Mga Batayang Estadistika
| CIK | 1809616 |
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 Universe Pharmaceuticals INC
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| September 3, 2025 |
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 2025 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-8 |
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| August 26, 2025 |
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 2025 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-8403 |
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| July 29, 2025 |
Exhibit 99.1 Universe Pharmaceuticals INC (an exempted company with limited liability incorporated in the Cayman Islands) (Nasdaq: UPC) NOTICE OF ANNUAL GENERAL MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT the annual general meeting (the “Meeting”) of the holders (the “shareholders”) of ordinary shares of par value US$11.25 each (the “Ordinary Shares”, each an “Ordinary Share”) in the capit |
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| July 29, 2025 |
Universe Pharmaceuticals INC (the “Company”) PROXY FOR 2025 ANNUAL MEETING OF SHAREHOLDERS Exhibit 99.2 Universe Pharmaceuticals INC (the “Company”) PROXY FOR 2025 ANNUAL MEETING OF SHAREHOLDERS The undersigned shareholder of the Company, hereby acknowledges receipt of the Notice of Annual General Meeting of shareholders (the “Meeting”) and the Proxy Statement, each dated July 29, 2025, and hereby appoints of or, if no person is otherwise specified, the chairman of the Meeting, as proxy |
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| July 29, 2025 |
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 2025 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-840330 |
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| July 3, 2025 |
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 2025 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-840330 |
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| April 29, 2025 |
Exhibit 4.10 [2025] J.N.S.H.J.L.Z. No.: 17138202503031003001 Working Capital Loan Contract Borrower Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Lender Ji’an Rural Communications Bank Co., Ltd.Jingkaiqu Branch Jiangxi Rural Commercial Bank Special Notice: In order to protect the legitimate rights and interests of the Borrower, the Lender hereby requests the Borrower to give full a |
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| April 29, 2025 |
Exhibit 4.8 Working Capital Loan Contract No.: 68 (2024) 248 Working Capital Loan Contract Bank of Communications Co., Ltd. Working Capital Loan Contract No.: 68 (2024) 248 Working Capital Loan Contract Important Notice The borrower is requested to read the full text of this contract carefully, especially the provisions marked with ▲▲. Please ask the Lender to explain in time in case of any doubt. |
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| April 29, 2025 |
Exhibit 15.1 福建省福州市台江区望龙二路1号国际金融中心（IFC）37层（350005） 电话：+86-591-87850803 传真：+86-591-87816904 37/F, IFC, No.1, Wanglong 2nd Avenue, Taijiang District, Fuzhou, Fujian 350005 P.R.China Tel：+86-591-87850803 Fax：+86-591-87816904 www.allbrightlaw.com April 29, 2025 To: Universe Pharmaceuticals INC P.O. Box 31119, Grand Pavillion, Hibiscus Way, 802 West Bay Road, Grand Cayman, KY1-1205, Cayman Islands Dear |
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| April 29, 2025 |
Exhibit 2.1 SHARE CERTIFICATE Number Shares Universe Pharmaceuticals INC 大自然藥業股份有限公司 THIS SHARE CERTIFICATE CERTIFIES THAT as of [Transfer date], [Name] of [Address] is the registered holder of [Number] fully paid Ordinary Share(s) of $11.25 par value per share in the above named Company which are held subject to, and transferable in accordance with, the Memorandum and Articles of Association of t |
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| April 29, 2025 |
Exhibit 12.2 CERTIFICATION OF THE CHIEF FINANCIAL OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Lin Yang, certify that: 1. I have reviewed this annual report on Form 20-F of Universe Pharmaceuticals INC (the “Company”); 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 stateme |
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| April 29, 2025 |
Exhibit 4.7 C22017 Contract No.: [A705558] Loan Contract (Applicable to online signing of working capital revolving loan for corporate customers of channels such as Internet Banking/“Little Giant” APP/ Bank of Beijing Corporate Banking APP) Borrower: Jiangxi Universe Pharmaceuticals Co., Ltd. Lender: Nanchang Branch of Bank of Beijing Co., Ltd. Date of Conclusion: July 3, 2024 In accordance with t |
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| April 29, 2025 |
Companies Act (Revised) Company Limited by Shares Exhibit 1.1 Companies Act (Revised) Company Limited by Shares AMENDED AND RESTATED memorandum of association OF UNIVERSE PHARMACEUTICALS INC 大自然藥業股份有限公司 (Adopted by special resolution passed on 1 March 2025 and unanimous written director resolutions passed on 20 February 2025, and made effective on 24 March 2025) Companies Act (Revised) Company Limited by Shares Amended and Restated Memorandum of |
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| April 29, 2025 |
Exhibit 4.9 [2025] L.L.N.S.H.L.J.Z. No.: 17229202504221003004 Working Capital Loan Contract Borrower Jiangxi Universe Pharmaceuticals Co., Ltd. Lender Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank Special Notice: In order to protect the legitimate rights and interests of the Borrower, the Lender hereby requests the Borrower to give full attention to all provisions co |
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| April 29, 2025 |
Exhibit 12.1 CERTIFICATION OF THE CHIEF EXECUTIVE OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Gang Lai, certify that: 1. I have reviewed this annual report on Form 20-F of Universe Pharmaceuticals INC (the “Company”); 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 stateme |
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| April 29, 2025 |
Exhibit 4.12 [2023] L.L.N.S.H.L.J.Z. No.: 17229202311231003001 Working Capital Loan Contract Borrower Jiangxi Universe Pharmaceuticals Co., Ltd. Lender Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank Special Notice: In order to protect the legitimate rights and interests of the Borrower, the Lender hereby requests the Borrower to give full attention to all provisions c |
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| April 29, 2025 |
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 September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT |
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| April 29, 2025 |
Exhibit 4.6 [2024] J.N.S.H.J.L.Z. No.: 17138202405171003001 Working Capital Loan Contract Borrower Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Lender Ji’an Rural Communications Bank Co., Ltd.Jingkaiqu Branch Jiangxi Rural Commercial Bank Special Notice: In order to protect the legitimate rights and interests of the Borrower, the Lender hereby requests the Borrower to give full at |
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| April 29, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 15.2 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in the Registration Statement on Form F-3 (File No. 333-268028) (“Registration Statement”) of our report dated April 29, 2025, relating to the consolidated financial statements of Universe Pharmaceuticals INC included in its annual report on Form 20-F for the years ended Septem |
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| April 29, 2025 |
Exhibit 13.2 CERTIFICATION OF THE CHIEF FINANCIAL OFFICER PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report of Universe Pharmaceuticals INC (the “Company”) on Form 20-F for the year ended September 30, 2024, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Lin Yang, Chief Financial Officer of the Company, certif |
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| April 29, 2025 |
Exhibit 13.1 CERTIFICATION OF THE CHIEF EXECUTIVE OFFICER PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report of Universe Pharmaceuticals INC (the “Company”) on Form 20-F for the year ended September 30, 2024, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Gang Lai, Chief Executive Officer of the Company, certif |
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| April 29, 2025 |
Exhibit 2.3 Description of Rights of Each Class of Securities Registered under Section 12 of the Securities Exchange Act of 1934, as Amended (the “Exchange Act”) The share capital of Universe Pharmaceuticals INC (“we,” “our,” “our company,” or “us”) is US$140,625,000 divided into 11,250,000 Ordinary Shares of par value US$11.25 each (“Ordinary Shares”) and 1,250,000 Preferred Shares of par value U |
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| April 29, 2025 |
Exhibit 4.11 Corporate Loan Contract No. 0100201202460236 Party A (Borrower): Jiangxi Universe Pharmaceuticals Co., Ltd. Address: No. 265, Jingjiu Avenue, Jinggangshan Economic and Technological Development Zone, Jiangxi Province Zip Code: 343000 Legal Representative/Person in Charge: Lai Gang Contact Person: Lai Gang Tel.: 13632301188 Fax: Email: Party B (Lender): Jizhou Zhujiang Rural Bank Co., |
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| March 20, 2025 |
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 2025 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-84033 |
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| March 20, 2025 |
Universe Pharmaceuticals INC Announces Share Consolidation Exhibit 99.1 Universe Pharmaceuticals INC Announces Share Consolidation Jiangxi, China, March 20, 2025 (GLOBE NEWSWIRE) - Universe Pharmaceuticals INC (NASDAQ: UPC) (“Universe Pharmaceuticals” or the “Company”), a pharmaceutical producer and distributor in China, today announced that the Company plans to effect a share consolidation of 40 ordinary shares with par value of US$0.28125 per share each |
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| March 11, 2025 |
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 2025 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-84033 |
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| March 3, 2025 |
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 2025 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-84033 |
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| February 25, 2025 |
Exhibit 99.1 Universe Pharmaceuticals INC Receives Staff Determination Notice from Nasdaq Related to Delayed Annual Report Ji’an, Jiangxi, China, Feb. 25, 2025 (GLOBE NEWSWIRE) - Universe Pharmaceuticals INC (the “Company”) (Nasdaq: UPC), a pharmaceutical producer and distributor in China, today announced that on February 19, 2025, the Company received a staff determination notice from the Listing |
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| February 25, 2025 |
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 2025 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-84 |
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| February 20, 2025 |
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 2025 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-84 |
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| February 18, 2025 |
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 2025 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-84 |
