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Share Name | Share Symbol | Market | Type |
---|---|---|---|
PhaseRx Inc (CE) | USOTC:PZRXQ | OTCMarkets | 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% | 0.0002 | 0.00 | 01:00:00 |
|
Delaware
|
| |
2834
|
| |
20-4690620
|
|
|
(State of other jurisdiction of
incorporation or organization) |
| |
(Primary Standard Industrial
Classification Code Number) |
| |
(IRS Employer
Identification Number) |
|
|
Rick A. Werner, Esq.
Haynes and Boone, LLP 30 Rockefeller Plaza, 26th Floor New York, NY 10112 Tel. (212) 659-7300 Fax (212) 884-8234 |
| |
Oded Har-Even, Esq.
Robert V. Condon III, Esq. Zysman, Aharoni, Gayer and Sullivan & Worcester LLP 1633 Broadway New York, NY 10019 Tel: (212) 660-5000 |
|
| Large accelerated filer ☐ | | | Accelerated filer ☐ | |
|
Non-accelerated filer ☐ (Do not check if a smaller reporting company)
|
| |
Smaller reporting company ☒
|
|
| | | |
Emerging growth company ☒
|
|
| PRELIMINARY PROSPECTUS | | |
SUBJECT TO COMPLETION
|
| |
DATED JUNE 21, 2017
|
|
| | |
Per Share of
Common Stock and Warrant |
| |
Per Share of
Preferred Stock and Warrants |
| |
Total
|
| |||||||||
Offering price
|
| | | $ | | | | | $ | | | | | $ | | | |||
Placement agent fees
(1)
|
| | | $ | | | | | $ | | | | | $ | | | |||
Proceeds to us, before expenses
|
| | | $ | | | | | $ | | | | | $ | | |
| | | | | 1 | | | |
| | | | | 8 | | | |
| | | | | 11 | | | |
| | | | | 43 | | | |
| | | | | 44 | | | |
| | | | | 46 | | | |
| | | | | 47 | | | |
| | | | | 48 | | | |
| | | | | 50 | | | |
| | | | | 87 | | | |
| | | | | 93 | | | |
| | | | | 96 | | | |
| | | | | 104 | | | |
| | | | | 106 | | | |
| | | | | 106 | | | |
| | | | | 106 | | | |
| | | | | 106 | | |
E
VENT
|
| |
Completion
|
|
Proof of Concept in Second Disease Model | | | 2Q 2016 – Achieved | |
Declare Lead Development Candidate | | | 2Q 2016 – Achieved | |
Large Animal Tolerability Study | | | 4Q 2016 – Achieved | |
| | |
High
|
| |
Low
|
| ||||||
Year Ended December 31, 2016 | | | | ||||||||||
Second Quarter (from May 18, 2016)
|
| | | $ | 5.77 | | | | | $ | 3.61 | | |
Third Quarter
|
| | | $ | 4.40 | | | | | $ | 2.20 | | |
Fourth Quarter
|
| | | $ | 3.30 | | | | | $ | 0.96 | | |
Year Ending December 31, 2017 | | | | ||||||||||
First Quarter
|
| | | $ | 1.94 | | | | | $ | 1.28 | | |
Second Quarter (through June 20, 2017)
|
| | | $ | 1.95 | | | | | $ | 0.97 | | |
|
Assumed offering price per share of common stock and warrant
|
| | | | | | | | | $ | | | |
|
Historical net tangible book value (deficit) per share at March 31, 2017
|
| | | $ | 0.47 | | | | | | | | |
|
Increase in net tangible book value per share after this offering
|
| | | $ | | | | | | | | | |
|
As adjusted net tangible book value after this offering
|
| | | | | | | | | $ | | | |
|
Dilution in net tangible book value per share to new investors
|
| | | | | | | | | $ | | | |
|
E
VENT
|
| |
Completion
|
|
