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| CIK | 1445499 |
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 IPI Legacy Liquidation Co
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| March 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-40353 IPI LEGACY LIQUIDATION CO (Exact name of registrant as specified |
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| March 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 8, 2024 IPI LEGACY LIQUIDATION CO (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commission |
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| March 12, 2024 |
CERTIFICATE OF AMENDMENT RESTATED CERTIFICATE OF INCORPORATION IMPEL PHARMACEUTICALS INC. Exhibit 3.1 CERTIFICATE OF AMENDMENT OF RESTATED CERTIFICATE OF INCORPORATION OF IMPEL PHARMACEUTICALS INC. Impel Pharmaceuticals Inc., a Delaware corporation (the “Corporation”), does hereby certify that the following amendment to the Corporation’s Restated Certificate of Incorporation has been duly adopted in accordance with the provisions of Section 242 of the Delaware General Corporation Law. |
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| February 14, 2024 |
As filed with the Securities and Exchange Commission on February 14, 2024 As filed with the Securities and Exchange Commission on February 14, 2024 Registration No. |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 12, 2024 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commi |
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| February 14, 2024 |
As filed with the Securities and Exchange Commission on February 14, 2024 S-8 POS As filed with the Securities and Exchange Commission on February 14, 2024 Registration No. |
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| February 14, 2024 |
As filed with the Securities and Exchange Commission on February 14, 2024 S-8 POS As filed with the Securities and Exchange Commission on February 14, 2024 Registration No. |
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| February 14, 2024 |
As filed with the Securities and Exchange Commission on February 14, 2024 As filed with the Securities and Exchange Commission on February 14, 2024 Registration No. |
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| January 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 2, 2024 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commiss |
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| January 2, 2024 |
United States Bankruptcy Judge EX-99.1 Exhibit 99.1 The following constitutes the ruling of the court and has the force and effect therein described. Signed December 21, 2023 United States Bankruptcy Judge IN THE UNITED STATES BANKRUPTCY COURT FOR THE NORTHERN DISTRICT OF TEXAS DALLAS DIVISION In re: Chapter 11 IMPEL PHARMACEUTICALS INC., et al.1 Case No. 23-80016 (SGJ) Debtors. (Jointly Administered) ORDER (I) APPROVING NOTIFI |
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| December 20, 2023 |
EX-99.1 Exhibit 99.1 Impel Pharmaceuticals Announces Filing Voluntary Chapter 11 Cases and Signing of “Stalking Horse” Agreement to Facilitate Sale Patient Access to Trudhesa® to Continue Uninterrupted Sufficient Liquidity to Fund Day to Day Operations During Court-Supervised Process SEATTLE, Dec. 19, 2023—Impel Pharmaceuticals Inc. (OTCQX: IMPL) (“Impel” or “the Company”), a commercial-stage biop |
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| December 20, 2023 |
EX-10.1 Exhibit 10.1 ASSET PURCHASE AGREEMENT by and between JN BIDCO LLC, as Purchaser, and IMPEL PHARMACEUTICALS INC., as Seller Dated as of December 18, 2023 Table of Contents Page ARTICLE 1. DEFINED TERMS 2 1.1 Defined Terms 2 1.2 Other Definitional and Interpretive Matters 13 ARTICLE 2. THE PURCHASE AND SALE; CLOSING 15 2.1 Purchase and Sale 15 2.2 Excluded Assets 17 2.3 Assumption of Liabili |
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| December 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 20, 2023 (December 15, 2023) IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of i |
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| December 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 18, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commi |
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| December 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 1, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commis |
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| December 4, 2023 |
IMPL / Impel Pharmaceuticals Inc / Oaktree Capital Group, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) IMPEL PHARMACEUTICALS INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 45258K109 |
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| November 15, 2023 |
IMPL / Impel Pharmaceuticals Inc / Oaktree Capital Group, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) IMPEL PHARMACEUTICALS INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 45258K109 |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40353 IMPEL |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commis |
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| November 14, 2023 |
Restated Certificate of Incorporation Exhibit 3.1 IMPEL PHARMACEUTICALS INC. RESTATED CERTIFICATE OF INCORPORATION Impel Pharmaceuticals Inc., a Delaware corporation (the “Corporation”), hereby certifies as follows: 1. The name of this Corporation is “Impel Pharmaceuticals Inc.” The date of the filing of the Corporation’s original Certificate of Incorporation with the Secretary of State of the State of Delaware was July 24, 2008 under |
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| November 14, 2023 |
Form of Management Incentive Plan EXHIBIT 10.1 IMPEL PHARMACEUTICALS INC. MANAGEMENT INCENTIVE PLAN (AS AMENDED NOVEMBER 7, 2023) 1. Purpose. The purpose of this Management Incentive Plan (the “Plan”) is to provide incentives to certain key employees of Impel Pharmaceuticals Inc. (the “Company”) to incentivize and motivate them in the event of a Corporate Transaction. The Administrator has determined that the adoption of the Plan |