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| February 11, 2025 |
Exhibit 99.1 Universe Pharmaceuticals INC (incorporated in the Cayman Islands with limited liability) (Nasdaq: UPC) NOTICE OF EXTRAORDINARY GENERAL MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT the extraordinary general meeting (the “Meeting”) of shareholders of Universe Pharmaceuticals INC (the “Company”) will be held on March 1, 2025 at 10:00 a.m., Beijing Time at 265 Jingjiu Avenue, Jingg |
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| February 11, 2025 |
Universe Pharmaceuticals INC (the “Company”) PROXY FOR EXTRAORDINARY MEETING OF SHAREHOLDERS Exhibit 99.2 Universe Pharmaceuticals INC (the “Company”) PROXY FOR EXTRAORDINARY MEETING OF SHAREHOLDERS The undersigned shareholder of the Company, hereby acknowledges receipt of the Notice of Extraordinary General Meeting of shareholders (the “Meeting”) and the Proxy Statement, each dated February 11, 2025, and hereby appoints of or, if no person is otherwise specified, the chairman of the Meet |
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| February 11, 2025 |
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 2025 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-84 |
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| February 3, 2025 |
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 2025 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-84 |
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| February 3, 2025 |
Universe Pharmaceuticals INC Receives Nasdaq Delisting Notice Subject to Hearing Request Exhibit 99.1 Universe Pharmaceuticals INC Receives Nasdaq Delisting Notice Subject to Hearing Request Ji’an, Jiangxi, China, Feb. 03, 2025 (GLOBE NEWSWIRE) - Universe Pharmaceuticals INC (the “Company”) (Nasdaq: UPC), a pharmaceutical producer and distributor in China, today announced that the Company received a letter from the Nasdaq Stock Market LLC ("Nasdaq") on January 29, 2025, notifying the |
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| January 30, 2025 |
Universe Pharmaceuticals INC (the “Company”) PROXY FOR EXTRAORDINARY MEETING OF SHAREHOLDERS Exhibit 99.2 Universe Pharmaceuticals INC (the “Company”) PROXY FOR EXTRAORDINARY MEETING OF SHAREHOLDERS The undersigned shareholder of the Company, hereby acknowledges receipt of the Notice of Extraordinary General Meeting of shareholders (the “Meeting”) and the Proxy Statement, each dated January 30, 2025, and hereby appoints of or, if no person is otherwise specified, the chairman of the Meeti |
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| January 30, 2025 |
Exhibit 99.1 Universe Pharmaceuticals INC (incorporated in the Cayman Islands with limited liability) (Nasdaq: UPC) NOTICE OF EXTRAORDINARY GENERAL MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT the extraordinary general meeting (the “Meeting”) of shareholders of Universe Pharmaceuticals Inc (the “Company”) will be held on February 17, 2025 at 10:00 a.m., Beijing Time at 265 Jingjiu Avenue, J |
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| January 30, 2025 |
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 2025 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-840 |
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| January 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): ☐ Form 10-K ☒ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: September 30, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q For the Transition P |
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| December 12, 2024 |
WARRANT TO PURCHASE ORDINARY SHARES Universe Pharmaceuticals INC Exhibit 10.4 WARRANT TO PURCHASE ORDINARY SHARES Universe Pharmaceuticals INC Warrant Shares: [●] Initial Exercise Date: [●], 2024 Issue Date: [●], 2024 THIS WARRANT TO PURCHASE ORDINARY SHARES (the “Warrant”) certifies that, for value received, [●] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any |
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| December 12, 2024 |
Exhibit 10.1 PLACEMENT AGENCY AGREEMENT December 6, 2024 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Attn: Mr. Gang Lai, CEO Dear Mr. Lai: This letter (the “Agreement”) constitutes the agreement by and between Univest Securities, LLC (“Univest” or the “Placement Agent”) and Universe Pharmaceuticals INC, a Cayman Islands company (the “Com |
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| December 12, 2024 |
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 2024 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-84 |
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| December 12, 2024 |
Exhibit 10.2 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of December 6, 2024, between Universe Pharmaceuticals INC, a company organized under the laws of Cayman Islands (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS |
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| December 12, 2024 |
Universe Pharmaceuticals INC Announces $15 Million Registered Direct Offering Exhibit 99.1 Universe Pharmaceuticals INC Announces $15 Million Registered Direct Offering Jiangxi, China, Dec. 09, 2024 (GLOBE NEWSWIRE) - Universe Pharmaceuticals INC (Nasdaq: UPC) (“Universe Pharmaceuticals” or the “Company”), a pharmaceutical producer and distributor in China today announced that it has entered into a definitive agreement with several investors for the purchase and sale of an |
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| December 12, 2024 |
PRE-FUNDED ORDNIARY SHARE PURCHASE WARRANT Universe Pharmaceuticals INC Exhibit 10.3 PRE-FUNDED ORDNIARY SHARE PURCHASE WARRANT Universe Pharmaceuticals INC Warrant Shares: Initial Exercise Date: , 2024 THIS PRE-FUNDED ORDINARY SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after th |
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| December 9, 2024 |
Filed pursuant to Rule 424(b)(5) Registration No. 333-268028 Prospectus Supplement (To Prospectus dated November 15, 2022) 388,000 Ordinary Shares 18,362,000 Pre-funded Warrants to Purchase 18,362,000 Ordinary Shares (and up to 18,362,000 Ordinary Shares issuable upon the exercise of Pre-funded Warrants) and 18,750,000 Common Warrants to Purchase 18,750,000 Ordinary Shares (and up to 18,750,000 Or |
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| November 13, 2024 |
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 2024 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-84 |
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| November 13, 2024 |
Universe Pharmaceuticals INC Announces Share Consolidation Exhibit 99.1 Universe Pharmaceuticals INC Announces Share Consolidation Jiangxi, China, November 13, 2024 (GLOBE NEWSWIRE) – Universe Pharmaceuticals INC (NASDAQ: UPC) (“Universe Pharmaceuticals” or the “Company”), a pharmaceutical producer and distributor in China, today announced that the Company plans to effect a share consolidation of 15 ordinary shares with par value of US$0.01875 per share e |
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| November 1, 2024 |
Universe Pharmaceuticals INC Receives Nasdaq Notification Regarding Minimum Bid Price Deficiency Exhibit 99.1 Universe Pharmaceuticals INC Receives Nasdaq Notification Regarding Minimum Bid Price Deficiency Ji’an, Jiangxi, China, Nov. 01, 2024 (GLOBE NEWSWIRE) - Universe Pharmaceuticals INC (the “Company”) (Nasdaq: UPC), a pharmaceutical producer and distributor in China, today announced that the Company received a written notification (the “Notification Letter”) from the Nasdaq Stock Market |
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| November 1, 2024 |
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 2024 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-84 |
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| October 10, 2024 |
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 2024 Commission File Number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-840 |
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| October 10, 2024 |
Exhibit 99.1 October 10, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Universe Pharmaceuticals INC. CIK Number: 0001809616 Dear Sir or Madam: We have read Form 6-K dated October 10, 2024 of Universe Pharmaceuticals INC. (“the Registrant”) and are in agreement with the statements contained therein as it pertains to our firm. We have no basis to agree or disa |
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| September 27, 2024 |
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 2024 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-8 |
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| September 20, 2024 |
Universe Pharmaceuticals INC Reports Financial Results for The First Six Months of Fiscal Year 2024 Exhibit 99.3 Universe Pharmaceuticals INC Reports Financial Results for The First Six Months of Fiscal Year 2024 JI’AN, Jiangxi, China, Sept. 19, 2024 (GLOBE NEWSWIRE) - Universe Pharmaceuticals INC (the “Company,” “we,” “our” and “us”) (Nasdaq: UPC), a pharmaceutical producer and distributor in China, today announced its unaudited financial results for the first six months of fiscal year 2024 end |
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| September 20, 2024 |
UNIVERSE PHARMACEUTICALS INC AND SUBSIDIARIES CONDENSED CONSOLIDATED BALANCE SHEETS Exhibit 99.1 UNIVERSE PHARMACEUTICALS INC AND SUBSIDIARIES CONDENSED CONSOLIDATED BALANCE SHEETS As of March 31, 2024 September 30, 2023 (Unaudited) ASSETS CURRENT ASSETS Cash $ 8,861,590 $ 5,285,247 Short-term investments 2,527,603 13,219,005 Accounts receivable, net 14,384,228 10,667,603 Due from related parties - 61,678 Inventories, net 3,386,052 3,343,266 Advance to suppliers 368,960 180,643 P |
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| September 20, 2024 |
MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATION Exhibit 99.2 MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATION The following discussion and analysis of our financial condition and results of operations should be read in conjunction with our unaudited condensed consolidated financial statements and related notes that appear elsewhere in the report on Form 6-K of which this document is a part. In addition to his |
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| September 20, 2024 |
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 2024 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-8 |
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| September 3, 2024 |
Exhibit 99.1 Universe Pharmaceuticals INC (incorporated in the Cayman Islands with limited liability) (Nasdaq: UPC) NOTICE OF ANNUAL GENERAL MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT the annual general meeting (the “Meeting”) of holders of ordinary shares of par value US$0.01875 each (the “Ordinary Shares”) (the “shareholders”) in the capital of Universe Pharmaceuticals Inc (the “Company |
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| September 3, 2024 |
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 2024 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-8403 |
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| September 3, 2024 |
