
154,024
|
57,143
|
54,024
|
42,857
|
-
|
-
|
|
**
|
Shane
Cobb
|
47,611
|
-
|
6,136
|
-
|
-
|
41,475
|
|
**
|
Sierra AF
2013 Trust
|
72,237
|
-
|
32,237
|
-
|
-
|
40,000
|
(22)
|
**
|
Steven
Montal
|
216,371
|
-
|
32,659
|
-
|
-
|
183,712
|
|
1.6
%
|
The
Burke E Ross Jr. GST Investment Trust 2014
|
430,000
|
215,000
|
53,750
|
161,250
|
-
|
-
|
(2
)
|
**
|
Trident
Partners, LTD.
|
804
|
-
|
804
|
-
|
-
|
-
|
(23
)
|
**
|
ViewTrade
Securities, Inc.
|
3,650
|
-
|
3,650
|
-
|
-
|
-
|
(24
)
|
**
|
WallachBeth
Capital, LLC
|
18,815
|
-
|
18,815
|
-
|
-
|
-
|
(25
)
|
**
|
William
Curtis
|
28,571
|
14,286
|
3,571
|
10,714
|
-
|
-
|
|
**
|
William
S. Goodman
|
58,289
|
-
|
58,289
|
-
|
-
|
-
|
|
**
|
World
Wide Holdings, LLC
|
150,000
|
-
|
150,000
|
-
|
-
|
-
|
(26
)
|
**
|
|
|
1,552,858
|
2,658,310
|
1,405,110
|
289,257
|
|
|
|
*
|
Assumes
that the selling stockholders will sell all of the shares of common
stock saleable pursuant to this prospectus, including the shares of
common stock that may be issued upon the exercise of all warrants
identified herein. Also assumes for each selling stockholder, to
the extent applicable, that (a) all were exercised despite the fact
that the Series A-1 Warrants do not become exercisable until
December 2, 2017, (b) only such selling stockholder’s
warrants were exercised and (c) as a consequence, the number of
issued and outstanding shares has increased by the number of such
selling stockholder’s warrant shares. The
registration of these shares does not necessarily mean that the
selling stockholders will sell all or any portion of the shares
covered by this prospectus.
|
**
|
Less
than 1%.
|
(1)
|
Information concerning other Selling Stockholders will be set forth
in one or more amendments to the registration statement, of which
this prospectus forms a part, and/or prospectus supplements from
time to time, as required.
|
(2)
|
As manager of each of CEDA Investments, LLC, The Burke E. Ross Jr.
GST Investment Trust 2014, EBR Ventures, LLC, and ADEC Private
Equity Investments, Edmond Burke Ross, Jr. holds sole voting and
dispositive power over the shares held by each entity. 28,572
shares of common stock and warrants to purchase 28,572 shares
ofcommon stock are held by CEDA Investments, LLC, 215,000 shares of
common stock and warrants to purchase 215,000 shares of common
stock are held by The Burke E Ross Jr. GST Investment Trust 2014,
100,000 shares of common stock and warrants to purchase 100,000
shares of common stock are held by EBR Ventures, LLC, and warrants
to purchase 699,461 shares of common stock are held by ADEC Private
Equity Investments.
|
(3)
|
As Managing Director of Alexander Capital, LP
(“
Alexander
Capital
”), Jonathan
Gazdak holds voting and dispositive power over the shares held by
such entity. Alexander Capital is a broker-dealer and
has advised
the Company that the securities were received solely as an
investment and not with a view to or for resale or
distribution.
|
(4)
|
Mr. Herman has advised the Company that he is affiliated with
ViewTrade Securities (defined below), a broker-dealer, and that the
securities were received solely as an investment and not with a
view to or for resale or distribution.
|
(5)
|
As General Partner of BTR Partners, Benson T. Ross
holds sole voting and dispositive power over the shares held by
such entity.
|
(6)
|
Mr. Laffey has advised the Company that he is affiliated with
Alexander Capital, a broker-dealer, and that the securities were
received solely as an investment and not with a view to or for
resale or distribution.