Proof of Concept in Second Disease Model | | | 2Q 2016 – Achieved | |
Declare Lead Development Candidate | | | 2Q 2016 – Achieved | |
Large Animal Tolerability Study | | | 4Q 2016 – Achieved | |
Case Family
|
| |
Issued Patents
|
| |
Pending
Applications by Jurisdiction |
| |
Owned or In-licensed
|
|
Enhanced Transport | | |
US 6,835,393; US 7,374,778;
US 8,003,129; US 8,846,106; EP 1044021; AU 758368; CA 2317549 |
| | | | | In-licensed | |
Enhanced Transport | | | US 7,737,108; US 8,318,816 | | | | | | In-licensed | |
Temperature and pH-responsive Compositions
|
| | US 7,718,193 | | | | | | In-licensed | |
Diblock Copolymer | | |
US 9,476,063; EP 2281011;
AU 2009246327; AU 2013204733; JP 5911723; KR 10-1661636 CN ZL200980122888.3; CN ZL 201310232498.X; IL 209238; MX 316902; SG 166444; ZA 2010/08729 |
| |
US, CA, JP,
BR, IN |
| |
Co-owned; UW’s
rights in-licensed |
|
Micellic Assemblies | | |
US 9,339,558; EP 2285853;
AU 2009246329; CA 2724014; JP 5755563; MX 315375 |
| | US, KR | | |
Co-owned; UW’s
rights in-licensed |
|
Polymeric Carrier | | | US 9,006,193 | | | | | |
Co-owned; UW’s
rights in-licensed |
|
Heterogeneous Polymeric Micelles
|
| | US 9,211,250 | | | | | |
Co-owned; UW’s
rights in-licensed |
|
Bispecific Intracellular Delivery Vehicles
|
| | US 8,822,213; US 9,220,791 | | | US | | |
Co-owned; UW’s
rights in-licensed |
|
Multiblock Copolymers | | |
US 9,464,300; EP 2364330;
AU 2009313358; CN ZL200980148153.8; JP 5766611; MX 330456; SG 171100; ZA 2011/03289 |
| | IN | | |
Co-owned; UW’s
rights in-licensed |
|
Omega-Functionalized Polymers
|
| | US 9,593,169 | | | US | | |
Co-owned; UW’s
rights in-licensed |
|
Targeting Monomers | | | US 9,415,113 | | | | | |
Co-owned; UW’s
rights in-licensed |
|
Block Copolymers | | | | | |
US, AU, EP,
CA |
| | Owned | |
Polymer-LNP Delivery | | | | | | PCT | | | Owned | |
Name
|
| |
Age
|
| |
Position
|
| |
Served as an Officer
or Director Since |
|
Robert W. Overell, Ph.D. | | |
62
|
| | Director, President and Chief Executive Officer | | | March 2006 | |
Steven Gillis, Ph.D. (1)(2) | | |
64
|
| | Director, Chairman of the Board | | | February 2008 | |
Brian G. Atwood (1) | | |
64
|
| | Director | | | February 2008 | |
John A. Schmidt, Jr., M.D. (2)(3) | | |
66
|
| | Director | | | December 2010 | |
Paul H. Johnson, Ph.D. | | |
73
|
| | Director | | | November 2007 | |
Michelle Griffin (1)(3) | | |
51
|
| | Director | | | February 2016 | |
Peggy V. Phillips (2)(3) | | |
63
|
| | Director | | | August 2016 | |
Michael Houston, Ph.D. | | |
54
|
| | Chief Scientific Officer | | | December 2015 | |
Gordon Brandt, M.D. | | |
57
|
| | Chief Medical Officer | | | August 2016 | |
Shing-Yin (Helen) Tsui | | |
46
|
| | Senior Vice President, Finance, Secretary | | | December 2015 | |
Participant
|
| |
Aggregate Principal
Amount of Notes |
| |
Warrant
Coverage Amount |
| |
Number of
Shares Issued |
| |||||||||
ARCH Venture Fund VII, L.P.