Universe Pharmaceuticals INC (the “Company”) PROXY FOR 2024 ANNUAL MEETING OF SHAREHOLDERS Exhibit 99.2 Universe Pharmaceuticals INC (the “Company”) PROXY FOR 2024 ANNUAL MEETING OF SHAREHOLDERS The undersigned shareholder of the Company, hereby acknowledges receipt of the Notice of Annual General Meeting of shareholders (the “Meeting”) and the Proxy Statement, each dated September 3, 2024, and hereby appoints of or, if no person is otherwise specified, the chairman of the Meeting, as p |
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| July 18, 2024 |
6-K 1 ea0209657-6kuniverse.htm REPORT OF FOREIGN PRIVATE 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 July 2024 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technologic |
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| June 25, 2024 |
20,000,000 Ordinary Shares Universe Pharmaceuticals INC 424B4 1 ea0208459-424b4universe.htm PROSPECTUS Filed pursuant to Rule 424(b)(4) Registration No. 333-278914 20,000,000 Ordinary Shares Universe Pharmaceuticals INC This prospectus relates to the offer and sale of an aggregate of 20,000,000 ordinary shares, par value US$0.01875 per share (the “ordinary shares”), of Universe Pharmaceuticals INC (the “Company”) at an offering price of US$1.25 per sha |
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| June 5, 2024 |
Universe Pharmaceuticals INC June 5, 2024 Via EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, NE Washington, D.C., 20549 Re: Universe Pharmaceuticals INC Registration Statement on Form F-1, as amended (File No. 333-278914) Request for Acceleration of Effectiveness Ladies and Gentlemen: In accordance with Rule 461 of the General Ru |
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| May 14, 2024 |
Universe Pharmaceuticals INC May 14, 2024 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, DC 20549 Re: Universe Pharmaceuticals INC Registration Statement on Form F-1 Filed April 24, 2024 File No. 333-278914 Ladies and Gentlemen: Universe Pharmaceuticals INC (the “Company”, “we”, “us” or “our”) hereby transmit |
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| May 14, 2024 |
As filed with the U.S. Securities and Exchange Commission on May 14, 2024. As filed with the U.S. Securities and Exchange Commission on May 14, 2024. Registration No. 333-278914 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Universe Pharmaceuticals INC (Exact name of registrant as specified in its charter) Cayman Islands 2834 Not Applicable (State or other jurisd |
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| April 24, 2024 |
As filed with the U.S. Securities and Exchange Commission on April 24, 2024. As filed with the U.S. Securities and Exchange Commission on April 24, 2024. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Universe Pharmaceuticals INC (Exact name of registrant as specified in its charter) Cayman Islands 2834 Not Applicable (State or other jurisdiction of incorporation |
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| April 24, 2024 |
Exhibit 107 Calculation of Filing Fee Tables F-1 (Form Type) Universe Pharmaceuticals INC (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Proposed Maximum Aggregate Offering Price (1) Fee Rate Amount of Registration Fee Fees to be Paid Equity Ordinary shares, par value $0. |
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| April 24, 2024 |
Exhibit 10.1 Subscription Agreement This subscription agreement (this “Subscription”) is dated , 2024, by and between the investor identified on the signature page hereto (the “Investor”) and Universe Pharmaceuticals INC, a Cayman Islands exempted company (the “Company”). The parties agree as follows: 1. Subscription. Investor agrees to buy and the Company agrees to issue and sell to Investor such |
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| February 7, 2024 |
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 2024 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-84 |
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| January 30, 2024 |
Exhibit 13.2 CERTIFICATION OF THE CHIEF FINANCIAL OFFICER PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report of Universe Pharmaceuticals INC (the “Company”) on Form 20-F for the year ended September 30, 2023, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Lin Yang, Chief Financial Officer of the Company, certif |
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| January 30, 2024 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 15.2 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in the Registration Statement on Form F-3 (File No. 333-268028) (“Registration Statement”) of our report dated January 29, 2024, relating to the consolidated financial statements of Universe Pharmaceuticals INC included in its annual report on Form 20-F for the years ended Sept |
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| January 30, 2024 |
Exhibit 4.10 C22017 Contract No.: [A035950] Loan Contract (Applicable to online signing of working capital revolving loan for corporate customers of channels such as Internet Banking/“Little Giant” APP/ Bank of Beijing Corporate Banking APP) Borrower: Jiangxi Universe Pharmaceuticals Co., Ltd. Lender: Nanchang Branch of Bank of Beijing Co., Ltd. Date of Conclusion: July 18, 2023 In accordance with |
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| January 30, 2024 |
Exhibit 12.2 CERTIFICATION OF THE CHIEF FINANCIAL OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Lin Yang, certify that: 1. I have reviewed this annual report on Form 20-F of Universe Pharmaceuticals INC (the “Company”); 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 stateme |
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| January 30, 2024 |
Exhibit 13.1 CERTIFICATION OF THE CHIEF EXECUTIVE OFFICER PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report of Universe Pharmaceuticals INC (the “Company”) on Form 20-F for the year ended September 30, 2023, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Gang Lai, Chief Executive Officer of the Company, certif |
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| January 30, 2024 |
Exhibit 2.3 Description of Rights of Each Class of Securities Registered under Section 12 of the Securities Exchange Act of 1934, as Amended (the “Exchange Act”) The share capital of Universe Pharmaceuticals INC (“we,” “our,” “our company,” or “us”) is US$3,125,000 divided into 150,000,000 Ordinary Shares of par value US$0.01875 each (“Ordinary Shares”) and 16,666,666.6666 Preferred Shares of par |
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| January 30, 2024 |
UNIVERSE PHARMACEUTICALS INC COMPENSATION RECOVERY POLICY Effective November 30, 2023 Exhibit 97.1 UNIVERSE PHARMACEUTICALS INC COMPENSATION RECOVERY POLICY Effective November 30, 2023 In accordance with Section 10D of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), Exchange Act Rule 10D-1, and the listing standards of the national securities exchange (the “Exchange”) on which the securities of Universe Pharmaceuticals INC (the “Company”) are listed, the Compa |
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| January 30, 2024 |
Insider Trading Compliance Manual UNIVERSE PHARMACEUTICALS INC Adopted March 19, 2021 Exhibit 11.2 Insider Trading Compliance Manual UNIVERSE PHARMACEUTICALS INC Adopted March 19, 2021 In order to take an active role in the prevention of insider trading violations by its officers, directors, employees, consultants, advisors and other related individuals, the Board of Directors (the “Board”) of Universe Pharmaceuticals INC, a company incorporated under the laws of the Cayman Islands |
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| January 30, 2024 |
Exhibit 1.1 Companies Act (Revised) Company Limited by Shares FOURTH AMENDED AND RESTATED MEMORANDUM OF ASSOCIATION OF UNIVERSE PHARMACEUTICALS INC 大自然藥業股份有限公司 (Adopted by special resolution passed on 2 July 2023 and made effective on 27 July 2023) Companies Act (Revised) Company Limited by Shares Fourth Amended and Restated Memorandum of Association of Universe Pharmaceuticals INC 大自然藥業股份有限公司 (Ad |
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| January 30, 2024 |
Exhibit 2.1 SHARE CERTIFICATE Number Shares Universe Pharmaceuticals INC 大自然藥業股份有限公司 THIS SHARE CERTIFICATE CERTIFIES THAT as of [Transfer date], [Name] of [Address] is the registered holder of [Number] fully paid Ordinary Share(s) of $0.01875 par value per share in the above named Company which are held subject to, and transferable in accordance with, the Memorandum and Articles of Association of |
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| January 30, 2024 |
Exhibit 4.7 [2023] L.L.N.S.H.L.J.Z. No.: 17229202306151003001 Working Capital Loan Contract Borrower Jiangxi Universe Pharmaceuticals Co., Ltd. Lender Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank Special Notice: In order to protect the legitimate rights and interests of the Borrower, the Lender hereby requests the Borrower to give full attention to all provisions co |
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| January 30, 2024 |
Exhibit 4.8 Working Capital Loan Contract No.: 68 (2023) 162 Working Capital Loan Contract Bank of Communications Co., Ltd. Working Capital Loan Contract No.: Working Capital Loan Contract Important Notice The borrower is requested to read the full text of this contract carefully, especially the provisions marked with ▲▲. Please ask the Lender to explain in time in case of any doubt. In view of th |
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| January 30, 2024 |
Exhibit 15.1 福建省福州市台江区望龙二路1号国际金融中心（IFC）37层（350005） 电话：+86-591-87850803 传真：+86-591-87816904 37/F, IFC, No.1, Wanglong 2nd Avenue, Taijiang District, Fuzhou, Fujian 350005 P.R.China Tel：+86-591-87850803 Fax：+86-591-87816904 www.allbrightlaw.com January 30, 2024 To: Universe Pharmaceuticals INC 265 Jingjiu Avenue, Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi Province People |
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| January 30, 2024 |
Exhibit 12.1 CERTIFICATION OF THE CHIEF EXECUTIVE OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Gang Lai, certify that: 1. I have reviewed this annual report on Form 20-F of Universe Pharmaceuticals INC (the “Company”); 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 stateme |
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| January 30, 2024 |
Exhibit 4.6 [2023] L.L.N.S.H.L.J.Z. No.: 17229202303131003001 Working Capital Loan Contract Borrower Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Lender Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank Special Notice: In order to protect the legitimate rights and interests of the Borrower, the Lender hereby requests the Borrower to give full attention t |
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| January 30, 2024 |
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 September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT |
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| January 30, 2024 |
Exhibit 4.11 Corporate Loan Contract No. 0100201202360121 Party A (Borrower): Jiangxi Universe Pharmaceuticals Co., Ltd. Address: No. 265, Jingjiu Avenue, Jinggangshan Economic and Technological Development Zone, Jiangxi Province Zip Code: 343000 Legal Representative/Person in Charge: Lai Gang Contact Person: Lai Gang Tel.: 13632301188 Fax: Email: Party B (Lender): Jizhou Zhujiang Rural Bank Co., |
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| August 31, 2023 |
MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATION Exhibit 99.2 MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATION The following discussion and analysis of our financial condition and results of operations should be read in conjunction with our unaudited condensed consolidated financial statements and related notes that appear elsewhere in the report on Form 6-K of which this document is a part. In addition to his |
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| August 31, 2023 |
UNIVERSE PHARMACEUTICALS INC. AND SUBSIDIARIES CONDENSED CONSOLIDATED BALANCE SHEETS Exhibit 99.1 UNIVERSE PHARMACEUTICALS INC. AND SUBSIDIARIES CONDENSED CONSOLIDATED BALANCE SHEETS (UNAUDITED) As of March 31, 2023 September 30, 2022 ASSETS CURRENT ASSETS Cash $ 12,954,516 $ 5,711,458 Short-term investments 13,314,902 13,148,594 Accounts receivable, net 17,519,268 15,183,890 Inventories, net 2,868,248 2,206,488 Advance to suppliers 207,719 16,701 Prepayment for acquisition 3,640, |
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| August 31, 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 August 2023 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-8403 |
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| August 16, 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 August 2023 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-8403 |
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| August 4, 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 August 2023 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-8403 |
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| August 4, 2023 |
Exhibit 99.1 Universe Pharmaceuticals INC Announces Receipt of Nasdaq Notification Regarding Minimum Market Value of Publicly Held Shares Jiangxi, China, August 4, 2023 (GLOBE NEWSWIRE) – Universe Pharmaceuticals INC (NASDAQ: UPC) (“Universe Pharmaceuticals” or the “Company”), a pharmaceutical producer and distributor in China, today announced that the Company received a written notification (the |
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| July 27, 2023 |
Universe Pharmaceuticals INC Announces Share Consolidation Exhibit 99.1 Universe Pharmaceuticals INC Announces Share Consolidation Jiangxi, China, July 27, 2023 (GLOBE NEWSWIRE) – Universe Pharmaceuticals INC (NASDAQ: UPC) (“Universe Pharmaceuticals” or the “Company”), a pharmaceutical producer and distributor in China, today announced that the Company plans to effect a share consolidation of six (6) ordinary shares with par value of $0.003125 per share e |
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| July 27, 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 July 2023 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-840330 |
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| July 5, 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 July 2023 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-840330 |
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| May 24, 2023 |
Exhibit 99.1 Universe Pharmaceuticals INC (incorporated in the Cayman Islands with limited liability) (Nasdaq: UPC) NOTICE OF ANNUAL GENERAL MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT the annual general meeting (the “Meeting”) of holders of ordinary shares (the “Ordinary Shares”) (the “shareholders”) of (the “Company”) will be held on July 3, 2023, at 10:00 a.m., Beijing Time at 265 Jingj |
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| May 24, 2023 |
Universe Pharmaceuticals INC (the “Company”) PROXY FOR 2023 ANNUAL MEETING OF SHAREHOLDERS Exhibit 99.2 Universe Pharmaceuticals INC (the “Company”) PROXY FOR 2023 ANNUAL MEETING OF SHAREHOLDERS The undersigned shareholder of the Company, hereby acknowledges receipt of the Notice of Annual General Meeting of shareholders (the “Meeting”) and the Proxy Statement, each dated May 24, 2023, and hereby appoints of or, if no person is otherwise specified, the chairman of the Meeting, as proxy, |
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| May 24, 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 May 2023 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-8403309 |
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| May 5, 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 May 2023 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-8403309 |
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| February 10, 2023 |
Exhibit 13.1 CERTIFICATION OF THE CHIEF EXECUTIVE OFFICER PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report of Universe Pharmaceuticals INC (the “Company”) on Form 20-F for the year ended September 30, 2022, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Gang Lai, Chief Executive Officer of the Company, certif |
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| February 10, 2023 |
Exhibit 15.2 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form F-3 (“Registration Statement”) of our report dated February 10, 2023, relating to the consolidated financial statements of Universe Pharmaceuticals INC included in its annual report (Form 20-F) for the years ended September 30, 2022 and 20 |
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| February 10, 2023 |
Exhibit 4.11 [2022] L.L.N.S.H.L.J.Z. No.: 17229202203141003001 Working Capital Loan Contract Borrower Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Lender Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank 1 Special Notice: In order to protect the legitimate rights and interests of the Borrower, the Lender hereby requests the Borrower to give full attentio |
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| February 10, 2023 |
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 September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT |
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| February 10, 2023 |
Exhibit 4.12 [2022] L.L.N.S.H.L.J.Z. No.: 17229202206151003001 Working Capital Loan Contract Borrower Jiangxi Universe Pharmaceuticals Co., Ltd. Lender Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank Special Notice: In order to protect the legitimate rights and interests of the Borrower, the Lender hereby requests the Borrower to give full attention to all provisions c |
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| February 10, 2023 |
Exhibit 4.14 Letter of Intent for Equity Transfer Transferee: Jiangxi Universe Pharmaceuticals Co., Ltd. (hereinafter referred to as “Party A”) Unified Social Credit Code: [Redacted] Address: No.265, Jingjiu Avenue, Jinggangshan Economic and Technological Development Zone, Ji’an County, Ji’an City Transferor: Liu Xibo (hereinafter referred to as “Party B”) ID Card No.: [Redacted]) Address: No. 8, |
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| February 10, 2023 |
Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Exhibit 12.1 CERTIFICATION OF THE CHIEF EXECUTIVE OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Gang Lai, certify that: 1. I have reviewed this annual report on Form 20-F of Universe Pharmaceuticals INC (the “Company”); 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 stateme |
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| February 10, 2023 |
Exhibit 15.3 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference to the Registration Statement on Form F-3 of our report dated February 24, 2021, with respect to the consolidated balance sheet of Universe Pharmaceuticals Inc. as of September 30, 2020, and the related consolidated statements of income and comprehensive income, changes in shar |
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| February 10, 2023 |
Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Exhibit 12.2 CERTIFICATION OF THE CHIEF FINANCIAL OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Lin Yang, certify that: 1. I have reviewed this annual report on Form 20-F of Universe Pharmaceuticals INC (the “Company”); 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 stateme |
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| February 10, 2023 |
Consent of AllBright Law Offices (Fuzhou) Exhibit 15.1 10 February, 2023 To: Universe Pharmaceuticals INC 265 Jingjiu Avenue, Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi Province People’s Republic of China Dear Sir/Madam, We hereby consent to the references to our firm’s name under the headings “Item 3 Key Information—D. Risk Factors—Risks Related to Doing Business in China” and “Item 10. Additional Information |
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| February 10, 2023 |
Exhibit 2.3 Description of Rights of Each Class of Securities Registered under Section 12 of the Securities Exchange Act of 1934, as Amended (the “Exchange Act”) The share capital of Universe Pharmaceuticals INC (“we,” “our,” “our company,” or “us”) is US$312,500 divided into 90,000,000 Ordinary Shares of par value US$0.003125 each (“Ordinary Shares”) and 10,000,000 Preferred Shares of par value U |
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| February 10, 2023 |
Exhibit 13.2 CERTIFICATION OF THE CHIEF FINANCIAL OFFICER PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report of Universe Pharmaceuticals INC (the “Company”) on Form 20-F for the year ended September 30, 2022, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Lin Yang, Chief Financial Officer of the Company, certif |
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| February 10, 2023 |
Exhibit 4.13 Working Capital Loan Contract No.: 68 (2022) 176 Working Capital Loan Contract Bank of Communications Co., Ltd. Working Capital Loan Contract No.: Working Capital Loan Contract Important Notice The borrower is requested to read the full text of this contract carefully, especially the provisions marked with ▲▲. Please ask the Lender to explain in time in case of any doubt. In view of t |
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| January 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): ☐ Form 10-K ☒ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: September 30, 2022 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q For the Transition P |
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| November 14, 2022 |
Universe Pharmaceuticals INC Regains Compliance with Nasdaq Minimum Bid Price Requirement Exhibit 99.1 Universe Pharmaceuticals INC Regains Compliance with Nasdaq Minimum Bid Price Requirement Ji’an, Jiangxi, China, November 14, 2022 (GLOBE NEWSWIRE) - Universe Pharmaceuticals INC (the “Company”) (Nasdaq: UPC), a pharmaceutical producer and distributor in China, today announced that the Company received a written notification (the “Notification Letter”) from the Listing Qualifications |
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| November 14, 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: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-84 |
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| October 27, 2022 |
Exhibit 3.1 Companies Act (Revised) Company Limited by Shares SECOND AMENDED AND RESTATED memorandum of association OF UNIVERSE PHARMACEUTICALS INC 大自然藥業股份有限公司 (Adopted by special resolution passed on 23 September 2022) www.verify.gov.ky File#: 358442 Filed: 05-Oct-2022 16:31 EST Auth Code: E23523445702 Companies Act (Revised) Company Limited by Shares Second Amended and Restated Memorandum of Ass |
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| October 27, 2022 |