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| November 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 29, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commis |
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| October 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 10, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commis |
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| October 6, 2023 |
IMPL / Impel Pharmaceuticals Inc / Oaktree Capital Group, LLC - SC 13D/A Activist Investment SC 13D/A 1 ef20011968sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) IMPEL PHARMACEUTICALS INC. (Name of Issuer) Common Stock, $0.001 par value per share |
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| October 5, 2023 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-264987 PROSPECTUS SUPPLEMENT To Prospectus dated May 24, 2022 Up to $9,000,000 Common Stock This prospectus supplement amends and restates our prospectus dated May 24, 2022. We have previously entered into a sales agreement (the “Sales Agreement”) with Cowen and Company, LLC, TD Cowen, relating to shares of our common stock offered by this pros |
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| October 4, 2023 |
Third Amendment to Credit Agreement dated October 2, 2023 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE AND CONFIDENTIAL. |
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| October 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 28, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Comm |
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| September 19, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 19, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Comm |
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| September 19, 2023 |
Impel Pharmaceuticals Inc. Corporate Overview September 2023 Impel Pharmaceuticals Inc. Corporate Overview September 2023 This presentation and the accompanying oral commentary contains forward-looking statements that are based on Impel Pharmaceutical Inc.’s (the “Company”, “we” or “our”) management’s beliefs and assumptions and on information currently available to our management. Forward-looking statements include all statements other than statements of h |
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| September 19, 2023 |
Impel Pharmaceuticals Inc. Corporate Overview September 20232 This presentation and the accompanying oral commentary contains forward-looking statements that are based on Impel Pharmaceutical Inc.’s (the “Company”, “we” or “our”) management’s beliefs and assumptions and on information currently available to our management. Forward-looking statements include all statements other than statements of |
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| September 15, 2023 |
IMPL / Impel Pharmaceuticals Inc / Oaktree Capital Group, LLC - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) IMPEL PHARMACEUTICALS INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 45258K109 (CUSIP Number) Todd |
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| September 15, 2023 |
EX-99.1 2 ef20010729ex99-1.htm EXHIBIT 1 Exhibit 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13D is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf |
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| September 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 31, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commiss |
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| September 7, 2023 |
Form of Management Incentive Plan. EXHIBIT 10.3 Impel Pharmaceuticals Inc. Management Incentive Plan (adopted , 2023) 1. Purpose. The purpose of this Management Incentive Plan (the “Plan”) is to provide incentives to certain key employees of Impel Pharmaceuticals Inc. (the “Company”) to incentivize and motivate them in the event of a Corporate Transaction. The Administrator has determined that the adoption of the Plan is in the bes |
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| September 7, 2023 |
Second Amendment to Credit Agreement dated September 5, 2023. CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE AND CONFIDENTIAL. |
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| September 7, 2023 |
Form of Common Stock Purchase Warrant EXHIBIT 10.2 Form of WARRANT THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR QUALIFIED UNDER ANY STATE OR FOREIGN SECURITIES LAWS AND MAY NOT BE OFFERED FOR SALE, SOLD, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED OR ASSIGNED UNLESS (I) A REGISTRATION STATEMENT COVERING SUCH SH |
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| September 7, 2023 |
EXHIBIT 10.4 Impel Pharmaceuticals Inc. , 2023 Sent via email Dear , Impel Pharmaceuticals Inc. (the “Company”) is hereby notifying you of your eligibility to participate in the Company’s new retention program (the “New Retention Program”). The New Retention Program is designed to incentivize you to remain in service to the Company through the provision of certain benefits, including a one-time ca |
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| September 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 31, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commiss |
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| August 21, 2023 |
Amendment to Oaktree Credit Agreement and RIF Agreement dated August 21, 2023 EXECUTION VERSION Exhibit 10.1 FIRST AMENDMENT TO Credit agreement AND guaranty AND REVENUE INTEREST FINANCING AGREEMENT This Amendment to Credit Agreement and Guaranty and Revenue Interest Financing Agreement (this “Amendment”) is made as of August 21, 2023, by and among IMPEL PHARMACEUTICALS INC., a Delaware corporation, as borrower (“Borrower”), the Lenders party to the Credit Agreement (as def |
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| August 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 21, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commiss |
