Mga Batayang Estadistika
| LEI | 213800O49VYSXWE2ZD52 |
| CIK | 1830162 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to 4d Pharma Plc - ADR
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| February 23, 2023 |
Exhibit 99.1 RNS Number : 0605Q AIM 16 February 2023 NOTICE 16/02/2023 - 07:00 NOTICE OF CANCELLATION OF ADMISSION TO TRADING ON AIM Pursuant to AIM Rule 41 the following securities have been cancelled from trading on AIM with effect from the time and date of this notice. 4D PHARMA PLC 213800O49VYSXWE2ZD52 ORDINARY SHARES OF 0.25P EACH, FULLY PAID (BJL5BR0)(GB00BJL5BR07) 4D PHAR/PAR VTG FPD 0.0025 |
|
| February 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of February 2023 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant’s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Addr |
|
| February 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of February 2023 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant’s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Addr |
|
| February 17, 2023 |
4D pharma plc (in administration) Cancellation of admission to trading on AIM Exhibit 99.1 4D pharma plc (in administration) Cancellation of admission to trading on AIM Leeds, UK, 15 February 2023 – 4D pharma plc (the “Company”) (AIM: DDDD, NASDAQ: LBPS), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, announces the cancellation of the admission to trading of its ordinary shares with |
|
| February 7, 2023 |
Exhibit 99.1 4D pharma plc (in administration) 4D pharma Announces Updated Results from the Renal Cell Carcinoma Cohort of the Phase I/II Study of the Combination of MRx0518 and KEYTRUDA® (pembrolizumab) - Further to prior announcement of having met the primary efficacy endpoint, an additional patient is confirmed as having a response - Strengthens strategic focus on developing MRx0518 in IO combi |
|
| February 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of February 2023 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant’s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Addr |
|
| January 3, 2023 |
Exhibit 99.2 THIS DOCUMENT AND THE ENCLOSED PROXY FORM ARE IMPORTANT AND REQUIRE YOUR IMMEDIATE ATTENTION. If you are in any doubt about the contents of this document and/or as to what action you should take, you are recommended to seek your own independent financial advice immediately from your stockbroker, bank manager, solicitor, accountant or other independent financial advisor duly authorised |
|
| January 3, 2023 |
4D pharma Announces an Update on Administration and Suspension of Trading EX-99.1 2 ex99-1.htm Exhibit 99.1 THIS ANNOUNCEMENT CONTAINS INSIDE INFORMATION AS DEFINED UNDER THE MARKET ABUSE REGULATION (EU) NO. 596/2014. UPON PUBLICATION OF THIS ANNOUNCEMENT THIS INFORMATION IS NOW CONSIDERED IN THE PUBLIC DOMAIN 4D pharma Announces an Update on Administration and Suspension of Trading Leeds, UK – December 30, 2022 - 4D pharma plc (AIM: DDDD) (in administration), a pharmac |
|
| January 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of January 2023 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Addre |
|
| November 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of November 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant’s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Addr |
|
| November 18, 2022 |
Exhibit 99.1 4D pharma’s Blautix® Phase II Clinical Trial Results Published in Alimentary Pharmacology & Therapeutics Leeds, UK – November 16, 2022 - 4D pharma plc (AIM: DDDD) (in administration), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, today announced the publication in the journal Alimentary Pharm |
|
| November 15, 2022 |
Exhibit 99.1 4D pharma Announces Two Presentations at The Society for Immunotherapy of Cancer Annual Meeting (SITC 2022) Leeds, UK ? November 10, 2022 - 4D pharma plc (AIM: DDDD) (in administration), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, today presented new biomarker data from two ongoing clinical |
|
| November 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of November 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Addr |
|
| October 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of October 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Addre |
|
| October 7, 2022 |
Exhibit 99.1 4D pharma Announces Two Presentations at The Society for Immunotherapy of Cancer Annual Meeting (SITC 2022) Leeds, UK ? October 5, 2022 - 4D pharma plc (AIM: DDDD) (in administration), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, today announces two poster presentations at the Society for Im |
|
| September 30, 2022 |
Exhibit 99.1 4D pharma PLC 4D pharma plc (in administration) Delay to publication of Interim Results Update on Suspension of Trading on AIM Leeds, UK, September 28, 2022, ? 4D pharma plc (AIM: DDDD), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, announces that it will not report its interim results for th |
|
| September 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of September 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Add |
|
| August 24, 2022 |
Delisting of Securities of 4D pharma plc from The Nasdaq Stock Market Exhibit 99.1 Delisting of Securities of 4D pharma plc from The Nasdaq Stock Market NEW YORK, July 18, 2022? The Nasdaq Stock Market announced today that it will delist the American depositary shares and warrant of 4D pharma plc. 4D pharma plc?s securities were suspended on July 7, 2022 and have not traded on Nasdaq since that time. Nasdaq will file a Form 25 with the U.S. Securities and Exchange C |
|
| August 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of July 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address |
|
| August 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of August 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Addres |
|
| August 24, 2022 |
Exhibit 99.1 4D pharma PLC 4D pharma plc (in administration) 4D pharma Announces Publication of Preclinical Research Showing Live Biotherapeutic MRx0006 Efficacy in Animal Model of Autism Spectrum Disorder Leeds, UK, August 24, 2022 ? 4D pharma plc (AIM: DDDD), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome |
|
| August 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of August 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Addres |
|
| August 24, 2022 |
4D pharma plc (in administration) Publication of Joint Administrators’ Proposals Exhibit 99.1 4D pharma plc (in administration) Publication of Joint Administrators? Proposals Leeds, UK, August 4, 2022, - 4D pharma plc (AIM: DDDD), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, announces that the joint administrators of 4D Pharma plc (the ?Company?) have posted their statement of propos |
|
| July 5, 2022 |
4D PHARMA PLC (“4D pharma”) IS TEMPORARILY PAUSING RECRUTMENT INTO ONGOING CLINICAL TRIALS Exhibit 99.1 4D pharma plc 4D PHARMA PLC (“4D pharma”) IS TEMPORARILY PAUSING RECRUTMENT INTO ONGOING CLINICAL TRIALS Leeds, UK, 1 July, 2022 – 4D pharma plc (AIM: DDDD, NASDAQ: LBPS), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drugs derived from the microbiome, today announces that following the appointment of administrators on 24 Jun |
|
| July 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of July 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address |