Exhibit 4.7 UNIVERSE PHARMACEUTICALS INC (the “Issuer”) AND [TRUSTEE] (the “Trustee”) INDENTURE Dated as of [●], 20[●] Subordinated Debt Securities TABLE OF CONTENTS ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 4 Section 2.01 Designation and Terms of Securities 4 Section 2.02 Form of Securities a |
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| October 27, 2022 |
Exhibit 107 Calculation of Filing Fee Tables FORM F-3 (Form Type) Universe Pharmaceuticals INC (Exact Name of Registrant as Specified in its Charter) Not Applicable (Translation of Registrant’s Name into English) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit (2) Maximum Aggregate Offering Price (3) Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial effective date Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to Be Paid Equity Ordinary Shares, par value US$0. |
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| October 27, 2022 |
As filed with the U.S. Securities and Exchange Commission on October 27, 2022 As filed with the U.S. Securities and Exchange Commission on October 27, 2022 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 UNIVERSE PHARMACEUTICALS INC (Exact name of registrant as specified in its charter) Cayman Islands Not Applicable (State or other jurisdiction of incorporation or |
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| October 27, 2022 |
Exhibit 4.6 Universe Pharmaceuticals INC (the “Issuer”) AND [TRUSTEE] (the “Trustee”) INDENTURE Dated as of [●], 20[●] Senior Debt Securities TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 4 Section 2.01 Designation and Terms of Securities 4 Section 2.02 Form of Securities an |
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| September 28, 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: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji?an, Jiangxi, China 343100 +86-0796-8 |
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| August 29, 2022 |
Exhibit 99.1 Universe Pharmaceuticals INC (incorporated in the Cayman Islands with limited liability) (Nasdaq: UPC) NOTICE OF ANNUAL GENERAL MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT the annual general meeting (the ?Meeting?) of holders of ordinary shares (the ?Ordinary Shares?) (the ?shareholders?) of (the ?Company?) will be held on September 23, 2022, at 10:00 a.m., Beijing Time at 265 |
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| August 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 August 2022 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji?an, Jiangxi, China 343100 +86-0796-8403 |
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| August 29, 2022 |
Universe Pharmaceuticals INC (the “Company”) PROXY FOR 2022 ANNUAL MEETING OF SHAREHOLDERS Exhibit 99.2 Universe Pharmaceuticals INC (the ?Company?) PROXY FOR 2022 ANNUAL MEETING OF SHAREHOLDERS The undersigned shareholder of the Company, hereby acknowledges receipt of the Notice of Annual General Meeting of shareholders (the ?Meeting?) and the Proxy Statement, each dated August 29, 2022, and hereby appoints of or, if no person is otherwise specified, the chairman of the Meeting, as pro |
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| August 16, 2022 |
Universe Pharmaceuticals INC Reports Financial Results for The First Six Months of Fiscal Year 2022 Exhibit 99.3 Universe Pharmaceuticals INC Reports Financial Results for The First Six Months of Fiscal Year 2022 Ji?an, Jiangxi, China, August 16, 2022 /PRNewswire/ - Universe Pharmaceuticals INC (the ?Company?) (Nasdaq: UPC), a pharmaceutical producer and distributor in China, today announced its unaudited financial results for the first six months of fiscal year 2022 ended March 31, 2022. Mr. Ga |
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| August 16, 2022 |
INDEX TO FINANCIAL STATEMENTS UNIVERSE PHARMACEUTICALS INC. AND SUBSIDIARIES TABLE OF CONTENTS Exhibit 99.1 INDEX TO FINANCIAL STATEMENTS UNIVERSE PHARMACEUTICALS INC. AND SUBSIDIARIES TABLE OF CONTENTS Consolidated Financial Statements Unaudited Condensed Consolidated Balance Sheets as of March 31, 2022 and September 30, 2021 F-2 Unaudited Condensed Consolidated Statements of Income and Comprehensive Income for the six months ended March 31, 2022 and 2021 F-3 Unaudited Condensed Consolidat |
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| August 16, 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: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji?an, Jiangxi, China 343100 +86-0796-8403 |
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| August 16, 2022 |
MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATION Exhibit 99.2 MANAGEMENT?S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATION The following discussion and analysis of our financial condition and results of operations should be read in conjunction with our consolidated financial statements and related notes that appear elsewhere in the report on Form 6-K of which this document is a part. In addition to historical consolidated |
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| July 19, 2022 |
Universe Pharmaceuticals INC Receives Nasdaq Notification Regarding Minimum Bid Price Deficiency Exhibit 99.1 Universe Pharmaceuticals INC Receives Nasdaq Notification Regarding Minimum Bid Price Deficiency Ji?an, Jiangxi, China, July 19, 2022 (GLOBE NEWSWIRE) - Universe Pharmaceuticals INC (the ?Company?) (Nasdaq: UPC), a pharmaceutical producer and distributor in China, today announced that the Company received a written notification (the ?Notification Letter?) from the Nasdaq Stock Market |
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| July 19, 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: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji?an, Jiangxi, China 343100 +86-0796-840330 |
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| February 11, 2022 |
UPC / Universe Pharmaceuticals Inc / Sununion Holding Group Ltd - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* Universe Pharmaceuticals INC (Name of Issuer) Ordinary shares, $0.003125 par value per share (Title of Class of Se |
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| February 11, 2022 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the ordinary s |
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| January 31, 2022 |
Exhibit 4.16 No.: Working Capital Loan Contract Bank of Communications Co., Ltd. No.: Working Capital Loan Contract Important Notice The borrower is requested to read the full text of this contract carefully, especially the provisions marked with ??. Please ask the Lender to explain in time in case of any doubt. In view of the Borrower?s application for working capital loan line of credit from the |
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| January 31, 2022 |
Exhibit 4.13 Real Estate Property Purchase Agreement Party A: Jiangxi Yueshang Investment Co., Ltd. Unified Social Credit Code: Legal Representative: Huang Baohua Tel.: Address: 1/F, Jianshe Building, No. 6, Ji?an South Avenue, Ji?an Party B: Jiangxi Universe Pharmaceuticals Co., Ltd. Social Unified Code: Legal Representative: LAI Gang Tel.: Address: No. 265, Jingjiu Avenue, Jinggangshan Economic |
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| January 31, 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: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji?an, Jiangxi, China 343100 +86-0796-840 |
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| January 31, 2022 |
Exhibit 4.17 Advertising Service Agreement 1/8 Party A: Jiangxi Universe Pharmaceuticals Co., Ltd. Party B: Guangdong Fengyang Legend Marketing Consultant Co., Ltd. Legal Representative: Lai Gang Legal Representative: Zhou Manyi Legal Address: No. 265, Jingjiu Avenue, Jinggangshan Economic and Technological Development Zone, Ji?an City, Jiangxi Province Business Address: Room 105-63664 (centralize |
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| January 31, 2022 |
Universe Pharmaceuticals INC Reports Fiscal Year 2021 Financial Results Exhibit 99.1 Universe Pharmaceuticals INC Reports Fiscal Year 2021 Financial Results Ji?an, Jiangxi, China, January 31, 2022 (GLOBE NEWSWIRE) - Universe Pharmaceuticals INC (the ?Company?) (Nasdaq: UPC), a pharmaceutical producer and distributor in China, today announced its financial results for the fiscal year ended September 30, 2021. Mr. Gang Lai, Chairman and CEO of Universe Pharmaceuticals I |
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| January 31, 2022 |
Exhibit 4.15 (GF-2021-0201) Contract No.: 20210625 Construction Agreement (? Original ? Copy) Supervised by Ministry of Housing and Urban-Rural Development of the People?s Republic of China State Administration for Industry and Commerce Part I Contract Agreement Client (Full Name): Jiangxi Universe Pharmaceuticals Co., Ltd. Contractor (Full Name): Jiangxi Chenyuan Construction Project Co., Ltd. In |
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| January 31, 2022 |
Consent of AllBright Law Offices Exhibit 15.1 ????????????? 1 ????????IFC?37 ??350005? ???+86-591-87850803 ???+86-591-87816904 37/F, IFC, No.1, Wanglong 2nd Avenue, Taijiang District, Fuzhou, Fujian 350005 P.R.China Tel?+86-591-87850803 Fax?+86-591-87816904 www.allbrightlaw.com 31 January, 2022 To: Universe Pharmaceuticals INC 265 Jingjiu Avenue, Jinggangshan Economic and Technological Development Zone Ji?an, Jiangxi Province Peo |
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| January 31, 2022 |
Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Exhibit 12.2 CERTIFICATION OF THE CHIEF FINANCIAL OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Lin Yang, certify that: 1. I have reviewed this annual report on Form 20-F of Universe Pharmaceuticals INC (the “Company”); 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 stateme |
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| January 31, 2022 |
Exhibit 4.12 [2021] L.L.N.S.H.L.J.Z. No. 172292021031810030001 Working Capital Loan Contract Borrower Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Lender Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank Special Notice: In order to protect the legitimate rights and interests of the Borrower, the Lender hereby requests the Borrower to give full attention |
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| January 31, 2022 |
Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Exhibit 12.1 CERTIFICATION OF THE CHIEF EXECUTIVE OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Gang Lai, certify that: 1. I have reviewed this annual report on Form 20-F of Universe Pharmaceuticals INC (the “Company”); 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 stateme |
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| January 31, 2022 |
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 September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT |
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| January 31, 2022 |
Exhibit 4.14 [2021] L.L.N.S.H.L.J.Z. No.: 17229202106161003001 Working Capital Loan Contract Borrower Jiangxi Universe Pharmaceuticals Co., Ltd. Lender Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank 1 Special Notice: In order to protect the legitimate rights and interests of the Borrower, the Lender hereby requests the Borrower to give full attention to all provisions |