|
(7)
|
The reported securities are directly owned by Cross River Partners
LP (the "
Partnership
"), a limited partnership whose general partner is
Cross River Capital Management LLC (the "
General
Partner
"), and may be deemed
indirectly beneficially owned by the General Partner and by Cross
River Management LLC, as the investment manager of the Partnership
(the "
Investment
Manager
"). The reported
securities may also be deemed indirectly beneficially owned by
Richard Murphy, as Managing Member of both the General Partner and
the Investment Manager.
|
(8)
|
As Trustee of Davis Family Trust, Gary B. Davis holds sole voting
and dispositive power over the shares held by such
entity.
|
(9)
|
As Trustee of Deborah L. Millar Revocable Trust, Deborah L. Millar
holds sole voting and dispositive power over the shares held by
such entity.
|
(10)
|
Mr. Aguililla has advised the Company that he is affiliated with
ViewTrade Securities (defined below), a broker-dealer, and that the
securities were received solely as an investment and not with a
view to or for resale or distribution.
|
(11)
|
Edward
Borkowski is a member of the Company’s Board of Directors and
currently serves as Chairman of the Board.
|
(12)
|
As
Trustee of Hammermeister Revocable Family Trust, James
Hammermeister holds sole voting and dispositive power over the
shares held by such entity.
|
(13)
|
As
General Partner of Harbor Watch Partners, LP, Amory Ross holds sole
voting and dispositive power over the shares held by such
entity.
|
(14)
|
As
General Partner of JABCO LP, J. Geddes Parsons holds sole voting
and dispositive power over the shares held by such
entity.
|
(15)
|
As
Trustee of Kathryn M. Parsons Rev. Trust, Kathryn M. Parsons holds
sole voting and dispositive power over the shares held by such
entity.
|
(16)
|
As
Partner of the KC Scott Family Limited Partnership, Shane A. Scott
holds sole voting and dispositive power over the shares held by
such entity.
|
(17)
|
Josh
Scheinfeld and Jonathan Cope, the principals of Lincoln Park, may
be deemed to be beneficial owners of all of the shares of common
stock owned by Lincoln Park subject to a 4.99% ownership blocker
contained within certain securities held by Lincoln Park. Messrs.
Scheinfeld and Cope have shared voting and dispositive power over
the shares being offered.
|
(18)
|
As Chief Executive Officer
of Netgain Financial, Inc., Brian O. Quinn holds
sole voting and dispositive power over the shares held by such
entity.
|
(19)
|
As Chief Executive Officer of Network 1 Financial
Securities, Inc. ("
Network 1
"), Richard Hunt holds voting and dispositive
power over the shares held by such entity. Network 1 is a
broker-dealer and
has advised the Company
that the securities were received solely as an investment and not
with a view to or for resale or
distribution.
|
(20)
|
As
full Trustee of the Olivia Lutz Trust 2014, Peter C. Lacaillade
holds sole voting and dispositive power over the shares held by
such entity. The principal business address of the Olivia Lutz
Insurance Trust 2014 is c/o ADEC Private Equity Investments LLC,
172 S. Ocean Blvd., Palm Beach, FL 33480.
|
(21)
|
As
a principal of PRK Partners, LP, Parthenia Ross Kiersted holds sole
voting and dispositive power over the shares held by such
entity
|
(23)
|
As President of Trident Partners, LTD
(“
Trident
Partners
”), Brian Schante
holds voting and dispositive power over the shares held by such
entity. Trident Partners is a broker-dealer and
has advised the Company
that the securities were received solely as an investment and not
with a view to or for resale or
distribution.
|
(24)
|
As President of ViewTrade Securities, Inc.
(“
ViewTrade
Securities
”), James St.