|
| June 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of June 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address |
|
| June 29, 2022 |
4D PHARMA PLC (“4D pharma”) RECEIVES NOTICE OF DELISTING FROM NASDAQ Exhibit 99.1 4d Pharma PLC 4D PHARMA PLC (?4D pharma?) RECEIVES NOTICE OF DELISTING FROM NASDAQ Leeds, UK, 28 June, 2022 ? 4D pharma plc (AIM: DDDD, NASDAQ: LBPS), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, today announces that on June 27, 2022, it received written notice from The Nasdaq Stock Market L |
|
| June 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of June 24, 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Addr |
|
| June 24, 2022 |
Update on Suspension of Trading Exhibit 99.1 4d Pharma PLC Update on Suspension of Trading Leeds, UK, 24 June 2022, ? 4D pharma plc (AIM: DDDD, Nasdaq LBPS), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, provides an update to the announcement released earlier today regarding the Company?s request for an immediate suspension of trading i |
|
| June 24, 2022 |
Exhibit 99.1 4d Pharma PLC Suspension of Trading Leeds, UK, 24 June 2022, ? 4D pharma plc (AIM: DDDD, Nasdaq LBPS), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, today announces that it has requested an immediate suspension of trading in the Company?s ordinary shares on AIM pending a further announcement. |
|
| June 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of June 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address |
|
| June 1, 2022 |
Exhibit 99.2 THIS DOCUMENT AND THE ENCLOSED PROXY FORM ARE IMPORTANT AND REQUIRE YOUR IMMEDIATE ATTENTION. If you are in any doubt about the contents of this document and/or as to what action you should take, you are recommended to seek your own independent financial advice immediately from your stockbroker, bank manager, solicitor, accountant or other independent financial advisor duly authorised |
|
| June 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of June 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address |
|
| June 1, 2022 |
4D pharma plc Annual Report and Accounts 2021 Exhibit 99.1 4D pharma plc Annual Report and Accounts 2021 4D pharma plc Annual Report and Accounts 2021 Contents Highlights 1 Directors, Secretary and Advisors 3 Strategic report: Introduction 4 Strategic report: Business strategy 5 Strategic report: Chairperson and CEO?s statement 7 Strategic report: Business overview 12 Strategic report: Financial review 16 Strategic report: Principal risks and |
|
| April 26, 2022 |
April 26, 2022 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N. |
|
| April 21, 2022 |
As filed with the Securities and Exchange Commission on April 21, 2022. Registration Nos. 333-255474 333-259501 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM F-1 ON FORM F-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 4D pharma plc (Exact name of registrant as specified in its charter) England and Wales 2834 Not applicabl |
|
| April 21, 2022 |
Exhibit 107 CALCULATION OF REGISTRATION FEE Form F-3 (Form Type) 4D pharma plc (Exact name of registrant as specified in its charter) CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered(1) Proposed Maximum Offering Price Per Unit Proposed Maximum Aggregate Offering Price Amount of Registration Fee Ordinary Shares, nominal value ?0. |
|
| April 4, 2022 |
Exhibit 99.1 4D pharma Reports Full Year 2021 Financial Results, Operational Highlights, and Guidance for Key Milestones in 2022 Leeds, UK, April 1, 2022 ? 4D pharma plc (AIM: DDDD, NASDAQ: LBPS), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, today reported financial results for the full year ending Decem |
|
| April 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of April 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address |
|
| April 1, 2022 |
Calculation of Registration Fee Table Exhibit 107 CALCULATION OF REGISTRATION FEE Form S-8 (Form Type) 4D PHARMA PLC (Exact name of registrant as specified in its charter) Table 1 - Newly Registered Securities Security Type Title of Securities to be Registered Fee Calculation Rule Amount Registered(2) Proposed Maximum Offering Price Per Share(3) Proposed Maximum Aggregate Offering Price(3) Fee Rate Amount of Registration Fee Equity Ordinary shares, nominal value ?0. |
|
| April 1, 2022 |
As filed with the Securities and Exchange Commission on April 1, 2022 As filed with the Securities and Exchange Commission on April 1, 2022 Registration No. |
|
| March 31, 2022 |
Description of Securities registered under Section 12 of the Securities Act of 1933, as amended Exhibit 2.5 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Set forth below is a summary of certain information concerning the share capital of 4D Pharma plc (?4D Pharma,? the ?Company,? ?we? or ?us?), as well as a description of certain provisions of our articles of association and relevant provisions of the United Kingdom Compan |
|
| March 31, 2022 |
Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Exhibit 12.2 Certification by the Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, John Doyle, certify that: 1. I have reviewed this annual report on Form 20-F of 4D pharma plc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the cir |
|
| March 31, 2022 |
Service Agreement between John Doyle and 4D pharma plc, dated January 5, 2022 Exhibit 4.14 |
|
| March 31, 2022 |
Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Exhibit 12.1 Certification by the Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Duncan Peyton, certify that: 1. I have reviewed this annual report on Form 20-F of 4D pharma plc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the |
|
| March 31, 2022 |
4D pharma plc 2021 Long Term Incentive Plan and related forms Exhibit 4.17 RULES OF THE 4D PHARMA PLC LONG-TERM INCENTIVE PLAN Adopted by the board of directors on 26 October 2021 CONTENTS 1. DEFINITIONS AND INTERPRETATION 1 2. GRANT OF AWARDS 4 3. VESTING, RELEASE AND EXERCISE 6 4. SETTLEMENT 8 5. LEAVERS 9 6. CORPORATE EVENTS 10 7. INTERNATIONAL TRANSFERS 12 8. REDUCTION AND RECOVERY 13 9. AMENDMENTS 14 10. MISCELLANEOUS 14 SCHEDULE 1: AWARDS SUBJECT TO A |
|
| March 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 20-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 20-F ? REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF |
|
| March 31, 2022 |
Exhibit 13.2 Certification by the Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the annual report of 4D pharma plc (the “Company”) on Form 20-F for the year ended December 31, 2021 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, John Doyle, Chief Financial Officer of the Company, certify, pursuant to |
|
| March 31, 2022 |
Exhibit 13.1 Certification by the Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the annual report of 4D pharma plc (the “Company”) on Form 20-F for the year ended December 31, 2021 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Duncan Peyton, Chief Executive Officer of the Company, certify, pursuant |
|
| March 28, 2022 |
As filed with the Securities and Exchange Commission on March 28, 2022 As filed with the Securities and Exchange Commission on March 28, 2022 Registration No. |
|
| March 28, 2022 |