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| January 31, 2022 |
Exhibit 2.3 Description of Rights of Each Class of Securities Registered under Section 12 of the Securities Exchange Act of 1934, as Amended (the “Exchange Act”) Ordinary shares, par value $0.003125 per share (“Ordinary Shares”), of Universe Pharmaceuticals INC (“we,” “our,” “our company,” or “us”) are registered under Section 12(b) of the Exchange Act and our Ordinary Shares are listed and traded |
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| January 31, 2022 |
Exhibit 13.2 CERTIFICATION OF THE CHIEF FINANCIAL OFFICER PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report of Universe Pharmaceuticals INC (the “Company”) on Form 20-F for the year ended September 30, 2021, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Lin Yang, Chief Financial Officer of the Company, certif |
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| January 31, 2022 |
Exhibit 13.1 CERTIFICATION OF THE CHIEF EXECUTIVE OFFICER PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report of Universe Pharmaceuticals INC (the “Company”) on Form 20-F for the year ended September 30, 2021, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Gang Lai, Chief Executive Officer of the Company, certif |
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| December 15, 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: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji?an, Jiangxi, China 343100 +86-0796-84 |
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| December 10, 2021 |
EX-1.4 5 ea152145ex1-4universepharma.htm SHARE TRANSFER AGREEMENT BY AND AMONG SUNUNION HOLDING GROUP LTD., KITANIHON PHARMACEUTICAL CO., LTD., AND GANG LAI, DATED DECEMBER 1, 2021 Exhibit 1.4 《从属合同之一：商羽控股集团有限公司股权转让合同》 Share Transfer Agreement by and among Sununion Holding Group Ltd., Kitanihon Pharmaceutical Co., Ltd., and Gang Lai 甲方：商羽控股集团有限公司 Party A: Sunuion Holding Group Ltd. 英文名：SUNUNION HO |
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| December 10, 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: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji?an, Jiangxi, China 343100 +86-0796-84 |
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| December 10, 2021 |
EX-1.2 3 ea152145ex1-2universepharma.htm SHARE PURCHASE AGREEMENT BY AND AMONG UNIVERSE PHARMACEUTICALS INC, KITANIHON PHARMACEUTICAL CO., LTD., AND NISHIMURA ICHIRO, DATED DECEMBER 1, 2021 Exhibit 1.2 《从属合同之二：北日本制药株式会社股权认购合同》 Share Purchase Agreement by and among Universe Pharmaceuticals INC, Kitanihon Pharmaceutical Co., Ltd., and Nishimura Ichiro 甲方：大自然药业股份有限公司 Party A: Universe Pharmaceuticals |
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| December 10, 2021 |
EX-1.1 2 ea152145ex1-1universepharma.htm STRATEGIC COOPERATION AGREEMENT BY AND BETWEEN UNIVERSE PHARMACEUTICALS INC AND KITANIHON PHARMACEUTICAL CO., LTD., DATED DECEMBER 1, 2021 Exhibit 1.1 《包括性合同：大自然药业股份有限公司与北日本制药的资本与战略合作合同》 Strategic Cooperation Agreement by and between Universe Pharmaceuticals INC and Kitanihon Pharmaceutical Co., Ltd. 甲方：大自然药业股份有限公司 Party A: Universe Pharmaceuticals INC 英文名： |
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| December 10, 2021 |
EX-1.3 4 ea152145ex1-3universepharma.htm COOPERATION AGREEMENT ON MANUFACTURING FACILITY CONSTRUCTION PROJECT BY AND BETWEEN UNIVERSE PHARMACEUTICALS INC AND KITANIHON PHARMACEUTICAL CO., LTD., DATED DECEMBER 1, 2021 Exhibit 1.3 《从属合同之三：大自然药业股份有限公司与北日本制药株式会社合作建设国际制造基地的合同》 Cooperation Agreement on Manufacturing Facility Construction Project by and between Universe Pharmaceuticals INC and Pharmaceut |
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| December 9, 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: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji?an, Jiangxi, China 343100 +86-0796-84 |
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| December 9, 2021 |
Exhibit 99.1 December 9, 2021 United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Universe Pharmaceuticals INC. CIK Number: 0001809616 Dear Sir or Madam: We have read Form 6-K dated December 9, 2021 of Universe Pharmaceuticals INC. (the ?Registrant?) and are in agreement with the statements contained therein as it pertains to our firm. We have no basis to |
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| August 2, 2021 |
MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATION Exhibit 99.1 MANAGEMENT?S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATION The following discussion and analysis of our financial condition and results of operations should be read in conjunction with our consolidated financial statements and related notes that appear in this report. In addition to historical consolidated financial information, the following discussion conta |
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| August 2, 2021 |
Exhibit 99.2 UNAUDITED CONDENSED CONSOLIDATED FINANCIAL DATA UNIVERSE PHARMACEUTICALS INC. AND SUBSIDIARIES CONDENSED CONSOLIDATED BALANCE SHEETS (UNAUDITED) As of March 31, 2021 September 30, 2020 ASSETS CURRENT ASSETS Cash $ 35,999,129 $ 10,058,202 Accounts receivable, net 17,799,597 10,871,778 Inventories, net 4,917,271 1,906,232 Deferred initial public offering costs - 443,709 Prepaid expenses |
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| August 2, 2021 |
Universe Pharmaceuticals INC Reports Financial Results for The First Six Months of Fiscal Year 2021 Exhibit 99.3 Universe Pharmaceuticals INC Reports Financial Results for The First Six Months of Fiscal Year 2021 Ji?an, Jiangxi, China, August 2, 2021 (GLOBE NEWSWIRE) - Universe Pharmaceuticals INC (the ?Company?) (Nasdaq: UPC), a pharmaceutical producer and distributor in China, today announced its unaudited financial results for the first six months of fiscal year 2021 ended March 31, 2021. Mr. |
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| August 2, 2021 |
6-K 1 ea144917-6kuniversepharma.htm REPORT OF FOREIGN PRIVATE 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 August 2021 Commission file number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Tech |
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| March 31, 2021 |
Current Report of Foreign Issuer - CURRENT REPORT 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: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji?an, Jiangxi, China 343100 +86-0796-84033 |
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| March 31, 2021 |
Exhibit 99.1 Universe Pharmaceuticals INC Announces Full Exercise of Underwriter’s Over-Allotment Option in the Public Offering Ji’an, Jiangxi, China, March 31, 2021 – Universe Pharmaceuticals INC (the “Company”) (Nasdaq: UPC), a pharmaceutical producer and distributor in China, today announced the underwriter of its previously announced initial public offering of ordinary shares (the "Offering") |
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| March 25, 2021 |
Universe Pharmaceuticals INC Announces Closing of Initial Public Offering Exhibit 99.2 Universe Pharmaceuticals INC Announces Closing of Initial Public Offering Ji?an, Jiangxi, China, March 25, 2021 ? Universe Pharmaceuticals INC (the ?Company?) (Nasdaq: UPC), a pharmaceutical producer and distributor in China, today announced the closing of its initial public offering (?Offering?) of 5,000,000 ordinary shares at a public offering price of US$5.00 per ordinary share. Th |
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| March 25, 2021 |
Universe Pharmaceuticals INC Announces Pricing and Trading of Initial Public Offering Exhibit 99.1 Universe Pharmaceuticals INC Announces Pricing and Trading of Initial Public Offering Ji?an, Jiangxi, China, March 23, 2021 ? Universe Pharmaceuticals INC (the ?Company?), a pharmaceutical producer and distributor in China, today announced the pricing of its initial public offering (?Offering?) of 5,000,000 ordinary shares at a public offering price of US$5.00 per ordinary share. The |
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| March 25, 2021 |
Current Report of Foreign Issuer - REPORT OF FOREIGN PRIVATE 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 March 2021 Commission File Number: 001-40231 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji?an, Jiangxi, China 343100 +86-0796-84033 |
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| March 24, 2021 |
5,000,000 Ordinary Shares Universe Pharmaceuticals INC Filed pursuant to Rule 424 (b)(4) Registration No. 333-248067 5,000,000 Ordinary Shares Universe Pharmaceuticals INC This is an initial public offering of our ordinary shares. We are offering on a firm commitment basis our ordinary shares, par value $0.003125 per share (?Ordinary Shares?). Prior to this offering, there has been no public market for our Ordinary Shares. The offering price of our Or |
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| March 17, 2021 |
March 17, 2021 Via Edgar Mr. Alan Campbell Division of Corporation Finance Office of Life Sciences U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Universe Pharmaceuticals INC Registration Statement on Form F-1/A (File No. 333-248067) Request for Acceleration of Effectiveness Ladies and Gentlemen: In accordance with Rule 461 of the General Rules and Regulations |
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| March 17, 2021 |
Universe Pharmaceuticals INC VIA EDGAR Mr. Alan Campbell Division of Corporation Finance Office of Life Sciences U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Universe Pharmaceuticals INC Registration Statement on Form F-1, as amended (File No. 333-248067) Request for Acceleration of Effectiveness Dear Mr. Campbell: In accordance with Rule 461 of the General |
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| March 17, 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 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Universe Pharmaceuticals INC (Exact name of registrant as specified in its charter) Cayman Islands Not applicable (State or other jurisdiction of incorporation or organization) (I.R.S. Employer I |
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| March 10, 2021 |
UNIVERSE PHARMACEUTICALS INC March 10, 2021 Via Edgar Mr. Alan Campbell Division of Corporation Finance Office of Life Sciences U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Universe Pharmaceuticals INC Amendment No.3 to the Registration Statement on Form F-1 Filed February 24, 2021 File No. 333-248067 Dear Mr. Campbell: This letter is in response to the lett |
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| March 10, 2021 |
As filed with the Securities and Exchange Commission on March 10, 2021. Registration No. 333-248067 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 4 TO FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Universe Pharmaceuticals INC (Exact name of registrant as specified in its charter) Cayman Islands 2834 Not Applicable (State or other jurisdict |
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| March 1, 2021 |
Universe Pharmaceuticals INC Free Writing Prospectus Issuer Free Writing Prospectus Filed Pursuant to Rule 433 of the Securities Act of 1933, as amended Registration Statement No. |
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| March 1, 2021 |
