Rezolute Announces Pricing of Public Offering of $55 million of Common Stock and Pre-Funded Warrants, and Concurrent Registered Direct Offering

Rezolute宣布公开发行5500万美元普通股和预融资认股权证的定价,并同时进行注册直接发行

2021-10-14 16:30:10 BioSpace

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REDWOOD CITY, Calif., Oct. 13, 2021 -- Rezolute, Inc. , a clinical-stage biopharmaceutical company developing transformative therapies for metabolic diseases associated with chronic glucose imbalance, today announced the pricing of an underwritten public offering of 6,030,847 shares of its common stock at a public offering price of $6.50 per share and of pre-funded warrants to purchase 1,661,461 shares of its common stock at a public offering price of $6.49 per pre-funded warrant, which represents the per share public offering price for the common stock less the $0.01 per share exercise price for each pre-funded warrant. In addition, Rezolute today announced the pricing of its concurrent registered direct offering to certain institutional investors that are current shareholders, of 769,231 shares of its common stock at a public offering price of $6.50 per share. The aggregate gross proceeds to Rezolute from the offerings are expected to be approximately $55 million, before deducting underwriting discounts and commissions and other estimated offering expenses payable by Rezolute. All shares of common stock and pre-funded warrants to be sold in the underwritten public offering and all shares of common stock to be sold in the registered direct offering will be offered by Rezolute. In addition, Rezolute has granted the underwriters a 30-day option to purchase up to an aggregate of 1,153,845 additional shares of its common stock in the underwritten public offering at the public offering price of $6.50 per share, before underwriting discounts and commissions. The offerings are expected to close on or about October 15, 2021, subject to satisfaction of customary closing conditions, but the closing of the underwritten public offering is not contingent upon the closing of the registered direct offering. Rezolute intends to use the net proceeds from both offerings to fund clinical research and development and for working capital and general corporate purposes. Oppenheimer & Co. Inc. is acting as the sole bookrunning manager with Roth Capital Partners acting as co-manager for the underwritten public offering. The registered direct offering is being made without an underwriter, placement agent, broker, or dealer. The offerings are being made pursuant to an effective shelf registration statement on Form S-3 (No. 333-251498) previously filed with the U.S. Securities and Exchange Commission (the “SEC”) and declared effective by the SEC on June 23, 2021. A preliminary prospectus supplement and accompanying prospectus related to the underwritten public offering has been filed with the SEC and is available on the SEC’s website located at http://www.sec.gov. A final prospectus supplement and accompanying prospectus relating to both offerings will be filed with the SEC. When available, copies of the preliminary prospectus supplement and accompanying prospectus relating to the underwritten public offering may be obtained from: Oppenheimer & Co. Inc., Attention: Syndicate Prospectus Department, 85 Broad St., 26th Floor, New York, NY 10004, by telephone at (212) 667-8055, or by email at EquityProspectus@opco.com. This press release shall not constitute an offer to sell or the solicitation of an offer to buy the securities being offered, nor shall there be any sale of the securities being offered in any state or other jurisdiction in which such offer, solicitation, or sale would be unlawful prior to registration or qualification under the securities laws of any such state or other jurisdiction. About Rezolute, Inc. Rezolute is developing transformative therapies for metabolic diseases related to chronic glucose imbalance. The Company’s lead clinical asset, RZ358, is in Phase 2b development for treatment of congenital hyperinsulinism (HI), a rare pediatric endocrine disorder. The Company is also developing RZ402, an orally available plasma kallikrein inhibitor, for the treatment of diabetic macular edema. For more information, visit www.rezolutebio.com or follow us on Twitter. Forward-Looking Statements This release, like many written and