Exhibit 4.4 4D pharma plc [ ?], AS TRUSTEE TO INDENTURE DATED AS OF [?] DEBT SECURITIES TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 Section 1.1 Definitions. 1 Section 1.2 Compliance Certificates and Opinions. 6 Section 1.3 Form of Documents Delivered to Trustee. 6 Section 1.4 Acts of Holders; Record Dates. 7 Section 1.5 Notices, etc., to Trustee and C |
|
| March 28, 2022 |
March 28, 2022 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N. |
|
| March 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of March 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address |
|
| March 23, 2022 |
Exhibit 99.1 4D pharma Announces Positive Interim Results from the Phase I/II Study of the Combination of MRx0518 and KEYTRUDA? (pembrolizumab) for the Treatment of Renal Cell Carcinoma - Primary Efficacy Endpoint Met Early in Renal Cell Carcinoma Group in Part B of Study - Company to Host Conference Call and Webcast Today March 23, 10:00 am EST (2:00 pm GMT) Leeds, UK, March 23, 2022 ? 4D pharma |
|
| March 8, 2022 |
Calculation of Registration Fee Table Exhibit 107 CALCULATION OF REGISTRATION FEE Title of each class of securities to be registered Amount to be registered(1)(2) Proposed maximum offering price per security(1)(2) Proposed maximum aggregate offering price(1)(2) Amount of registration fee(3) Ordinary Shares, nominal value ?0. |
|
| March 8, 2022 |
As filed with the Securities and Exchange Commission on March 8, 2022 As filed with the Securities and Exchange Commission on March 8, 2022 Registration No. |
|
| March 2, 2022 |
LBPS / 4D pharma plc / Oliveira Steven Michael - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 2)* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO ?240.13d-2 4D Pharma, Plc. (Name of Issuer) Ordinary Shares, nominal value ?0.0025 per Share (Title of Class of Securities) 35085K109** (CUSIP Number) Fe |
|
| February 28, 2022 |
LBPS / 4D pharma plc / Peyton Duncan Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 4D pharma plc (Name of Issuer) Ordinary Shares, nominal value ?0.0025 per Share (Title of Class of Securities) 35085K109** (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to w |
|
| February 25, 2022 |
LBPS / 4D pharma plc / Stevenson Alexander Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 4D pharma plc (Name of Issuer) Ordinary Shares, nominal value ?0.0025 per Share (Title of Class of Securities) 35085K109** (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to w |
|
| February 18, 2022 |
Exhibit 99.1 4D PHARMA PLC TABLE OF CONTENTS Page Unaudited Condensed Consolidated Balance Sheets as of June 30, 2021 and December 31, 2020 F-2 Unaudited Condensed Consolidated Statements of Operations and Comprehensive Loss for the six months ended June 30, 2021 and 2020 F-3 Unaudited Condensed Consolidated Statements of Changes of Stockholders? Equity for the six months ended June 30, 2021 and 2 |
|
| February 18, 2022 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-259501 PROSPECTUS SUPPLEMENT (To Prospectus dated October 14, 2021) PROSPECTUS 4D PHARMA PLC Neither the SEC nor any state securities commission has determined whether this prospectus supplement or the prospectus to which it relates is truthful or complete. Any representation to the contrary is a criminal offense. Please pay particular attentio |
|
| February 18, 2022 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-255474 PROSPECTUS SUPPLEMENT (To Prospectus dated May 24, 2021) PROSPECTUS 4D PHARMA PLC Neither the SEC nor any state securities commission has determined whether this prospectus supplement or the prospectus to which it relates is truthful or complete. Any representation to the contrary is a criminal offense. Please pay particular attention to |
|
| February 18, 2022 |
Exhibit 99.1 4D pharma to Restate Unaudited Interim Financial Statements for the Six-Month Period Ended June 30, 2021 to Correct Accounting for Warrants Non-cash adjustment with no effect on cash position or operating results of 4D Pharma?s business Audited financial statements for Fiscal Year 2020 are not affected Leeds, UK, February 18, 2022 ? 4D pharma plc (AIM: DDDD, NASDAQ: LBPS), a pharmaceu |
|
| February 18, 2022 |
Exhibit 99.2 MANAGEMENT?S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS The following discussion and analysis dated February 18, 2022 should be read in conjunction with our unaudited interim condensed consolidated financial statements and related notes as of and for the six months ended June 30, 2021, included as Exhibit 99.1 to this Report on Form 6-K. This discussion a |
|
| February 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of February 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Addr |
|
| February 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K/A Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of February 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Ad |
|
| February 3, 2022 |
LBPS / 4D pharma plc / Oliveira Steven Michael - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 1)* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 4D Pharma, Plc. (Name of Issuer) Ordinary Shares, nominal value £0.0025 per Share (Title of Class of Securities) 35085K109** (CUSIP Number) Fe |
|
| February 2, 2022 |
EX-99.1 2 ex99-1.htm Exhibit 99.1 4D pharma announces additional positive data from Part A of the Phase I/II trial of MRx-4DP0004 for the treatment of asthma - Part A of the trial achieved the primary endpoint of safety and tolerability - Multiple secondary endpoints show positive trends in improving asthma control, supporting progression into Part B of the Phase I/II trial - Company to host confe |
|
| February 2, 2022 |
LBPS / 4D pharma plc / Merck & Co., Inc. - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* 4D pharma plc Ordinary Shares, nominal value £0.0025 per share (Title of Class of Securities) 35085K109** (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
|
| February 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of February, 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Add |
|
| February 2, 2022 |
Joint Filing Agreement Pursuant to Rule 13d-1 EXHIBIT 99.1 Joint Filing Agreement Pursuant to Rule 13d-1 This agreement is made pursuant to Rule 13d-l(k)(1) under the Securities and Exchange Act of 1934, as amended (the ?Act?) by and among the parties listed below, each referenced to herein as a ?Joint Filer.? The Joint Filers agree that a statement of beneficial ownership as required by Sections 13(g) or 13(d) of the Act and the Rules thereu |
|
| January 10, 2022 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-255474 PROSPECTUS SUPPLEMENT (To Prospectus dated May 24, 2021) PROSPECTUS 4D PHARMA PLC Neither the SEC nor any state securities commission has determined whether this prospectus supplement or the prospectus to which it relates is truthful or complete. Any representation to the contrary is a criminal offense. Please pay particular attention to |
|
| January 10, 2022 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-259501 PROSPECTUS SUPPLEMENT (To Prospectus dated October 14, 2021) PROSPECTUS 4D PHARMA PLC Neither the SEC nor any state securities commission has determined whether this prospectus supplement or the prospectus to which it relates is truthful or complete. Any representation to the contrary is a criminal offense. Please pay particular attentio |