Universe Pharmaceuticals INC Free Writing Prospectus Filed Pursuant to Rule 433 Registration Statement No. 333-248067 Issuer Free Writing Prospectus dated February 26, 2021 Relating to Preliminary Prospectus dated March 1, 2021 Universe Pharmaceuticals INC Free Writing Prospectus This free writing prospectus relates to the initial public offering of ordinary shares of Universe Pharmaceuticals INC (the ?Company?) and should be read together with the |
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| February 24, 2021 |
As filed with the Securities and Exchange Commission on February 24, 2021. Registration No. 333-248067 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 3 TO FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Universe Pharmaceuticals INC (Exact name of registrant as specified in its charter) Cayman Islands 2834 Not Applicable (State or other jurisd |
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| December 10, 2020 |
Universe Pharmaceuticals INC Free Writing Prospectus Issuer Free Writing Prospectus Filed Pursuant to Rule 433 of the Securities Act of 1933, as amended Registration Statement No. |
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| December 2, 2020 |
Request for Waivers and Representation under Item 8.A.4 of Form 20-F Exhibit 99.8 UNIVERSE PHARMACEUTICALS INC 265 Jingjiu Avenue Jinggangshan Economic and Technological Development Zone Ji’an, Jiangxi, China 343100 +86-0796-8403309 December 2, 2020 Via Edgar Mr. Alan Campbell Division of Corporation Finance Office of Life Sciences U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Universe Pharmaceuticals INC Amendment No.2 to Reg |
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| December 2, 2020 |
As submitted to the Securities and Exchange Commission on December 2, 2020. Registration No. 333-248067 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 TO FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Universe Pharmaceuticals INC (Exact name of registrant as specified in its charter) Cayman Islands 2834 Not Applicable (State or other juris |
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| December 2, 2020 |
UNIVERSE PHARMACEUTICALS INC December 2, 2020 Via Edgar Mr. Alan Campbell Division of Corporation Finance Office of Life Sciences U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Universe Pharmaceuticals INC Amendment No.1 to the Registration Statement on Form F-1 Submitted on November 17, 2020 CIK No. 0001809616 Dear Mr. Campbell: This letter is in response to |
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| November 17, 2020 |
Exhibit 4.2 THE REGISTERED HOLDER OF THIS WARRANT AGREES BY HIS, HER OR ITS ACCEPTANCE HEREOF, THAT SUCH HOLDER WILL NOT FOR A PERIOD OF ONE HUNDRED EIGHTY (180) DAYS FOLLOWING THE EFFECTIVE DATE (AS DEFINED BELOW) OF THE REGISTRATION STATEMENT: (A) SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE THIS WARRANT TO ANYONE OTHER THAN OFFICERS OR PARTNERS OF BOUSTEAD SECURITIES, LLC, EACH OF WHOM SHALL H |
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| November 17, 2020 |
Exhibit 99.6 CONSENT OF H. DAVID SHERMAN Universe Pharmaceuticals INC (the “Company”) intends to file a Registration Statement on Form F-1 (together with any amendments or supplements thereto, the “Registration Statement”) registering securities for issuance in its initial public offering. As required by Rule 438 under the Securities Act of 1933, as amended, the undersigned hereby consents to bein |
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| November 17, 2020 |
Exhibit 1.2 Form of Lock-up Agreement [], 202[] Univest Securities, LLC 375 Park Avenue, Unit 1502 New York, NY 10152 Re: Proposed Public Offering by Universe Pharmaceuticals INC Ladies and Gentlemen: The undersigned, a shareholder holding more than 5% shares of the total outstanding shares of Universe Pharmaceuticals INC, a Cayman Islands company (the “Company”) prior to the closing of Offering ( |
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| November 17, 2020 |
Form of Underwriting Agreement Exhibit 1.1 Universe Pharmaceuticals INC UNDERWRITING AGREEMENT [], 202[] Univest Securities, LLC 375 Park Avenue, Unit 1502 New York, NY 10152 Ladies and Gentlemen: This underwriting agreement (this “Agreement”) constitutes the agreement between Universe Pharmaceuticals INC, a Cayman Islands exempted company (collectively with its subsidiaries and affiliates, including, without limitation, all en |
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| November 17, 2020 |
As submitted to the Securities and Exchange Commission on November 17, 2020. Registration No. 333-248067 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Universe Pharmaceuticals INC (Exact name of registrant as specified in its charter) Cayman Islands 2834 Not Applicable (State or other juri |
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| November 17, 2020 |
UNIVERSE PHARMACEUTICALS INC November 17, 2020 Via Edgar Mr. Alan Campbell Division of Corporation Finance Office of Life Sciences U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Universe Pharmaceuticals INC Registration Statement on Form F-1 Submitted on August 17, 2020 CIK No. 0001809616 Dear Mr. Campbell: This letter is in response to the letter dated Septem |
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| September 23, 2020 |
Universe Pharmaceuticals INC Free Writing Prospectus Issuer Free Writing Prospectus Filed Pursuant to Rule 433 of the Securities Act of 1933, as amended Registration Statement No. |
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| August 17, 2020 |
Exhibit 99.7 CONSENT OF DING ZHENG Universe Pharmaceuticals INC (the ?Company?) intends to file a Registration Statement on Form F-1 (together with any amendments or supplements thereto, the ?Registration Statement?) registering securities for issuance in its initial public offering. As required by Rule 438 under the Securities Act of 1933, as amended, the undersigned hereby consents to being name |
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| August 17, 2020 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of the Registrant Subsidiaries Place of Incorporation Universe Pharmaceuticals Group (International) Limited Hong Kong Jiangxi Universe Pharmaceuticals Technology Co., Ltd. PRC Jiangxi Universe Pharmaceuticals Co., Ltd. PRC Jiangxi Universe Pharmaceuticals Commercial Trade Co., Ltd. PRC |
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| August 17, 2020 |
Exhibit 10.3 [2019] L.L.N.S.H.L.J.Z. No. 172292019062610030001 Working Capital Loan Contract Borrower Jiangxi Universe Pharmaceuticals Co., Ltd. Credit Rating Lender Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank 1 Special Notice: This Contract is entered into by and between the Borrower and the Lender through negotiation on the basis of equality and free will. All th |
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| August 17, 2020 |
Exhibit 10.4 [2019] L.L.N.S.H.L.J.Z. No. 172292019092610030001 Working Capital Loan Contract Borrower Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Credit Rating Lender Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank 1 Special Notice: This Contract is entered into by and between the Borrower and the Lender through negotiation on the basis of equality an |
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| August 17, 2020 |
Exhibit 99.2 37/F, IFC, No.1, Wanglong 2nd Avenue, Taijiang District, Fuzhou, Fujian 350005, P.R.China Tel：+86-591-87850803 Fax：+86-591-87816904 TO: Universe Pharmaceuticals INC Vistra (Cayman) Limited, P.O. Box 31119 Grand Pavilion, Hibiscus Way, 802 West Bay Road, Grand Cayman, KYI – 1205 Cayman Islands as the “Company” August 17, 2020 Re: PRC Legal Opinion for Certain Legal Matters of the Initi |
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| August 17, 2020 |
Exhibit 99.5 CONSENT OF JIAWEN PANG Universe Pharmaceuticals INC (the “Company”) intends to file a Registration Statement on Form F-1 (together with any amendments or supplements thereto, the “Registration Statement”) registering securities for issuance in its initial public offering. As required by Rule 438 under the Securities Act of 1933, as amended, the undersigned hereby consents to being nam |
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| August 17, 2020 |
Exhibit 99.6 CONSENT OF YONGPING YU Universe Pharmaceuticals INC (the ?Company?) intends to file a Registration Statement on Form F-1 (together with any amendments or supplements thereto, the ?Registration Statement?) registering securities for issuance in its initial public offering. As required by Rule 438 under the Securities Act of 1933, as amended, the undersigned hereby consents to being nam |
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| August 17, 2020 |
Exhibit 10.5 [2019] L.L.N.S.H.B.Z. No. B17229201909260001 Guarantee Contract Guarantor Jiangxi Universe Pharmaceuticals Technology Co., Ltd. WU Xing Debtor Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Creditor Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank 1 Special Notice: This Contract is entered into by and between Party A and Party B through negot |
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| August 17, 2020 |
Code of Business Conduct and Ethics of the Registrant Exhibit 99.1 CODE OF BUSINESS CONDUCT AND ETHICS OF UNIVERSE PHARMACEUTICALS INC INTRODUCTION Purpose This Code of Business Conduct and Ethics contains general guidelines for conducting the business of Universe Pharmaceuticals INC, a Cayman Islands company (the “Company”), consistent with the highest standards of business ethics. To the extent this Code requires a higher standard than required by |
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| August 17, 2020 |
Exhibit 99.3 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jingji Jishu Kaifa District, Jinggangshan Ji?an, Jiangxi Province People?s Republic of China Attn.: The board of directors Re: Consent of Frost & Sullivan (Beijing) Inc., Shanghai Branch Co. Dear Sirs, We understand that Universe Pharmaceuticals INC (the ?Company?) has filed a draft registration statement (the ?Registration Statement?) w |
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| August 17, 2020 |
Form of Sales and Distribution Agreement by and between Universe Trade and customers Exhibit 10.7 Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Product Sales Agreement (the “Agreement”) Party A: Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Date: Party B: Location: Ji’an City, Jiangxi Province 1. Product name, quantity, price and manufacturer Product Name Specification Unit Qty. Unit Price Amount Manufacturer Total Amount (RMB in words): Page 1 of 2 |
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| August 17, 2020 |
Amended and Restated Memorandum of Association Exhibit 3.1 Companies Law (Revised) Company Limited by Shares AMENDED AND RESTATED memorandum of association OF UNIVERSE PHARMACEUTICALS INC 大自然藥業股份有限公司 (Adopted by special resolution passed on 7 August 2020) Companies Law (Revised) Company Limited by Shares Amended and Restated Memorandum of Association of Universe Pharmaceuticals INC 大自然藥業股份有限公司 (Adopted by special resolution passed on 7 August |
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| August 17, 2020 |
Amended and Restated Articles of Association Exhibit 3.2 Companies Law (Revised) Company Limited By Shares AMENDED AND RESTATED articles of association of UNIVERSE PHARMACEUTICALS INC 大自然藥業股份有限公司 (Adopted by special resolution passed on 7 August 2020) Contents 1 Definitions, interpretation and exclusion of Table A 1 Definitions 1 Interpretation 4 Exclusion of Table A Articles 5 2 Shares 5 Power to issue Shares and options, with or without sp |