oral communications presented by Rezolute and our authorized officers, may contain certain forward-looking statements regarding our prospective performance and strategies within the meaning of Section 27A of the Securities Act and Section 21E of the Securities Exchange Act of 1934, as amended. We intend such forward-looking statements to be covered by the safe harbor provisions for forward-looking statements contained in the Private Securities Litigation Reform Act of 1995 and are including this statement for purposes of said safe harbor provisions. Forward-looking statements, which are based on certain assumptions and describe future plans, strategies, and expectations of Rezolute, are generally identified by use of words such as "anticipate," "believe," "estimate," "expect," "intend," "plan," "project," "seek," "strive," "try," or future or conditional verbs such as "could," "may," "should," "will," "would," or similar expressions. These statements include, but are not limited to, the offerings. Our ability to predict results or the actual effects of our plans or strategies is inherently uncertain. Accordingly, actual results may differ materially from anticipated results. Readers are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date of this release. Except as required by applicable law or regulation, Rezolute undertakes no obligation to update these forward-looking statements to reflect events or circumstances that occur after the date on which such statements were made. Important factors that may cause such a difference include, but are not limited to, market risks and uncertainties, the satisfaction of customary closing conditions for an offering of securities, and any other factors discussed in Rezolute’s filings with the SEC, including the Risk Factors contained in the Rezolute’s Annual Report on Form 10-K and Quarterly Reports on Form 10-Q, which are available at the SEC’s website at www.sec.gov. You are urged to consider these factors carefully in evaluating the forward-looking statements in this release and are cautioned not to place undue reliance on such forward-looking statements, which are qualified in their entirety by this cautionary statement. Media and Investor Contact Argot Partners rezolute@argotpartners.com 212-600-1902
加州红木城,2021年10月13日--为慢性葡萄糖失衡相关代谢疾病开发转化疗法的临床阶段生物制药公司Rezolute,Inc.今天宣布,以每股6.50美元的公开发行价包销公开发行6030847股普通股,并以每股6.49美元的公开发行价购买1,661,461股普通股,这代表普通股的每股公开发行价减去每份预先融资权证的每股0.01美元行权价。 此外,Rezolute今天宣布了其同时向目前的某些机构投资者注册直接发行769231股普通股的定价,公开发行价为每股6.50美元。 在扣除承销折扣及佣金及Rezolute应付的其他估计发售开支前,Rezolute从发售所得款项总额预计约为5,500万美元。将于包销公开发售中出售的所有普通股股份及预先注资认股权证,以及将于登记直接发售中出售的所有普通股股份将由Rezolute发售。此外,Rezolute已授予包销商30天的选择权,以每股6.50美元的公开发行价(包销折扣及佣金前)购买其包销公开发行中最多1,153,845股额外普通股。发售预计将于2021年10月15日或左右结束,惟须符合惯常结束条件,但包销公开发售的结束并不取决于已登记直接发售的结束。 Rezolute拟将两次发行所得款项净额用于资助临床研究及发展、营运资金及一般企业用途。 奥本海默公司(Oppenheimer&Co.Inc.)是唯一的簿记管理人,罗斯资本合伙人公司(Roth Capital Partners)是承销公开发行的联席管理人。注册的直接发行是在没有承销商、配售代理、经纪人或交易商的情况下进行的。 此次发售是根据此前向美国证券交易委员会(“SEC”)提交的S-3表(编号333-251498)上的有效货架注册声明进行的,该声明于2021年6月23日被SEC宣布有效。与包销公开发售有关的初步招股说明书、补充文件和附带招股说明书已向美国证券交易委员会提交,并可在美国证券交易委员会的网站http://www.SEC.gov上查阅。与两次发行有关的最终招股说明书补充和附带的招股说明书将提交给美国证券交易委员会。有关包销公开发售的初步招股章程增补及随附的招股章程副本如有,可向:Oppenheimer&Co.Inc.索取,请注意:辛迪加招股章程部,85 Broad St,26楼,New York,NY 10004,电话(212)667-8055,或电邮equitypprotus@opco.com。 本新闻稿不构成要约出售或要约购买所要约,也不构成在任何州或其他司法管辖区内出售所要约出售的证券,在根据任何该州或其他司法管辖区的证券法登记或资格之前,该要约、要约或出售将是非法的。 关于Rezolute公司。 Rezolute正在开发与慢性葡萄糖失衡相关的代谢疾病的转化疗法。该公司的主要临床资产RZ358正处于2B期开发中,用于治疗先天性高胰岛素血症(HI),这是一种罕见的儿科内分泌疾病。该公司还在开发RZ402,一种口服血浆激肽释放酶抑制剂,用于治疗糖尿病黄斑水肿。欲了解更多信息,请访问www.rezolutebio.com或在Twitter上关注我们。 前瞻性陈述 与Rezolute和我们的授权人员提交的许多书面和口头通信一样,本新闻稿可能包含某些关于我们未来业绩和战略的前瞻性陈述,这些陈述符合《证券法》第27A条和1934年《证券交易法》(经修订)第21E条的含义。我们打算将此类前瞻性陈述纳入1995年《私人证券诉讼改革法》所载的前瞻性陈述安全港条款,并将本声明纳入所述安全港条款。前瞻性陈述是基于某些假设并描述Rezolute未来计划、战略和预期的陈述,通常通过使用诸如“预期”、“相信”、“估计”、“预期”、“打算”、“计划”、“项目”、“寻求”、“努力”、“尝试”等词或诸如“可能”、“可能”、“应该”、“将”、“会”等未来或条件动词或类似表达来识别。这些声明包括,但不限于,提供。我们预测结果或计划或策略的实际效果的能力本质上是不确定的。因此,实际业绩可能与预期业绩有重大差异。请读者不要过度依赖这些前瞻性陈述,这些陈述仅限于本新闻稿发布之日。除适用的法律或法规要求外,Rezolute不承担任何义务更新这些前瞻性陈述,以反映该等陈述发表之日后发生的事件或情况。可能导致此种差异的重要因素包括但不限于:市场风险和不确定性、满足证券发行的惯常收盘条件以及Rezolute向SEC提交的文件中讨论的任何其他因素,包括Rezolute关于10-K表的年度报告和关于10-Q表的季度报告中包含的风险因素,这些风险因素可在SEC网站www.SEC.gov上查阅。我们敦促您在评估本新闻稿中的前瞻性陈述时仔细考虑这些因素,并警告您不要过度依赖这些前瞻性陈述,这些前瞻性陈述的全部内容由本警告性声明限定。 媒体和投资者联系 隐语伙伴 rezolute@argotpartners.com 212-600-1902

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