POS EX 1 dp56279_posex.htm FORM POS EX

As filed with the U.S. Securities and Exchange Commission on May 19, 2015

 

Registration No. 333-203554

 
 

 

UNITED STATES SECURITIES AND EXCHANGE

COMMISSION

Washington, D.C. 20549

 

 

 

POST-EFFECTIVE AMENDMENT NO. 1

TO

FORM F-1

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

 

 

 

AURIS MEDICAL HOLDING AG

(Exact name of Registrant as specified in its charter)

     
Switzerland 2834 NOT APPLICABLE
(State or other jurisdiction of
incorporation or organization)
(Primary Standard Industrial
     Classification Code Number)      
(I.R.S. Employer
Identification Number)

 

Bahnhofstrasse 21

6300 Zug, Switzerland

+41 (0)41 729 71 94

(Address, including zip code, and telephone number, including area code, of Registrant’s principal executive offices)

 

 

 

Agent for Service of Process

National Corporate Research, Ltd.

10 East 40th Street

New York, New York 10016

(212) 947-7200

(Name, address, including zip code, and telephone number, including area code, of agent for service)

 

 

   
Copies to:

Richard D. Truesdell, Jr.

Sophia Hudson
Davis Polk & Wardwell LLP
450 Lexington Avenue
New York, NY 10017

Rachel W. Sheridan

Nathan Ajiashvili

Latham & Watkins LLP

555 Eleventh Street, NW, Suite 1000

Washington, D.C. 20004

 

 

 

 

 

Approximate date of commencement of proposed sale to the public: As soon as practicable after the effective date of this registration statement.

 

If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, check the following box. ¨

 

If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ¨

 

If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ¨

 

If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. x 333-203554

 

 

 

 

 
 
 
 

 

EXPLANATORY NOTE

 

This Post-Effective Amendment No. 1 to the Registration Statement on Form F-1 (File No. 333-203554) is filed pursuant to Rule 462(d) under the Securities Act of 1933, as amended (the “Securities Act”), solely to replace Exhibits 5.1 and 23.3 to such Registration Statement. This Registration Statement shall become effective upon filing with the Commission in accordance with Rule 462(d) under the Securities Act.

 

 

 
 

 

PART II

INFORMATION NOT REQUIRED IN THE PROSPECTUS

 

Item 8.    Exhibits and Financial Statement Schedules

 

(a) The following documents are filed as part of this registration statement:

 

 

  1.1* Form of Underwriting Agreement
   
  3.1 Articles of Association (incorporated by reference to exhibit 1.1 of the Auris Medical Holding AG Annual Report on Form 20-F for the year ended December 31, 2014, filed with the Commission on March 31, 2015)
   
  4.1 Registration Rights Agreement between Auris Medical Holding AG and the shareholders listed therein (incorporated by reference to exhibit 4.1 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no.
 333-197105) filed with the Commission on July 21, 2014)
   
  5.1 Opinion of Froriep, Swiss counsel of Auris Medical Holding AG, as to the validity of the common shares
   
  8.1* Opinion of Froriep, Swiss counsel of Auris Medical Holding AG, as to Swiss tax matters
   
  8.2* Opinion of Davis Polk & Wardwell LLP, as to U.S. tax matters
   
10.1† Collaboration and License Agreement, dated October 21, 2003, between Auris Medical AG and Xigen SA (incorporated by reference to exhibit 10.1 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
10.2† Co-Ownership and Exploitation Agreement, dated September 29, 2003, between Auris Medical AG and INSERM (incorporated by reference to exhibit 10.2 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
10.3 Series C Investment Agreement, dated April 5, 2013 (incorporated by reference to exhibit 10.3 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
10.4 Series C Shareholders’ Agreement, dated April 5, 2013 (incorporated by reference to exhibit 10.4 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
10.5 Convertible Loan Agreement, dated December 2013, between Auris Medical AG and Sofinnova Venture Partners VIII, L.P. and Sofinnova Capital VII FCPR (incorporated by reference to exhibit 10.5 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
10.6 Service Agreement, dated January 2011 between Auris Medical AG and Altamira Pharma GmbH (incorporated by reference to exhibit 10.6 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no.
333-197105) filed with the Commission on June 27, 2014)
   
10.7 Termination of Service Agreement, dated February 2014 between Auris Medical AG and Altamira Pharma GmbH (incorporated by reference to exhibit 10.7 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
10.8 Loan Agreement, dated January 2013 between Auris Medical AG and Altamira Pharma GmbH (incorporated by reference to exhibit 10.8 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no.
333-197105) filed with the Commission on June 27, 2014)
   
10.9 Form of Indemnification Agreement (incorporated by reference to exhibit 10.9 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on July 21, 2014)
   
10.10 English language translation of Lease Agreement between Auris Medical AG and Privera AG (incorporated by reference to exhibit 10.10 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no.
333-197105) filed with the Commission on June 27, 2014)
10.11 Stock Option Plan A (incorporated by reference to exhibit 10.11 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
10.12 Stock Option Plan C (incorporated by reference to exhibit 10.12 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
21.1 List of subsidiaries (incorporated by reference to exhibit 2.1 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
23.1* Consent of Deloitte AG
   
23.2* Consent of KPMG AG
   
23.3 Consent of Froriep, Swiss counsel of Auris Medical Holding AG (included in Exhibit 5.1)
   
23.4* Consent of Froriep, Swiss counsel of Auris Medical Holding AG (included in Exhibit 8.1)
   
23.5* Consent of Davis Polk & Wardwell LLP (included in Exhibit 8.2)
   
23.6* Consent of MEDACorp, Inc.
   