|
| January 5, 2022 |
4D Pharma PLC (“4D Pharma” or the “Company”) Grant of Options Exhibit 99.1 4D Pharma PLC (?4D Pharma? or the ?Company?) Grant of Options Leeds, UK, January 4 2022 - 4D pharma plc (AIM: DDDD, NASDAQ: LBPS), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, announces that today share options (?Options?) have been granted to certain executive directors and members of the s |
|
| January 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of January, 2022 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Addr |
|
| January 5, 2022 |
4D pharma appoints John Doyle as Chief Financial Officer Exhibit 99.2 4d Pharma PLC 4D pharma appoints John Doyle as Chief Financial Officer Leeds, UK, January 3, 2022 ? 4D pharma plc (AIM: DDDD, NASDAQ: LBPS), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, today announces the appointment of John Doyle as Chief Financial Officer (CFO). Mr. Doyle brings over 15 y |
|
| December 14, 2021 |
Exhibit 99.1 4D pharma announces positive topline results from Part A of Phase I/II trial of MRx-4DP0004 for the treatment of asthma Part A of the study meets primary endpoint of safety and tolerability Achieved multiple key secondary endpoints relating to improved asthma control compared to placebo Leeds, UK, December 13, 2021 - 4D pharma plc (AIM: DDDD, NASDAQ: LBPS), a pharmaceutical company le |
|
| December 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of December, 2021 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Add |
|
| October 14, 2021 |
PROSPECTUS 16,268,040 Ordinary Shares Represented by up to 2,033,505 American Depositary Shares PROSPECTUS DATED OCTOBER 14, 2021 Filed Pursuant to Rule 424(b)(3) Registration No. |
|
| October 12, 2021 |
October 12, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N. |
|
| October 7, 2021 |
Exhibit 10.16 5th Floor 9 Bond Court Leeds LS1 2JZ Richard Avison 7 Huyton Avenue St Helens Merseyside WA10 6LU 19th July 2021 LETTER OF VARIATION No. 2 Dear Richard, Re: SERVICE AGREEMENT DATED 1st November 2017 (“AGREEMENT”) We are pleased to make the following amendments to the above agreement effective 1st July 2021. This letter confirms that the following 2 (two) sections of the Agreement are |
|
| October 7, 2021 |
As filed with the Securities and Exchange Commission on October 6, 2021 Registration Statement No. |
|
| October 7, 2021 |
Exhibit 10.15 *** Certain information has been excluded from this agreement because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. AMENDMENT TO STRATEGIC COLLABORATION AGREEMENT This AMENDMENT TO THE STRATEGIC COLLABORATION AGREEMENT (?Amendment?) is effective this 24th day of February 2021 (the ?Amendment Effective Date?) by and between THE UNIVERSITY O |
|
| October 1, 2021 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-255474 PROSPECTUS SUPPLEMENT (To Prospectus dated May 24, 2021) PROSPECTUS 4D PHARMA PLC Neither the SEC nor any state securities commission has determined whether this prospectus supplement or the prospectus to which it relates is truthful or complete. Any representation to the contrary is a criminal offense. Please pay particular attention to |
|
| October 1, 2021 |
Exhibit 99.1 4D PHARMA PLC UNAUDITED CONDENSED CONSOLIDATED INTERIM FINANCIAL STATEMENTS AS OF JUNE 30, 2021 AND DECEMBER 31, 2020 AND FOR THE SIX-MONTHS ENDED JUNE 30, 2021 AND 2020 4D PHARMA PLC TABLE OF CONTENTS Page Unaudited Condensed Consolidated Balance Sheets as of June 30, 2021 and December 31, 2020 F-2 Unaudited Condensed Consolidated Statements of Operations and Comprehensive Loss for t |
|
| October 1, 2021 |
MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS Exhibit 99.2 MANAGEMENT?S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS The following discussion and analysis dated September 30, 2021 should be read in conjunction with our unaudited interim condensed consolidated financial statements and related notes as of and for the six months ended June 30, 2021, included as Exhibit 99.1 to this Report on Form 6-K. This discussion |
|
| October 1, 2021 |
As filed with the Securities and Exchange Commission on September 30, 2021 As filed with the Securities and Exchange Commission on September 30, 2021 Registration No. |
|
| October 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of September 2021 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Add |
|
| September 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of September 2021 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Add |
|
| September 30, 2021 |
Exhibit 99.1 4D PHARMA PLC (?4D?, ?4D Pharma? or ?the Company?) Interim results for the six months ended 30 June 2021 Leeds, UK, 30 September 2021 - 4D pharma plc (AIM: DDDD), a pharmaceutical company leading the development of Live Biotherapeutics, is pleased to announce the interim results for the Company and its subsidiaries (together ?the Group?) for the six months ended 30 June 2021. All deta |
|
| September 23, 2021 |
EX-99.1 2 ex99-1.htm Exhibit 99.1 4D pharma presents two clinical posters for Live Biotherapeutic MRx0518 at the European Society for Medical Oncology (ESMO) Congress 2021 - One presentation details baseline biomarkers associated with clinical benefit from MRx0518, indicating a potential tumor biomarker predictive of response - The second presentation describes gene and metagene signature changes |
|
| September 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of September 2021 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Add |
|
| September 14, 2021 |
Warrant to Purchase Ordinary Shares among 4D pharma plc. and Oxford Finance Luxembourg S.Á R.L EX-4.7 3 ex4-7.htm Exhibit 4.7 [CERTAIN INFORMATION IN THIS EXHIBIT IDENTIFIED BY [***] IS CONFIDENTIAL AND HAS BEEN EXCLUDED BECAUSE IT IS (I) NOT MATERIAL AND (II) THE REGISTRANT CUSTOMARILY AND ACTUALLY TREATS THAT INFORMATION AS PRIVATE OR CONFIDENTIAL.] THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), |
|
| September 14, 2021 |
Warrant to Purchase Ordinary Shares among 4D pharma plc. and Oxford Finance Luxembourg S.Á R.L Exhibit 4.6 [CERTAIN INFORMATION IN THIS EXHIBIT IDENTIFIED BY [***] IS CONFIDENTIAL AND HAS BEEN EXCLUDED BECAUSE IT IS (I) NOT MATERIAL AND (II) THE REGISTRANT CUSTOMARILY AND ACTUALLY TREATS THAT INFORMATION AS PRIVATE OR CONFIDENTIAL.] THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), OR THE SECURITIES L |
|
| September 14, 2021 |
Powers of Attorney for 4D pharma plc As filed with the Securities and Exchange Commission on September 13, 2021 Registration Statement No. |
|
| September 14, 2021 |
Oxford – Loan and Security Agreement EX-10.14 5 ex10-14.htm Exhibit 10.14 [CERTAIN INFORMATION IN THIS EXHIBIT IDENTIFIED BY [***] IS CONFIDENTIAL AND HAS BEEN EXCLUDED BECAUSE IT (I) IS NOT MATERIAL AND (II) THE REGISTRANT CUSTOMARILY AND ACTUALLY TREATS THAT INFORMATION AS PRIVATE OR CONFIDENTIAL.] LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT (as the same may from time to time be amended, modified, supplemented or r |
|
| August 11, 2021 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-255474 PROSPECTUS SUPPLEMENT (To Prospectus dated May 24, 2021) PROSPECTUS 4D PHARMA PLC Neither the Securities and Exchange Commission nor any state securities commission has approved or disapproved of these securities or passed upon the accuracy or adequacy of this prospectus supplement or the prospectus to which it relates. Any representatio |