Clair holds voting and dispositive power over the shares held by
such entity. ViewTrade Securities is a broker-dealer and
has advised
the Company that the securities were received solely as an
investment and not with a view to or for resale or
distribution.
|
(25)
|
Michael Wallach, Chief Executive Officer, and
David Beth, President and Chief Operating Officer, of WallachBeth
Capital, LLC (“
WallachBeth
”), each hold voting and dispositive power
over the shares held by such entity. WallachBeth is a broker-dealer
and
has advised the Company
that the securities were received solely as an investment and not
with a view to or for resale or
distribution.
|
(26)
|
As World Wide Holdings, LLC is the parent Company
for Invictus Resources, and as Managing Partner
of Invictus Resources, Jeffrey Auerbach holds sole
voting and dispositive power over the shares held by such
entity.
|
SEC registration
fee
|
$
2,224
|
Accounting fees and
expenses
|
$
15,000
|
Legal fees and
expenses
|
$
30,000
|
Miscellaneous
|
$
5,000
|
Total
|
$
52,224
|
1.1
|
|
Form of
Underwriting Agreement (Incorporated by reference from Exhibit 1.1
to Amendment No. 6 to the Registrant’s registration statement
on Form S-1, filed with the Securities and Exchange Commission on
October 5, 2016)
|
|
|
|
3.1
|
|
Amended
and Restated Certificate of Incorporation of the Registrant
(Incorporated by reference from Exhibit 3.1 to the
Registrant’s registration statement on Form S-1, filed with
the Securities and Exchange Commission on July 13,
2016)
|
|
|
|
3.2
|
|
Amended
and Restated Bylaws of the Registrant (Incorporated by reference
from Exhibit 3.2 to the Registrant’s registration statement
on Form S-1, filed with the Securities and Exchange Commission on
July 13, 2016)
|
|
|
|
4.1
|
|
Form of
Common Stock Certificate (Incorporated by reference from Exhibit
4.1 to Amendment No. 1 to the Registrant’s registration
statement on Form S-1, filed with the Securities and Exchange
Commission on July 29, 2016)
|
|
|
|
4.2
|
|
Form of
Investor Warrant (Incorporated by reference from Exhibit 4.2 to the
Registrant’s registration statement on Form S-1, filed with
the Securities and Exchange Commission on July 13,
2016)
|
|
|
|
4.3
|
|
Form of
Underwriter Warrant (Incorporated by reference from Exhibit 4.3 to
Amendment No. 2 to the Registrant’s registration statement on
Form S-1, filed with the Securities and Exchange Commission on
August 5, 2016)
|
|
|
|
5.1
|
|
Opinion
of Disclosure Law Group, a Professional Corporation, regarding
legality
|
|
|
|
10.1
|
|
Stock
Purchase Agreement dated May 21, 2014 between the Registrant,
Protea Biosciences Group, Inc. and its wholly-owned subsidiary,
Protea Biosciences, Inc. (Incorporated by reference from Exhibit
10.1 to the Registrant’s registration statement on Form S-1,
filed with the Securities and Exchange Commission on July 13,
2016)
|
|
|
|
10.2
|
|
Amended
and Restated Joint Research and Development Agreement dated January
1, 2014 between the Registrant and Mayoly (Incorporated by
reference from Exhibit 10.2 to the Registrant’s registration
statement on Form S-1, filed with the Securities and Exchange
Commission on July 13, 2016)
|
|
|
|
10.3
|
|
Amended
and Restated AzurRx BioPharma, Inc. 2014 Omnibus Equity Incentive
Plan (Incorporated by reference from Exhibit 10.3 to the
Registrant’s registration statement on Form S-1, filed with
the Securities and Exchange Commission on July 13,
2016)
|
|
|
|
10.4
|
|
Employment Agreement
between the Registrant and Mr. Spoor (Incorporated by reference