|
| | | $ | 2,225,000.00 | | | | | $ | 333,760.00 | | | | | | 327,023 | | |
Versant Venture Capital III, L.P.
|
| | | $ | 1,118,396.25 | | | | | $ | 167,759.43 | | | | | | 164,413 | | |
Versant Side Fund III, L.P.
|
| | | $ | 6,603.75 | | | | | $ | 990.57 | | | | | | 971 | | |
|
Securities and Exchange Commission Registration Fee
|
| | | $ | 1,738.50 | | |
|
FINRA Filing Fee
|
| | | $ | * | | |
|
NASDAQ listing fee
|
| | | $ | * | | |
|
Accountants’ fees and expenses
|
| | | $ | * | | |
|
Legal fees and expenses
|
| | | $ | * | | |
|
Printing and engraving expenses
|
| | | $ | * | | |
|
Transfer agent and registrar fees
|
| | | $ | * | | |
|
Miscellaneous
|
| | | $ | * | | |
|
Total
|
| | | $ | * | | |
|
| | | | PhaseRx, Inc. | |
| | | |
By:
/s/ Robert W. Overell
Name: Robert W. Overell, Ph.D.
Title: Chief Executive Officer |
|
|
Signature
|
| |
Title
|
| |
Date
|
|
|
/s/ Robert W. Overell
Robert W. Overell, Ph.D.
|
| | Chief Executive Officer, President and Director (principal executive officer and principal financial officer) | | |
June 21, 2017
|
|
|
/s/ Shing-Yin Tsui
Shing-Yin (Helen) Tsui
|
| |
Senior Vice President of Finance and Secretary
(principal accounting officer) |
| |
June 21, 2017
|
|
|
/s/ Steven Gillis
Steven Gillis, Ph.D.
|
| | Director, Chairman of the Board | | |
June 21, 2017
|
|
|
/s/ Peggy V. Phillips
Peggy V. Phillips
|
| | Director | | |
June 21, 2017
|
|
|
/s/ Brian G. Atwood
Brian G. Atwood
|
| | Director | | |
June 21, 2017
|
|
|
/s/ John A. Schmidt, Jr.
John A. Schmidt, Jr., M.D.
|
| | Director | | |
June 21, 2017
|
|
|
/s/ Paul H. Johnson
Paul H. Johnson, Ph.D.
|
| | Director | | |
June 21, 2017
|
|
|
/s/ Michelle Griffin
Michelle Griffin
|
| | Director | | |
June 21, 2017
|
|
|
Exhibit No.
|
| |
Description of Exhibit
|
|
|
3.1
|
| | Fourth amended and Restated Certificate of Incorporation, as presently in effect (incorporated by reference to Exhibit 3.1 to Current Report on Form 8-K filed with the Securities and Exchange Commission on May 23, 2016) | |
|
3.2
|
| | Amended and Restated Bylaws (incorporated by reference to Exhibit 3.2 to Current Report on Form 8-K filed with the Securities and Exchange Commission on May 23, 2016) | |
|
3.3*
|
| | Form of Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock | |
|
4.1
|
| | Form of Common Stock Certificate (incorporated by reference to Exhibit 4.1 to Registration Statement on Form S-1/A filed with the Securities and Exchange Commission on May 2, 2016) | |
|
4.2
|
| | PhaseRx, Inc. Second Amended and Restated Investors’ Rights Agreement, dated November 17, 2014, by and among PhaseRx, Inc. by and among PhaseRx, Inc., Series A Investors listed on Exhibit A thereto, Series A-1 Investor listed on Exhibit A-1 thereto and the Founders listed on Exhibit B thereto (incorporated by reference to Exhibit 4.2 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
4.3*
|
| | Form of Warrant | |
|
4.4*
|
| | Form of Placement Agent’s Warrant | |
|
5.1*
|
| | Opinion of Haynes and Boone, LLP | |
|
10.1†
|
| | Second Amended and Restated Exclusive Patent License Agreement, dated February 9, 2016, by and between PhaseRx, Inc. and the University of Washington (incorporated by reference to Exhibit 10.1 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.2†
|
| | Amended and Restated RAFT Non-Exclusive License Agreement, dated as of on January 22, 2016, by and between Commonwealth Scientific and Industrial Research Organisation and PhaseRx, Inc. (incorporated by reference to Exhibit 10.2 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.3
|
| | Lease Agreement, dated February 9, 2010, between ARE-SEATTLE NO. 10, LLC and PhaseRx, Inc., for 410 Elliott, Seattle, Washington (incorporated by reference to Exhibit 10.3 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.4