|
| August 2, 2021 |
4D pharma Announces $30 Million Credit Facility with Oxford Finance Exhibit 99.1 4D pharma plc 4D pharma Announces $30 Million Credit Facility with Oxford Finance Leeds, UK, July 29, 2021 ? 4D pharma plc (AIM: DDDD, NASDAQ: LBPS), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, today announces the closing of a senior secured credit facility for up to $30m with Oxford Financ |
|
| August 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of August 2021 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Addres |
|
| July 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of July 2021 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address |
|
| July 27, 2021 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-255474 PROSPECTUS SUPPLEMENT (To Prospectus dated May 24, 2021) PROSPECTUS 4D PHARMA PLC Neither the Securities and Exchange Commission nor any state securities commission has approved or disapproved of these securities or passed upon the accuracy or adequacy of this prospectus supplement or the prospectus to which it relates. Any representatio |
|
| July 27, 2021 |
4D pharma Announces Passing of Chief Financial Officer John Beck Exhibit 99.1 4D pharma PLC 4D pharma Announces Passing of Chief Financial Officer John Beck Leeds, UK, July 26, 2021 ? 4D pharma plc (AIM: DDDD, NASDAQ, LBPS), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, announces with great sadness that John Beck, Chief Financial Officer of 4D pharma, has passed away. |
|
| July 7, 2021 |
Exhibit 99.1 4D pharma PLC 4D pharma Announces Publication of Preclinical Research Showing Single Strain Megasphaera massiliensis improves activity of CAR-T Leeds, UK, July 6, 2021 ? 4D pharma plc (AIM: DDDD, NASDAQ: LBPS), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, today announces the publication of p |
|
| July 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of July 2021 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address |
|
| June 4, 2021 |
Exhibit 99.1 4D pharma PLC THIS ANNOUNCEMENT CONTAINS INSIDE INFORMATION AS STIPULATED UNDER THE UK VERSION OF THE MARKET ABUSE REGULATION NO 596/2014 (?MAR?) WHICH IS PART OF ENGLISH LAW BY VIRTUE OF THE EUROPEAN (WITHDRAWAL) ACT 2018, AS AMENDED. ON PUBLICATION OF THIS ANNOUNCEMENT VIA A REGULATORY INFORMATION SERVICE, THIS INFORMATION IS CONSIDERED TO BE IN THE PUBLIC DOMAIN. 4D pharma Complete |
|
| June 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of June 2021 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address |
|
| May 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of May 2021 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address o |
|
| May 25, 2021 |
4D pharma plc (the “Company” or “4D”) Result of AGM Exhibit 99.1 4D pharma plc (the ?Company? or ?4D?) Result of AGM At the annual general meeting of 4D pharma plc (AIM: DDDD), a pharmaceutical company leading the development of Live Biotherapeutics, held earlier today, all resolutions put to shareholders were duly passed. The full text of each resolution was included in the notice of the meeting, which was posted to shareholders on 15 April 2021, |
|
| May 25, 2021 |
Exhibit 99.1 4D pharma Presents Additional Positive Results of Phase II Study of Blautix? for the Treatment of Irritable Bowel Syndrome New data demonstrating clinical activity in both IBS-C and IBS-D was presented at Digestive Disease Week 2021 Company to host webcast on Tuesday, May 25, 2021 at 12:00 p.m. EDT Leeds, UK, May 24, 2021 ? 4D pharma plc (AIM: DDDD; NASDAQ: LBPS), a pharmaceutical com |
|
| May 25, 2021 |
22,372,720 Ordinary Shares Represented by up to 2,796,590 American Depositary Shares PROSPECTUS DATED MAY 24, 2021 Filed Pursuant to Rule 424(b)(3) Registration No. 333-255474 PROSPECTUS 22,372,720 Ordinary Shares Represented by up to 2,796,590 American Depositary Shares Our ordinary shares are currently traded on AIM, a market operated by the London Stock Exchange, under the symbol ?DDDD.? Our American Depositary Shares, or ADSs, each representing eight ordinary shares of 4D phar |
|
| May 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of May 2021 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address o |
|
| May 21, 2021 |
May 21, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N. |
|
| May 21, 2021 |
Wilson Sonsini Goodrich & Rosati Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 o: 650. |
|
| April 30, 2021 |
Exhibit 13.2 Certification by the Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the annual report of 4D pharma plc (the “Company”) on Form 20-F for the year ended December 31, 2020 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, John Beck, Chief Financial Officer of the Company, certify, pursuant to 1 |
|
| April 30, 2021 |
Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Exhibit 12.1 Certification by the Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Duncan Peyton, certify that: 1. I have reviewed this annual report on Form 20-F of 4D pharma plc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the |
|
| April 30, 2021 |
Exhibit 13.1 Certification by the Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the annual report of 4D pharma plc (the “Company”) on Form 20-F for the year ended December 31, 2020 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Duncan Peyton, Chief Executive Officer of the Company, certify, pursuant |
|
| April 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 20-F/A (Amendment No. 1) [ ] REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE |
|
| April 30, 2021 |
As filed with the Securities and Exchange Commission on April 30, 2021 Registration No. |
|
| April 30, 2021 |
Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Exhibit 12.2 Certification by the Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, John Beck, certify that: 1. I have reviewed this annual report on Form 20-F of 4D pharma plc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circ |
|
| April 23, 2021 |
Powers of Attorney for 4D pharma plc As filed with the Securities and Exchange Commission on April 23, 2021 Registration Statement No. |
|
| April 19, 2021 |
4D pharma plc (the “Company” or “4D”) Annual Report and Notice of AGM Exhibit 99.1 4D pharma PLC 4D pharma plc (the ?Company? or ?4D?) Annual Report and Notice of AGM Leeds, UK, April 15, 2021 ? 4D pharma plc (AIM: DDDD, NASDAQ, LBPS), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, today announces that the Annual Report and Accounts for the year to 31 December 2020 (the ?Ann |
|
| April 19, 2021 |
Current Report of Foreign Issuer - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of April 2021 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address |
|
| April 19, 2021 |
4D pharma plc Directors’ Subscription for new Ordinary Shares EX-99.1 2 ex99-1.htm Exhibit 99.1 4D pharma plc Directors’ Subscription for new Ordinary Shares Leeds, UK – 16 April 2021 - 4D pharma plc (AIM: DDDD; Nasdaq: LBPS) (“4D” or the “Company”), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs), a novel class of drug derived from the microbiome, announces that further to the announcement released on 22 March 2021 wh |
|