from Exhibit 10.4 to the Registrant’s registration statement
on Form S-1, filed with the Securities and Exchange Commission on
July 13, 2016)
|
|
|
|
10.5
|
|
Securities
Purchase Agreement, dated April 11, 2017 (Incorporated by reference
from Exhibit 10.1 to the Registrant’s current report on Form
8-K, filed with the Securities and Exchange Commission on April 12,
2017)
|
|
|
|
10.6
|
|
12%
Senior Secured Original Issue Discount Convertible Debenture
(Incorporated by reference from Exhibit 10.2 to the
Registrant’s current report on Form 8-K, filed with the
Securities and Exchange Commission on April 12, 2017)
|
|
|
|
10.7
|
|
Warrant,
dated April 11, 2017 (Incorporated by reference from Exhibit 10.3
to the Registrant’s current report on Form 8-K, filed with
the Securities and Exchange Commission on April 12,
2017)
|
|
|
|
10.8
|
|
Registration
Rights Agreement, dated April 11, 2017 (Incorporated by reference
from Exhibit 10.4 to the Registrant’s current report on Form
8-K, filed with the Securities and Exchange Commission on April 12,
2017)
|
|
|
|
10.9
|
|
Form of
Securitas Purchase Agreement, dated June 5, 2017 (Incorporated by
reference from Exhibit 10.1 to the Registrant’s current
report on Form 8-K, filed with the Securities and Exchange
Commission on June 9, 2017)
|
|
|
|
10.10
|
|
Form of
Registration Rights Agreement, dated June 5, 2017 (Incorporated by
reference from Exhibit 10.2 to the Registrant’s current
report on Form 8-K, filed with the Securities and Exchange
Commission on June 9, 2017)
|
|
|
|
10.11
|
|
Form of
Series A Warrant, dated June 5, 2017 (Incorporated by reference
from Exhibit 10.3 to the Registrant’s current report on Form
8-K, filed with the Securities and Exchange Commission on June 9,
2017)
|
|
|
|
10.12
|
|
Form of
Series A-1 Warrant, dated June 5, 2017 (Incorporated by reference
from Exhibit 10.4 to the Registrant’s current report on Form
8-K, filed with the Securities and Exchange Commission on June 9,
2017)
|
|
|
|
14.1
|
|
Code of
Ethics of AzurRx BioPharma, Inc. Applicable To Directors, Officers
And Employees (Incorporated by reference from Exhibit 14.1 to the
Registrant’s registration statement on Form S-1, filed with
the Securities and Exchange Commission on July 13,
2016)
|
|
|
|
21.1
|
|
Subsidiaries
of the Registrant (Incorporated by reference from Exhibit 21.1 to
the Registrant’s registration statement on Form S-1, filed
with the Securities and Exchange Commission on July 13,
2016)
|
|
|
|
23.1
|
|
Consent
of
Mazars USA
LLP, independent
registered public accounting firm
|
|
|
|
23.2
|
|
Consent
of Disclosure Law Group, a Professional Corporation (included in
Exhibit 5.1)
|
|
|
|
24.1
|
|
Power
of Attorney (included on the signature page to
the Registration Statement on Form S-1, filed on July 21,
2017)
|
|
AZURRX BIOPHARMA,
INC.
|
|
By:
/s/ Johan M. (Thijs)
Spoor
Name:
Johan M. (Thijs) Spoor
Title:
President and Chief Executive Officer
|
Signature
|
|
Title
|
|
Date
|
|
|
|
|
|
/s/
*
|
|
President,
Chief Executive Officer and Director
|
|
August
9, 2017
|
Johan
M. (Thijs) Spoor
|
|
(principal
executive officer and principal financial and accounting
officer)
|
|
|
|
|
|
|
|
/s/
*
|
|
Chairman
of the Board of Directors
|
|
August
9, 2017
|
Edward
J. Borkowski
|
|
|
|
|
|
|
|
|
|
/s/
*
|
|
Director
|
|
August
9, 2017
|
Alastair
Riddell
|
|
|
|
|
|
|
|
|
|
/s/
*
|
|
Director
|
|
August
9, 2017
|
Maged
Shenouda
|
|
|
|
|
|
|
|
|
|
/s/
*
|
|
Director
|
|
August
9, 2017
|
Charles
Casamento
|
|
|
|
|
|
||||
|
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