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| August 17, 2020 |
Specimen Certificate for Ordinary Shares Exhibit 4.1 SHARE CERTIFICATE Number Shares Universe Pharmaceuticals INC ??????????? THIS SHARE CERTIFICATE CERTIFIES THAT as of [Transfer date], [Name] of [Address] is the registered holder of [Number] fully paid Ordinary Share(s) of $0.003125 par value per share in the above named Company which are held subject to, and transferable in accordance with, the Memorandum and Articles of Association o |
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| August 17, 2020 |
As submitted to the Securities and Exchange Commission on August 17, 2020. Registration No. 333-[●] UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Universe Pharmaceuticals INC (Exact name of registrant as specified in its charter) Cayman Islands 2834 Not Applicable (State or other jurisdiction of incorporatio |
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| August 17, 2020 |
Form of Indemnification Agreement with the Registrant’s directors and officers Exhibit 10.2 INDEMNIFICATION AGREEMENT This Indemnification Agreement (this ?Agreement?) is entered into as of by and between Universe Pharmaceuticals INC, a Cayman Islands company (the ?Company?), and the undersigned, a director and/or an officer of the Company (?Indemnitee?), as applicable. RECITALS The Board of Directors of the Company (the ?Board of Directors?) has determined that the inabilit |
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| August 17, 2020 |
Industry Report by Frost and Sullivan EX-99.4 18 ea125531ex99-4universepharm.htm INDUSTRY REPORT BY FROST AND SULLIVAN Exhibit 99.4 “We Accelerate Growth” Feb 2020 © 2018 Frost & Sullivan. All rights reserved. This document contains highly confidential information and is the sole property of Frost & Sullivan. No part of it may be circulated, quoted, copied or otherwise reproduced without the written approval of Frost & Sullivan. The P |
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| August 17, 2020 |
UNIVERSE PHARMACEUTICALS INC August 17, 2020 Via Edgar Mr. Paul Fischer Division of Corporation Finance Office of Life Sciences U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Universe Pharmaceuticals INC Amendment No.1 to the Draft Registration Statement on Form F-1 Submitted on June 12, 2020 CIK No. 0001809616 Dear Mr. Fischer: This letter is in response to t |
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| August 17, 2020 |
Form of Employment Agreement by and between executive officers and the Registrant Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (the ?Agreement?), is entered into as of [ ], by and between Universe Pharmaceuticals INC, a company incorporated and existing under the laws of Cayman Islands (the ?Company?), and [ ], an individual (the ?Executive?). The term ?Company? as used herein with respect to all obligations of the Executive hereunder shall be deemed to include t |
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| August 17, 2020 |
Exhibit 10.6 [2019] L.L.N.S.H.B.Z. No. B17229201909260001 Guarantee Contract Guarantor LAI Gang YANG Lin Jiangxi Universe Pharmaceuticals Co., Ltd. Foshan Shangyu Investment Holding Co., Ltd. WANG Fujing Debtor Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Creditor Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank 1 Special Notice: This Contract is entere |
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| June 12, 2020 |
UNIVERSE PHARMACEUTICALS INC June 12, 2020 Via Edgar Mr. Paul Fischer Division of Corporation Finance Office of Life Sciences U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Universe Pharmaceuticals INC Draft Registration Statement on Form F-1 Submitted on April 24, 2020 CIK No. 0001809616 Dear Mr. Fischer: This letter is in response to the letter dated May 20, |
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| June 12, 2020 |
Exhibit 10.7 Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Product Sales Agreement (the “Agreement”) Party A: Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Date: Party B: Location: Ji’an City, Jiangxi Province 1. Product name, quantity, price and manufacturer Product Name Specification Unit Qty. Unit Price Amount Manufacturer Total Amount (RMB in words): Page 1 of 2 |
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| June 12, 2020 |
Confidential Draft No. 2 as confidentially submitted to the Securities and Exchange Commission on June 12, 2020. This draft registration statement has not been publicly filed with the Securities and Exchange Commission and all information herein remains strictly confidential. Registration No. 333-[●] UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-1 REGISTRATION STAT |
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| April 24, 2020 |
Exhibit 99.3 Universe Pharmaceuticals INC 265 Jingjiu Avenue Jingji Jishu Kaifa District, Jinggangshan Ji’an, Jiangxi Province People’s Republic of China Attn.: The board of directors Re: Consent of Frost & Sullivan (Beijing) Inc., Shanghai Branch Co. Dear Sirs, We understand that Universe Pharmaceuticals INC (the “Company”) has filed a draft registration statement (the “Registration Statement”) w |
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| April 24, 2020 |
EX-99.5 12 filename12.htm Exhibit 99.5 CONSENT OF JIAWEN PANG Universe Pharmaceuticals INC (the “Company”) intends to file a Registration Statement on Form F-1 (together with any amendments or supplements thereto, the “Registration Statement”) registering securities for issuance in its initial public offering. As required by Rule 438 under the Securities Act of 1933, as amended, the undersigned he |
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| April 24, 2020 |
Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (the “Agreement”), is entered into as of [ ], by and between Universe Pharmaceuticals INC, a company incorporated and existing under the laws of Cayman Islands (the “Company”), and [ ], an individual (the “Executive”). The term “Company” as used herein with respect to all obligations of the Executive hereunder shall be deemed to include t |
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| April 24, 2020 |
Exhibit 99.6 CONSENT OF YONGPING YU Universe Pharmaceuticals INC (the “Company”) intends to file a Registration Statement on Form F-1 (together with any amendments or supplements thereto, the “Registration Statement”) registering securities for issuance in its initial public offering. As required by Rule 438 under the Securities Act of 1933, as amended, the undersigned hereby consents to being nam |
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| April 24, 2020 |
Exhibit 10.3 029 [2019] L.L.N.S.H.L.J.Z. No. 172292019062610030001 Working Capital Loan Contract Borrower Jiangxi Universe Pharmaceuticals Co., Ltd. Credit Rating Lender Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank 1 Special Notice: This Contract is entered into by and between the Borrower and the Lender through negotiation on the basis of equality and free will. Al |
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| April 24, 2020 |
Exhibit 10.4 043 [2019] L.L.N.S.H.L.J.Z. No. 172292019092610030001 Working Capital Loan Contract Borrower Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Credit Rating Lender Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank 1 Special Notice: This Contract is entered into by and between the Borrower and the Lender through negotiation on the basis of equalit |
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| April 24, 2020 |
Exhibit 10.6 053 [2019] L.L.N.S.H.B.Z. No. B17229201909260001 Guarantee Contract Guarantor LAI Gang YANG Lin Jiangxi Universe Pharmaceuticals Co., Ltd. Foshan Shangyu Investment Holding Co., Ltd. WANG Fujing Debtor Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Creditor Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank Special Notice: This Contract is ente |
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| April 24, 2020 |
Confidential Draft No. 1 as confidentially submitted to the Securities and Exchange Commission on April 24, 2020. This draft registration statement has not been publicly filed with the Securities and Exchange Commission and all information herein remains strictly confidential. Registration No. 333-[●] UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-1 REGISTRATION STA |
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| April 24, 2020 |
Exhibit 99.4 “We Accelerate Growth” Feb 2020 © 2018 Frost & Sullivan. All rights reserved. This document contains highly confidential information and is the sole property of Frost & Sullivan. No part of it may be circulated, quoted, copied or otherwise reproduced without the written approval of Frost & Sullivan. The PRC Chinese Patent Medicine Industry Independent Market Research 2 Agenda 1 Terms |
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| April 24, 2020 |
Exhibit 10.2 INDEMNIFICATION AGREEMENT This Indemnification Agreement (this “Agreement”) is entered into as of by and between Universe Pharmaceuticals INC, a Cayman Islands company (the “Company”), and the undersigned, a director and/or an officer of the Company (“Indemnitee”), as applicable. RECITALS The Board of Directors of the Company (the “Board of Directors”) has determined that the inabilit |
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| April 24, 2020 |
Exhibit 99.7 CONSENT OF DING ZHENG Universe Pharmaceuticals INC (the “Company”) intends to file a Registration Statement on Form F-1 (together with any amendments or supplements thereto, the “Registration Statement”) registering securities for issuance in its initial public offering. As required by Rule 438 under the Securities Act of 1933, as amended, the undersigned hereby consents to being name |
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| April 24, 2020 |
Exhibit 4.1 SHARE CERTIFICATE Number Shares Universe Pharmaceuticals INC 大自然藥業股份有限公司 THIS SHARE CERTIFICATE CERTIFIES THAT as of [Transfer date], [Name] of [Address] is the registered holder of [Number] fully paid Ordinary Share(s) of USD1 par value per share in the above named Company which are held subject to, and transferable in accordance with, the Memorandum and Articles of Association of the |
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| April 24, 2020 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of the Registrant Subsidiaries Place of Incorporation Universe Pharmaceuticals Group (International) Limited Hong Kong Jiangxi Universe Pharmaceuticals Technology Co., Ltd. PRC Jiangxi Universe Pharmaceuticals Co., Ltd. PRC Jiangxi Universe Pharmaceuticals Commercial Trade Co., Ltd. PRC |
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| April 24, 2020 |
Exhibit 10.5 059 [2019] L.L.N.S.H.B.Z. No. B17229201909260001 Guarantee Contract Guarantor Jiangxi Universe Pharmaceuticals Technology Co., Ltd. WU Xing Debtor Jiangxi Universe Pharmaceuticals Commerce and Trade Co., Ltd. Creditor Jiangxi Luling Rural Commercial Bank Co., Ltd. Jiangxi Rural Commercial Bank 1 Special Notice: This Contract is entered into by and between Party A and Party B through n |