| April 19, 2021 |
Current Report of Foreign Issuer - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of April 2021 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address |
|
| April 12, 2021 |
EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Ordinary Shares, nominal value ?0. |
|
| April 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 4D Pharma Plc (Name of Issuer) Ordinary Shares, nominal value £0.0025 per Share (Title of Class of Securities) 35085K109** (CUSIP Number) March 22, 2021 (Date of |
|
| April 2, 2021 |
Description of Securities registered under Section 12 of the Securities Act of 1933, as amended Exhibit 2.5 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Set forth below is a summary of certain information concerning the share capital of 4D Pharma plc (?4D Pharma,? the ?Company,? ?we? or ?us?), as well as a description of certain provisions of our articles of association and relevant provisions of the United Kingdom Compan |
|
| April 2, 2021 |
Exhibit 13.2 Certification by the Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the annual report of 4D pharma plc (the “Company”) on Form 20-F for the year ended December 31, 2020 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, John Beck, Chief Financial Officer of the Company, certify, pursuant to 1 |
|
| April 2, 2021 |
Exhibit 13.1 Certification by the Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the annual report of 4D pharma plc (the “Company”) on Form 20-F for the year ended December 31, 2020 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Duncan Peyton, Chief Executive Officer of the Company, certify, pursuant |
|
| April 2, 2021 |
Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Exhibit 12.2 Certification by the Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, John Beck, certify that: 1. I have reviewed this annual report on Form 20-F of 4D pharma plc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circ |
|
| April 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 20-F [ ] REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE |
|
| April 2, 2021 |
Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Exhibit 12.1 Certification by the Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Duncan Peyton, certify that: 1. I have reviewed this annual report on Form 20-F of 4D pharma plc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the |
|
| April 1, 2021 |
Current Report of Foreign Issuer - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of April 2021 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address |
|
| April 1, 2021 |
Final Results for the year ended 31 December 2020 Exhibit 99.1 Final Results for the year ended 31 December 2020 Leeds, UK April 1, 2021 (GLOBE NEWSWIRE) ? 4D pharma plc (AIM: DDDD, NASDAQ: LBPS) (?4D?, the ?Company? or, together with its subsidiaries, the ?Group?), a pharmaceutical company leading the development of Live Biotherapeutics, is pleased to announce the final results for the Group for the year ended 31 December 2020. All details state |
|
| March 22, 2021 |
EX-99.2 3 tm2110500d1ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 Completion of Merger With Longevity Acquisition Corporation and Admission of American Depositary Shares to Trading on NASDAQ Merck Sharp & Dohme to participate in previously announced private placement Gross proceeds of Merger and private placement total approximately $39.8 million March 22, 2021 03:00 AM Eastern Daylight Time LEEDS, United |
|
| March 22, 2021 |
Current Report of Foreign Issuer - FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of March 2021 Commission File Number: 001-40106 4D pharma plc (Translation of Registrant?s name into English) 5th Floor, 9 Bond Court Leeds LS1 2JZ United Kingdom Tel: +44 (0) 113 895 013 (Address |
|
| March 22, 2021 |
Exhibit 99.1 4D Pharma PLC 4D pharma announces completion of merger with Longevity Acquisition Corporation Provides update on Nasdaq trading Leeds, UK, 22 March 2021 ? 4D pharma plc (Nasdaq: LBPS; AIM: DDDD) ("4D pharma" or the "Company"), a pharmaceutical company leading the development of Live Biotherapeutic products (LBPs) - a novel class of drug derived from the microbiome - today announced co |
|
| March 18, 2021 |
Filed by 4D Pharma plc pursuant to Rule 425 under the Securities Act of 1933 Form F-4 File No. |
|
| March 17, 2021 |
Filed by 4D Pharma plc pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Form F-4 File No. |
|
| March 17, 2021 |
Filed by 4D Pharma plc pursuant to Rule 425 under the Securities Act of 1933 Form F-4 File No. |
|
| March 8, 2021 |
PROSPECTUS 4D PHARMA PLC PROXY STATEMENT LONGEVITY ACQUISITION CORPORATION Filed Pursuant to Rule 424(b)(3) Registration No. 333-250986 PROSPECTUS SUPPLEMENT (To Prospectus dated February 25, 2021) PROSPECTUS 4D PHARMA PLC PROXY STATEMENT LONGEVITY ACQUISITION CORPORATION Neither the SEC nor any state securities commission has approved or disapproved of the merger or the securities to be issued in the merger or determined whether this prospectus supplement or the proxy s |
|
| March 1, 2021 |
Filed by 4D Pharma plc pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Form F-4 File No. |
|
| March 1, 2021 |
Filed by 4D Pharma plc pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Form F-4 File No. |
|
| February 26, 2021 |
TABLE OF CONTENTS ?Filed Pursuant to Rule 424(b)(3)? ?Registration File No.: 333-250986? LONGEVITY ACQUISITION CORPORATION Yongda International Tower No. 2277 Longyang Road, Pudong District, Shanghai People?s Republic of China NOTICE OF SPECIAL MEETING OF SHAREHOLDERS TO BE HELD ON MARCH 17, 2021 TO THE SHAREHOLDERS OF LONGEVITY ACQUISITION CORPORATION: You are cordially invited to attend the spec |
|
| February 26, 2021 |
Filed by 4D Pharma plc pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Form F-4 File No. |
|
| February 26, 2021 |
Filed by 4D Pharma plc pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Form F-4 File No. |
|
| February 24, 2021 |
Form of Proxy for Longevity Corporation Exhibit 99.1 LONGEVITY ACQUISITION CORPORATION Yongda International Tower No. 2277 Longyang Road, Pudong District, Shanghai People’s Republic of China NOTICE OF SPECIAL MEETING OF SHAREHOLDERS To Be Held at [•], 2020 (Record Date — [•], 2020) THIS PROXY IS SOLICITED ON BEHALF OF THE BOARD OF DIRECTORS The undersigned hereby appoints Alex Lyamport and Matthew Chen, or either of them, as proxies of |
|
| February 24, 2021 |
TABLE OF CONTENTS As filed with the Securities and Exchange Commission on February 24, 2021 Registration No. |
|
| February 24, 2021 |
February 24, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N. |
|
| February 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 4D pharma plc (Exact name of registrant as specified in its charter) England and Wales Not Applicable (State of incorporation or organization) (I.R.S. Employer Identification No.) 5th Floor, 9 Bond |
|
| February 19, 2021 |
TABLE OF CONTENTS As filed with the Securities and Exchange Commission on February 19, 2021 Registration No. |
|
| February 19, 2021 |
650 Page Mill Road Palo Alto, CA 94304-1050 650.493.9300 650.493.6811 www.wsgr.com February 19, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attention: Kristin Lochhead Terence O?Brien Margaret Schwartz Laura Crotty Re: 4D Pharma plc Registration Statement on Form F-4/A Submitted February 16 |