24.1* Powers of attorney (included on signature page to the registration statement)
 

*   Filed as part of this registration statement on Form F-1 (Registration no. 333-203554) on May 4, 2015.
  Confidential treatment requested as to portions of the exhibit. Confidential materials omitted and filed separately with the Securities and Exchange Commission.

(b) Financial Statement Schedules

None.

 

II-1
 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form F-1 and has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in Zug, Switzerland on May 19, 2015.

     
Auris Medical Holding AG  
     
By:  

/s/ Thomas Meyer

 
 
    Name: Thomas Meyer
    Title:    Chief Executive Officer
         

 

 

II-2
 

 

Pursuant to the requirements of the Securities Act of 1933, as amended, this registration statement has been signed by the following persons on May 19, 2015 in the capacities indicated:

   

NAME

 

TITLE

 
   

/s/ Thomas Meyer

 

Thomas Meyer

 

Chief Executive Officer and Director

(principal executive officer)

 

   

/s/ Sven Zimmermann

 

Sven Zimmermann

 

Chief Financial Officer (principal financial officer
and principal accounting officer)
   

*

 

Wolfgang Arnold

 

Director
   

*

 

James I. Healy

 

Director
   

*

 

Oliver Kubli

 

Director
   

*

 

Antoine Papiernik

 

Director
   

*

 

Berndt Modig

 

Director
   

*

 

Calvin Roberts

 

Director
   

*

 
Authorized Representative in the United States

Colleen A. DeVries

SVP of National Corporate Research, Ltd.

 

 
         
     
*By:  

/s/ Thomas Meyer 

   
   

Thomas Meyer

As Attorney-in-Fact

 

   

 

II-3
 

 

  

EXHIBIT INDEX

 

The following documents are filed as part of this registration statement:

   
   
  1.1* Form of Underwriting Agreement
   
  3.1 Articles of Association (incorporated by reference to exhibit 1.1 of the Auris Medical Holding AG Annual Report on Form 20-F for the year ended December 31, 2014, filed with the Commission on March 31, 2015)
   
  4.1 Registration Rights Agreement between Auris Medical Holding AG and the shareholders listed therein (incorporated by reference to exhibit 4.1 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on July 21, 2014)
   
  5.1 Opinion of Froriep, Swiss counsel of Auris Medical Holding AG, as to the validity of the common shares
   
  8.1* Opinion of Froriep, Swiss counsel of Auris Medical Holding AG, as to Swiss tax matters
   
  8.2* Opinion of Davis Polk & Wardwell LLP, as to U.S. tax matters
   
10.1† Collaboration and License Agreement, dated October 21, 2003, between Auris Medical AG and Xigen SA (incorporated by reference to exhibit 10.1 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
10.2† Co-Ownership and Exploitation Agreement, dated September 29, 2003, between Auris Medical AG and INSERM (incorporated by reference to exhibit 10.2 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
10.3 Series C Investment Agreement, dated April 5, 2013 (incorporated by reference to exhibit 10.3 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
10.4 Series C Shareholders’ Agreement, dated April 5, 2013 (incorporated by reference to exhibit 10.4 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
10.5 Convertible Loan Agreement, dated December 2013, between Auris Medical AG and Sofinnova Venture Partners VIII, L.P. and Sofinnova Capital VII FCPR (incorporated by reference to exhibit 10.5 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
10.6 Service Agreement, dated January 2011 between Auris Medical AG and Altamira Pharma GmbH (incorporated by reference to exhibit 10.6 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no.
333-197105) filed with the Commission on June 27, 2014)
   
10.7 Termination of Service Agreement, dated February 2014 between Auris Medical AG and Altamira Pharma GmbH (incorporated by reference to exhibit 10.7 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
10.8 Loan Agreement, dated January 2013 between Auris Medical AG and Altamira Pharma GmbH (incorporated by reference to exhibit 10.8 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no.
333-197105) filed with the Commission on June 27, 2014)
   
10.9 Form of Indemnification Agreement (incorporated by reference to exhibit 10.9 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on July 21, 2014)
   
10.10 English language translation of Lease Agreement between Auris Medical AG and Privera AG (incorporated by reference to exhibit 10.10 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no.
333-197105) filed with the Commission on June 27, 2014)
10.11 Stock Option Plan A (incorporated by reference to exhibit 10.11 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
10.12 Stock Option Plan C (incorporated by reference to exhibit 10.12 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
21.1 List of subsidiaries (incorporated by reference to exhibit 2.1 of the Auris Medical Holding AG registration statement on Form F-1 (Registration no. 333-197105) filed with the Commission on June 27, 2014)
   
23.1* Consent of Deloitte AG
   
23.2* Consent of KPMG AG
   
23.3 Consent of Froriep, Swiss counsel of Auris Medical Holding AG (included in Exhibit 5.1)
   
23.4* Consent of Froriep, Swiss counsel of Auris Medical Holding AG (included in Exhibit 8.1)
   
23.5* Consent of Davis Polk & Wardwell LLP (included in Exhibit 8.2)
   
23.6* Consent of MEDACorp, Inc.
   
24.1* Powers of attorney (included on signature page to the registration statement)

 

 

 

*   Filed as part of this registration statement on Form F-1 (Registration no. 333-203554) on May 4, 2015.
  Confidential treatment requested as to portions of the exhibit. Confidential materials omitted and filed separately with the Securities and Exchange Commission.

 

 

II-4