0001636050-20-000105.txt : 20201125 0001636050-20-000105.hdr.sgml : 20201125 20201125210703 ACCESSION NUMBER: 0001636050-20-000105 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201124 FILED AS OF DATE: 20201125 DATE AS OF CHANGE: 20201125 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pande Atul CENTRAL INDEX KEY: 0001643071 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37418 FILM NUMBER: 201352586 MAIL ADDRESS: STREET 1: C/O AXOVANT SCIENCES, INC. STREET 2: 1441 BROADWAY, 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sio Gene Therapies Inc. CENTRAL INDEX KEY: 0001636050 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 981333697 FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 11 TIMES SQUARE STREET 2: 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 877-746-4891 MAIL ADDRESS: STREET 1: 11 TIMES SQUARE STREET 2: 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: Axovant Gene Therapies Ltd. DATE OF NAME CHANGE: 20190516 FORMER COMPANY: FORMER CONFORMED NAME: Axovant Sciences Ltd. DATE OF NAME CHANGE: 20150324 FORMER COMPANY: FORMER CONFORMED NAME: Axovant Sciences, Inc. DATE OF NAME CHANGE: 20150324 4 1 wf-form4_160635640441285.xml FORM 4 X0306 4 2020-11-24 0 0001636050 Sio Gene Therapies Inc. SIOX 0001643071 Pande Atul C/O SIO GENE THERAPIES INC. 11 TIMES SQUARE, 33RD FLOOR NEW YORK NY 10036 1 0 0 0 Common Stock 2020-11-24 4 P 0 10000 2.3399 A 33370 I By Atul C. Pande and Patricia A Pande TR DTD 08/24/2017 The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.33 to $2.34 per share, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchase at each separate price within the range set forth in this footnote. /s/ David Nassif, Attorney-In-Fact 2020-11-25 EX-24 2 poadocumentpandeatul.htm POA DOCUMENT PANDE ATUL

SIO GENE THERAPIES INC. POWER OF ATTORNEY

(For Executing Form ID and Forms 3, 4 and 5)

Know all by these presents, that the undersigned hereby constitutes and appoints each of Pavan Cheruvu,
M.D. and David Nassif of Sio Gene Therapies Inc. (the "Company"), along with John McKenna, Alison Haggerty and Milson Yu of Cooley LLP, as the undersigned's true and lawful attorneys-in-fact and agents to:

         (1) Prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the Securities and Exchange Commission (the "SEC") Form ID, Uniform Application for Access Codes to File on EDGAR, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or any rule or regulation thereunder;

         (2) Prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the SEC Forms 3, 4 and 5 (including amendments thereto and joint filing agreements in connection therewith) in accordance with Section 16(a) of the Exchange Act and the rules and regulations thereunder in the undersigned's capacity as an officer, director or beneficial owner of more than 10% of a registered class of securities of the Company;

         (3) Do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to prepare and execute any such Form ID and Forms 3, 4 or 5 (including amendments thereto and joint filing agreements in connection therewith) and file such forms with the SEC and any stock exchange, self-regulatory association or any similar authority; and

         (4) Take any other action of any type whatsoever in connection with the foregoing that, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required of the undersigned, it being understood that the documents executed by the attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as the attorney-in-fact may approve in the attorney-in-fact's discretion.

         The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in- fact, and their substitutes, in serving in such capacity at the request of the undersigned, are not assuming (nor is the Company assuming) any of the undersigned's responsibilities to comply with Section 16 of the Exchange Act.

         This Power of Attorney shall remain in full force and effect until the earliest to occur of (a) the undersigned is no longer required to file Form ID or Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, (b) revocation by the undersigned in a signed writing  delivered to the Company and the foregoing attorneys-in fact or (c) as to any attorney-in-fact individually, until such attorney-in-fact is no longer employed by the Company or Cooley LLP, as applicable.

         IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of the date written below.


Date: November 23, 2020

/s/ Atul Pande
Atul Pande