|
| February 18, 2021 |
J.P.Morgan J.P.Morgan TABLE OF CONTENTS Page PARTIES 1 RECITALS 1 Section 1. Certain Definitions (a) ADR Register 1 (b) ADRs; Direct Registration ADRs 1 (c) ADS 1 (d) Beneficial Owner 1 (e) Custodian 2 (f) Deliver, execute, issue et al. 2 (g) Delivery Order 2 (h) Deposited Securities 2 (i) Direct Registration System 2 (j) Holder 2 (k) Securities Act of 1933 2 (l) Securities Exchange Act of 1934 2 |
|
| February 18, 2021 | ||
| February 18, 2021 |
As filed with the U.S. Securities and Exchange Commission on February 18, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-6 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 For Depositary Shares Evidenced by American Depositary Receipts 4d pharma plc (Exact name of issuer of deposited securities as specified in its charter) n/a (Tran |
|
| February 16, 2021 |
Exhibit 4.3 WARRANT AGREEMENT This Warrant Agreement (this ?Agreement?) is made as of August 28, 2018 between Longevity Acquisition Corporation, a British Virgin Islands company, with offices at Suite 906, Tower W1, Oriental Plaza, No. 1 East Chang?an Street, Dongcheng District, Beijing, People?s Republic of China (?Company?), and Continental Stock Transfer & Trust Company, a New York corporation, |
|
| February 16, 2021 |
650 Page Mill Road Palo Alto, CA 94304-1050 650.493.9300 650.493.6811 www.wsgr.com February 16, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attention: Kristin Lochhead Terence O?Brien Margaret Schwartz Laura Crotty Re: 4D Pharma plc Registration Statement on Form F-4/A Submitted January 28, |
|
| February 16, 2021 |
TABLE OF CONTENTS As filed with the Securities and Exchange Commission on February 16, 2021 Registration No. |
|
| February 16, 2021 |
Exhibit 4.5 NUMBER (SEE REVERSE SIDE FOR LEGEND) THIS WARRANT WILL BE VOID IF NOT EXERCISED PRIOR TO THE EXPIRATION OF THE EXERCISE PERIOD PROVIDED FOR IN THE WARRANT AGREEMENT DESCRIBED BELOW WARRANTS LONGEVITY ACQUISITION CORPORATION WARRANT THIS CERTIFIES THAT, for value received is the registered holder of a warrant or warrants (the ?Warrant?), expiring at 5:00 p.m., New York City time, on the |
|
| February 16, 2021 |
Service Agreement between Edgardo Baracchini and 4D pharma plc, dated December 6, 2018 Exhibit 10.11 9 Bond Court Leeds LS1 2JZ Tel: 0113 895 0130 www.4Dpharmaplc.com Private & Confidential Ed Baracchini, Ph.D., M.B.A. 322 Nautilus Street La Jolla CA 92037 USA [06 December 2018] Dear Ed Letter of appointment The board of directors (Board) of 4D pharma plc (Company) has appointed you as non-executive director. This letter sets out the main terms of your appointment. If you are unhapp |
|
| February 16, 2021 |
Exhibit 4.4 ASSUMPTION AGREEMENT dated as of March , 2021 among 4d pharma plc, a public limited company incorporated under the laws of England and Wales (?Parent?), Longevity Acquisition Corporation, a British Virgin Islands company limited by shares (the ?Company?), and Continental Stock Transfer & Trust Company, a New York corporation, with offices at One State Street, 30th Floor, New York, New |
|
| February 16, 2021 |
Service Agreement between Sandy Macrae and 4D pharma plc, dated August 19, 2019 Exhibit 10.10 9 Bond Court Leeds LS1 2JZ Tel: 0113 895 0130 www.4Dpharmaplc.com Private & Confidential Dr Sandy Macrae 1241 Shrader Street San Francisco CA 94117 USA 19 August 2019 Dear Sandy Letter of appointment The board of directors (Board) of 4D pharma plc (Company) has appointed you as non-executive director. This letter sets out the terms of your appointment. If you are unhappy with any of |
|
| February 16, 2021 |
Service Agreement between Katrin Rupalla and 4D pharma plc, dated August 18, 2020 Exhibit 10.9 9 Bond Court Leeds LS1 2JZ Tel: 0113 895 0130 www.4Dpharmaplc.com Private & Confidential Katrin Rupalla Gartengasse 12 CH- 4125 Riehen 18 August 2020 Dear Katrin Letter of appointment The board of directors (Board) of 4D pharma plc (Company) has appointed you as non-executive director. This letter sets out the terms of your appointment. If you are unhappy with any of the terms, or nee |
|
| February 8, 2021 |
Filed by 4D Pharma plc pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Form F-4 File No. |
|
| February 3, 2021 |
Filed by 4D Pharma plc pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Form F-4 File No. |
|
| January 28, 2021 |
Form of share certificate of 4D pharma plc ordinary share Exhibit 4.1 |
|
| January 28, 2021 |
TABLE OF CONTENTS As filed with the Securities and Exchange Commission on January 27, 2021 Registration No. |
|
| January 28, 2021 |
Exhibit 21.1 SUBSIDIARIES OF 4D PHARMA PLC. Name of Subsidiary Jurisdiction of Incorporation or Organization 4D Pharma Research Limited United Kingdom 4D Pharma Leon Sociedad Limitada Unipersonal Spain 4D Pharma Cork Limited Ireland 4D Pharma Delaware Incorporated Delaware Dolphin Merger Sub Limited British Virgin Islands |
|
| January 28, 2021 |
Service Agreement between Richard Avison and 4D pharma plc, dated November 1, 2017 EX-10.8 13 tm2036619d7ex10-8.htm EXHIBIT 10.8 Exhibit 10.8 Dated151 November2017 4D PHARMA PLC RICHARD AVISON Employment Contract Contents ClausePage Interpretation1 Term of Appointment2 Employee Warranties3 Duties3 Place of Work4 Hours of Work4 Salary5 8Expenses5 9Bon5 Holidays5 lncapacity6 Confidential Information6 Intellectual Property7 Payment in Lieu of Notice7 Termination Without Notice8 Gar |
|
| January 28, 2021 |
Service Agreement between Alexander Stevenson and 4D pharma plc, dated February 10, 2014 Exhibit 10.7 Dated ((} F6i>.at2014 40 PHARMA PLC ALEXANDER JAMES STEVENSON Service Agreement Schofield Sweeney LLP Springfield House 76 Wellington Street Leeds LS1 2AY Tel: 0113 220 6270 (Ref: LSD/3368.43) Contents ClausePage lnterpretation1 Term of Appointment2 Employee Warranties2 Duties3 Place of Work4 Hours of Work4 Salary4 Expenses5 Bonus5 Directors' and Officers' Insurance5 Holidays5 lncapac |
|
| January 28, 2021 |
650 Page Mill Road Palo Alto, CA 94304-1050 650.493.9300 650.493.6811 www.wsgr.com January 27, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attention: Kristin Lochhead Terence O?Brien Margaret Schwartz Laura Crotty Re: 4D Pharma plc Registration Statement on Form F-4/A Submitted January 8, 2 |
|
| January 28, 2021 |
Lease Agreement between Istituto Biomar and 4D Pharma Leon Exhibit 10.5 NONRESIDENTIAL LEASE AGREEMENT In Madrid , on April 7, 2016 Of the one part , INSTITUTO BIOMAR, S.A., a Spanish company, with registered office in Le6n (Spain), at Parque Tecnol6gico de Le6n, Pare M 10.4, 24009 Armunia , registered at the Le6n Conunercial Registry in volume 778, sheet 157, page LE-7540 and with tax identification number A24330292 (the "Lessor "), represented in this a |
|
| January 28, 2021 |
Service Agreement between Duncan Peyton and 4D pharma plc, dated February 10, 2014 Exhibit 10.6 Dated td2014 4D PHARMA PLC DUNCAN JOSEPH PEYTON Service Agreement Schofield Sweeney LLP Springfield House 76 Wellington Street Leeds LS1 2AY Tel: 0113 220 6270 (Ref: LSD/3368.43) Contents ClausePage lnterpretation1 Term of Appointment2 Employee Warranties2 Duties3 Place of Work4 Hours of Work4 Salary4 Expenses5 Bonus5 Directors' and Officers' Insurance5 Holidays5 lncapacity6 Confident |
|
| January 28, 2021 |