|
| | First Amendment to Lease Agreement, dated October 1, 2014, by and between ARE-SEATTLE NO. 10, LLC and PhaseRx, Inc., for 410 Elliott, Seattle, Washington (incorporated by reference to Exhibit 10.4 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.5
|
| | Second Amendment to Lease, dated May 21, 2015, by and between ARE-SEATTLE NO. 10, LLC and PhaseRx, Inc., for 410 Elliott, Seattle, Washington (incorporated by reference to Exhibit 10.5 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.6
|
| | Third Amendment to Lease, dated September 8, 2015, by and between ARE-SEATTLE NO. 10, LLC and PhaseRx, Inc., for 410 Elliott, Seattle, Washington (incorporated by reference to Exhibit 10.6 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
Exhibit No.
|
| |
Description of Exhibit
|
|
|
10.7
|
| | Lease Agreement, dated February 9, 2010, between ARE-SEATTLE NO. 10, LLC and PhaseRx, Inc., for 410 W. Harrison, Seattle, Washington (incorporated by reference to Exhibit 10.7 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.8
|
| | First Amendment to Lease, dated July 1, 2010, by and between ARE-SEATTLE NO. 10, LLC and PhaseRx, Inc., for 410 W. Harrison, Seattle, Washington (incorporated by reference to Exhibit 10.8 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.9
|
| | Second Amendment to Lease, dated April 4, 2011, by and between ARE-SEATTLE NO. 10, LLC and PhaseRx, Inc., for 410 W. Harrison, Seattle, Washington (incorporated by reference to Exhibit 10.9 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.10
|
| | Third Amendment to Lease, dated October 1, 2014, by and between ARE-SEATTLE NO. 10, LLC and PhaseRx, Inc., for 410 W. Harrison, Seattle, Washington (incorporated by reference to Exhibit 10.10 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.11
|
| | Fourth Amendment to Lease, dated May 21, 2015, by and between ARE-SEATTLE NO. 10, LLC and PhaseRx, Inc., for 410 W. Harrison, Seattle, Washington (incorporated by reference to Exhibit 10.11 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.12
|
| | Fifth Amendment to Lease, dated September 8, 2015, by and between ARE-SEATTLE NO. 10, LLC and PhaseRx, Inc., for 410 W. Harrison, Seattle, Washington (incorporated by reference to Exhibit 10.12 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.13∞
|
| | Form of Indemnification Agreement (incorporated by reference to Exhibit 10.13 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.14∞
|
| | PhaseRx, Inc. 2006 Stock Plan, as amended and restated on June 13, 2014 (incorporated by reference to Exhibit 10.14 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.15∞
|
| | First Amendment to the PhaseRx, Inc. 2006 Stock Plan, dated as of February 8, 2016 (incorporated by reference to Exhibit 10.15 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.16∞
|
| | Form of Stock Option Agreement under the PhaseRx, Inc. 2006 Stock Plan (incorporated by reference to Exhibit 10.16 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.17∞
|
| | PhaseRx, Inc. 2016 Long-Term Incentive Plan (incorporated by reference to Exhibit 10.1 to Current Report on Form 8-K filed with the Securities and Exchange Commission on May 23, 2016) | |
|
10.18∞
|
| | Form of Nonqualified Stock Option Agreement under the PhaseRx, Inc. 2016 Long-Term Incentive Plan (incorporated by reference to Exhibit 10.18 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.19∞
|
| | Form of Incentive Stock Option Agreement under the PhaseRx, Inc. 2016 Long-Term Incentive Plan (incorporated by reference to Exhibit 10.19 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
Exhibit No.