EX-10.4 9 tm2036619d7ex10-4.htm EXHIBIT 10.4 Exhibit 10.4 Date2017 • 4D PHARMA PLC • • • of Fifth Floor 9 Bond Court Leeds LS1 2JZ • I • • Macfarlanes LLP 20 Cursitor Street ILondon EC4A 1LT • • Clause CONTENTS Page 1 Definitions and interpretation 1 2 Demise and rents 4 3 Tenant's covenants 4 4 Landlord's covenants 4 5 Landlord's right to forfeit Lease 4 6 Exclusion of planning warranty 6 7 Misre |
|
| January 28, 2021 |
EX-4.2 5 tm2036619d7ex4-2.htm EXHIBIT 4.2 Exhibit 4.2 TABLE OF CONTENTS Page PARTIES 1 RECITALS 1 Section 1. Certain Definitions (a) ADR Register 1 (b) ADRs; Direct Registration ADRs 1 (c) ADS 1 (d) Beneficial Owner 1 (e) Custodian 2 (f) Deliver, execute, issue et al. 2 (g) Delivery Order 2 (h) Deposited Securities 2 (i) Direct Registration System 2 (j) Holder 2 (k) Securities Act of 1933 3 (l) Se |
|
| January 28, 2021 |
Articles of Association of 4D pharma plc, to be in effect upon the Closing of the Merger EX-3.2 3 tm2036619d7ex3-2.htm EXHIBIT 3.2 Exhibit 3.2 Company Number 8840579 THE Companies Act 2006 A PUBLIC Company Limited by Shares Articles of Association of 4D PHARMA PLC Incorporated on 10 January 2014 Adopted by special resolution on [•] 2021 Contents Clause Page 1 Exclusion of default or model articles 1 2 Definitions and interpretation 1 3 Limited Liability 4 4 Shares with special rights |
|
| January 28, 2021 |
4D pharma plc 2015 Long Term Incentive Plan and related forms EX-10.10 14 tm2036619d7ex10-10.htm EXHIBIT 10.10 Exhibit 10.10 4D Pharma plc 2015 Long Term Incentive Plan Adopted on 17 September 2015 KPMG LLP 1 The Embankment Neville Street Leeds, LS1 4DW 4D Pharma plc 2015 Long Term Incentive Plan KPMG LLP Contents 1 Interpretation 3 2 Grant of Options 7 3 Plan limits 10 4 Right to exercise Options 10 5 Change of Control and winding-up 13 6 Replacement Option |
|
| January 28, 2021 |
Exhibit 10.3 Exhibit 10.3 15/7068 Books of Council and Session Extract Registered 24 Feb 2015 AGREEMENT CONSTITUTING ALTERATION AND EXTENSION OF LEASE UNIVERSITY COURT OF THE UNIVERSITY OF ABERDEEN G T BIOLOGICS LIMITED 15/7068 Books of Council and Session Extract Registered 24 Feb 2015 AGREEMENT CONSTITUTING ALTERATION AND EXTEN,..S• ION OF LEASE '.· UNIVERSITY COURT OF THE UNIVERSITY OF ABERDEEN |
|
| January 28, 2021 |
Articles of Association of 4D pharma plc, as currently in effect Exhibit 3.1 L.:IE:....x:....h:....ib:....it:....3.....:.2:..... -· COMPANY NUMBER 8840579 THE COMPANIES ACT 2006 A PUBLIC COMPANY LIMITED BY SHARES ARTICLES OF ASSOCIATION OF 4D PHARMA PLC Adopted by special resolution passed on 5 February 2014 1111•R3117701So•11 RM07/02/2014#2 COMPANIES HOUSE Schofield Sweeney LLP Spnngfield House 76 Wellington Street Leeds LS1 2AY Tel 0113 26670 (Ref LSD/3368 43 |
|
| January 8, 2021 |
Form of lock-up agreement by and among 4D pharma plc and certain of 4D pharma’s shareholders Exhibit 10.11 Lock-Up Agreement October , 2020 4d pharma plc 9 Bond Court Leeds, LS1 2JZ United Kingdom Ladies and Gentlemen: As an inducement to 4D pharma plc (“Parent”) to enter into an agreement and plan of merger (the “Merger Agreement”) among Parent, Dolphin Merger Sub Limited (“Merger Sub”) and Longevity Acquisition Corporation (the “Company”), pursuant to which the Company becomes merged |
|
| January 8, 2021 |
TABLE OF CONTENTS As filed with the Securities and Exchange Commission on January 8, 2021 Registration No. |
|
| January 8, 2021 |
Exhibit 10.1 *** Certain information has been excluded from this agreement because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. STRATEGIC COLLABORATION AGREEMENT This Strategic Collaboration Agreement ("Agreement"), effective as of the 10th day of November, 2017 ("Effective Date"), is entered into by and between The University of Texas M. D. Anderson C |
|
| January 8, 2021 |
650 Page Mill Road Palo Alto, CA 94304-1050 PHONE 650.493.9300 FAX 650.493.6811 www.wsgr.com January 8, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attention: Kristin Lochhead Terence O?Brien Margaret Schwartz Laura Crotty Re: 4D Pharma plc Registration Statement on Form F-4 Submitted Novem |
|
| January 8, 2021 |
Insider Letter Agreement between Longevity and Longevity Initial Insiders dated August 28, 2018 Exhibit 9.2 August 28, 2018 Longevity Acquisition Corporation Yongda International Tower No. 2277 Longyang Road, Pudong District, Shanghai People’s Republic of China Matthew Chen, Chairman and Chief Executive Officer Cantor Fitzgerald & Co. 499 Park Avenue New York, New York 10022 Attn: General Counsel Re: Initial Public Offering Gentlemen: This letter is being delivered to you in accordance with |
|
| January 8, 2021 |
Exhibit 10.2 EXECUTION COPY RESEARCH COLLABORATION AND OPTION TO LICENSE AGREEMENT by and between 4D PHARMA PLC and MERCK SHARP & DOHME CORP. *** Certain information has been excluded from this agreement because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. EXECUTION COPY RESEARCH COLLABORATION AND OPTION TO LICENSE AGREEMENT This Agreement (this “Agree |
|
| December 21, 2020 |
Filed by 4D Pharma plc pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Form F-4 File No. |
|
| November 25, 2020 |
TABLE OF CONTENTS Exhibit 2.1 APPENDIX A EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among 4D PHARMA PLC, DOLPHIN MERGER SUB LIMITED and LONGEVITY ACQUISITION CORPORATION OCTOBER 21, 2020 TABLE OF CONTENTS TABLE OF CONTENTS ARTICLE I THE MERGER; CLOSING A-2 1.01 The Merger A-2 1.02 Effect on Outstanding Shares A-2 1.03 Organizational Documents A-3 1.04 Directors and Officers A-3 1.05 Dis |
|
| November 25, 2020 |
TABLE OF CONTENTS As filed with the Securities and Exchange Commission on November 25, 2020 Registration No. |
|
| November 25, 2020 |
Exhibit 2.2 ANCILLARY AGREEMENTS EXECUTION VERSION VOTING AND SUPPORT AGREEMENT This VOTING AND SUPPORT AGREEMENT (this “Agreement”), dated as of October 21, 2020, is by and between 4D pharma plc, a public limited company incorporated under the laws of England and Wales (“Parent”), and the Person set forth on Schedule A (the “Shareholder”). Capitalized terms used but not otherwise defined herein s |
|
| November 25, 2020 |
Exhibit 9.1 BRITISH VIRGIN ISLANDS BUSINESS COMPANIES ACT, 2004 — SECTION 179 179. (1) A member of a company is entitled to payment of the fair value of his shares upon dissenting from: (a) a merger, if the company is a constituent company, unless the company is the surviving corporation and the member continues to hold the same or similar shares; (b) a consolidation, if the company is a constitue |
|
| November 25, 2020 |
Exhibit 10.2 EXECUTION COPY RESEARCH COLLABORATION AND OPTION TO LICENSE AGREEMENT by and between 4D PHARMA PLC and MERCK SHARP & DOHME CORP. *** Certain information has been excluded from this agreement because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. EXECUTION COPY RESEARCH COLLABORATION AND OPTION TO LICENSE AGREEMENT This Agreement (this “Agree |
|
| November 25, 2020 |
Exhibit 10.1 *** Certain information has been excluded from this agreement because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. STRATEGIC COLLABORATION AGREEMENT This Strategic Collaboration Agreement ("Agreement"), effective as of the 10th day of November, 2017 ("Effective Date"), is entered into by and between The University of Texas M. D. Anderson C |