|
| |
Description of Exhibit
|
|
|
10.20∞
|
| | Employment Offer Letter Agreement, dated August 17, 2009, between PhaseRx, Inc. and Robert W. Overell, Ph.D. (incorporated by reference to Exhibit 10.20 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.21∞
|
| | Employment Offer Letter Agreement, dated December 17, 2013, between PhaseRx, Inc. and Michael Houston, Ph.D. (incorporated by reference to Exhibit 10.21 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.22∞
|
| | Amendment to Employment Offer Letter Agreement, dated August 15, 2014, between PhaseRx, Inc. and Michael Houston, Ph.D. (incorporated by reference to Exhibit 10.22 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.23∞
|
| | Employment Offer Letter Agreement, dated December 21, 2015, between PhaseRx, Inc. and Helen Tsui (incorporated by reference to Exhibit 10.23 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.24∞
|
| | Consulting Agreement, dated July 2, 2013, between PhaseRx, Inc. and Paul H. Johnson, Ph.D. (incorporated by reference to Exhibit 10.24 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.25∞
|
| | Amendment to Amended and Restated Consulting Agreement, dated January 2, 2014, between PhaseRx, Inc. and Paul H. Johnson, Ph.D. (incorporated by reference to Exhibit 10.25 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.26∞
|
| | Amendment No. 2 to Consulting Agreement, dated February 10, 2016, between PhaseRx, Inc. and Paul H. Johnson, Ph.D. (incorporated by reference to Exhibit 10.26 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.27∞
|
| | Consulting Agreement, dated November 1, 2010, between PhaseRx, Inc. and John A. Schmidt, Jr., M.D. LLC (incorporated by reference to Exhibit 10.27 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.28∞
|
| | Amendment to Amended and Restated Consulting Agreement, dated June 1, 2011, between PhaseRx, Inc. and John A. Schmidt, Jr., M.D. LLC (incorporated by reference to Exhibit 10.28 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.29∞
|
| | Amendment No. 2 to Amended and Restated Consulting Agreement, dated April 1, 2012, between PhaseRx, Inc. and John A. Schmidt, Jr., M.D. LLC (incorporated by reference to Exhibit 10.29 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.30∞
|
| | Amendment No. 3 to Consulting Agreement, dated February 10, 2016, between PhaseRx, Inc. and John A. Schmidt, Jr., M.D. LLC (incorporated by reference to Exhibit 10.30 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.31∞
|
| | Amendment to Amended and Restated Offer Letter Agreement, dated as of March 13, 2016, between PhaseRx, Inc. and Robert W. Overell, Ph.D. (incorporated by reference to Exhibit 10.33 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.32
|
| | Fourth Amendment to Lease, dated February 23, 2016, by and between ARE-SEATTLE NO. 10, LLC and PhaseRx, Inc., for 410 Elliott, Seattle, Washington (incorporated by reference to Exhibit 10.34 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
Exhibit No.
|
| |
Description of Exhibit
|
|
|
10.33
|
| | Sixth Amendment to Lease, dated February 23, 2016, by and between ARE-SEATTLE NO. 10, LLC and PhaseRx, Inc., for 410 W. Harrison, Seattle, Washington (incorporated by reference to Exhibit 10.35 to Registration Statement on Form S-1 filed with the Securities and Exchange Commission on April 18, 2016) | |
|
10.34
|
| | Loan and Security Agreement, dated June 7, 2016, by and among PhaseRx, Inc. and each of its qualified subsidiaries, the several banks and other financial institutions or entities from time to time parties thereto, and Hercules Capital, Inc. in its capacity as administrative agent for itself and the lenders (incorporated by reference to Exhibit 10.1 to Current Report on Form 8-K filed with the Securities and Exchange Commission on June 9, 2016) | |
|
10.35
|
| | Warrant Agreement, dated June 7, 2016 (incorporated by reference to Exhibit 10.2 to Current Report on Form 8-K filed with the Securities and Exchange Commission on June 9, 2016) | |
|
10.36∞
|
| | Form of Amendment to Incentive Stock Option Agreement under the PhaseRx, Inc. 2016 Long-Term Incentive Plan, for grants made prior to June 30, 2016 (incorporated by reference to Exhibit 10.4 to Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 2, 2016) | |
|
10.37∞
|
| | Form of Amendment to Director Nonqualified Stock Option Agreement under the PhaseRx, Inc. 2016 Long-Term Incentive Plan, for grants made prior to June 30, 2016 (incorporated by reference to Exhibit 10.5 to Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 2, 2016) | |
|
10.38∞
|
| | Form of Amendment to Employee Nonqualified Stock Option Agreement under the PhaseRx, Inc. 2016 Long-Term Incentive Plan, for grants made prior to June 30, 2016 (incorporated by reference to Exhibit 10.6 to Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 2, 2016) | |
|
10.39∞
|
| | Form of Incentive Stock Option Agreement under the PhaseRx, Inc. 2016 Long-Term Incentive Plan, effective as of June 30, 2016 (incorporated by reference to Exhibit 10.7 to Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 2, 2016) | |
|
10.40∞
|
| | Form of Employee Nonqualified Stock Option Agreement under the PhaseRx, Inc. 2016 Long-Term Incentive Plan effective as of June 30, 2016 (incorporated by reference to Exhibit 10.8 to Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 2, 2016) | |
|
10.41∞
|
| | Form of Director Nonqualified Stock Option Agreement under the PhaseRx, Inc. 2016 Long-Term Incentive Plan effective as of June 30, 2016 (incorporated by reference to Exhibit 10.9 to Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 2, 2016) | |
|
10.42∞
|
| | Amendment No. 3 to Consulting Agreement dated June 30, 2016, between PhaseRx, Inc. and Paul H. Johnson, Ph. D. (incorporated by reference to Exhibit 10.10 to Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 2, 2016) | |
|
10.43
|
| | Seventh amendment to Lease, dated September 27, 2016, by and between ARE-SEATTLE No. 10, LLC and PhaseRx, Inc., for 410 W. Harrison, Seattle, Washington (incorporated by reference to Exhibit 10.1 to Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 7, 2016) | |
|
10.44
|
| | Fifth amendment to Lease, dated September 27, 2016, by and between ARE-SEATTLE No. 10 LLC and PhaseRx, Inc., for 410 Elliott, Seattle, Washington (incorporated by reference to Exhibit 10.2 to Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 7, 2016) | |
|
Exhibit No.
|
| |
Description of Exhibit
|
|
|
10.45∞
|
| | First Amendment to the PhaseRx, Inc. 2016 Long-Term Incentive Plan (incorporated by reference to Exhibit 10.1 to Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 12, 2017) | |
|
10.46*
|
| | Engagement Letter, dated June 14, 2017, by and between PhaseRx, Inc. and H.C. Wainwright & Co., LLC | |
|
10.47*
|
| | Form of Securities Purchase Agreement | |
|
21.1
|
| | Subsidiaries of the Company (incorporated by reference to Exhibit 21.1 to Annual Report on Form 10-K filed with the Securities and Exchange Commission on May 27, 2017) | |
|
23.1
|
| | Consent of Peterson Sullivan LLP, an Independent Registered Public Accounting Firm. | |
|
23.2*
|
| | Consent of Haynes and Boone, LLP (included in Exhibit 5.1) | |
|
24.1
|
| | Power of Attorney (included on signature page) | |
1 Year PhaseRx (CE) Chart |
1 Month PhaseRx (CE) Chart |
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