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| August 18, 2023 |
between the registrant and Michael Kalb. IMPEL PHARMACEUTICALS INC. May 1, 2023 Michael Kalb Sent via email Dear Michael: Impel Pharmaceuticals Inc. (the “Company”) is pleased to confirm our offer to you of employment with the Company on the following terms. 1. Position. Your title will be Chief Financial Officer (“CFO”), and you will report to the Company’s Chairmanand Chief Executive Officer. Your service to the Company is to be full-t |
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| August 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40353 IMPEL PHARM |
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| August 18, 2023 |
IMPEL PHARMACEUTICALS INC. May 1, 2023 Michael Kalb Sent via email Dear Michael: Impel Pharmaceuticals Inc. (the “Company”) is pleased to confirm our offer to you of employment with the Company on the following terms. 1. Position. Your title will be Chief Financial Officer (“CFO”), and you will report to the Company’s Chairman and Chief Executive Officer. Your service to the Company is to be full- |
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| August 15, 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 x Form 10-Q ¨ Form 10-D ¨ Form N-CEN ¨ Form N-CSR For Period Ended: June 30, 2023 ¨ 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 Period |
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| June 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commissio |
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| May 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commission |
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| May 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40353 IMPEL PHAR |
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| May 12, 2023 |
IMPEL PHARMACEUTICALS ANNOUNCES FIRST QUARTER 2023 FINANCIAL RESULTS AND PROVIDES BUSINESS UPDATE Trudhesa® Achieved nTRx of Over 18. |
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| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40353 26-3058238 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a‑101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (a |
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| April 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a‑101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (a |
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| April 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 11, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40353 26-3058238 (State or Other Jurisdiction of Incorporation) (Commissi |
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| April 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a‑101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (a |
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| April 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 10, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40353 26-3058238 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 31, 2023 |
IMPEL PHARMACEUTICALS Inc. (a Delaware corporation) AMENDED AND RESTATED BYLAWS As Amended and Restated on March 22, 2023 IMPEL PHARMACEUTICALS Inc. (a Delaware corporation) AMENDED AND RESTATED BYLAWS TABLE OF CONTENTS Article I: STOCKHOLDERS 1 Section 1.1: Annual Meetings. 1 Section 1.2: Special Meetings. 1 Section 1.3: Notice of Meetings. 1 Section 1.4: Adjournments. 1 Section 1.5: Quorum. 2 Se |
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| March 31, 2023 |
As filed with the Securities and Exchange Commission on March 31, 2023 As filed with the Securities and Exchange Commission on March 31, 2023 Registration No. |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-4 |
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| March 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 IMPEL PHARMACEUTICALS INC. (Exact name of Registrant as specified in its charter) Delaware 26-3058238 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification Number) 201 Elliott Avenue West, Suite 260 Seattle, WA 98119 (206) |
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| March 27, 2023 |
Exhibit 107 CALCULATION OF FILING FEE TABLES Form S-8 (Form Type) Impel Pharmaceuticals Inc. |
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| March 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40353 IMPEL PHARMACEU |
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| March 27, 2023 |
Power of Attorney (included on the signature page to this Registration SIGNATURES Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Seattle, State of Washington, on this 27th day of March, 2023. |
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| March 27, 2023 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of Registrant Name of Subsidiary Jurisdiction of Incorporation Impel NeuroPharma Australia PTY LTD Australia |
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| March 27, 2023 |
Execution Version LIMITED WAIVER AGREEMENT THIS LIMITED WAIVER AGREEMENT (this “Agreement”), dated as of March 22, 2023, is made among Impel Pharmaceuticals Inc. |
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| March 27, 2023 | ||
| March 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 24, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commissi |
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| March 24, 2023 |
Exhibit 99.1 Exhibit 99.1 IMPEL PHARMACEUTICALS ANNOUNCES FOURTH QUARTER AND FULL YEAR 2022 FINANCIAL RESULTS AND PROVIDES BUSINESS UPDATE Trudhesa® Achieved nTRx of Over 58.4K in 2022; nTRx Increased by 19.4% in Q4 vs. Q3 2022 Net Product Revenue Finished Year at $12.7 Million; Increased 62% in Q4 vs. Q3 2022 to $5 Million Impel to Host Investor Conference Call Today at 8:30 a.m. ET SEATTLE, Marc |
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| March 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40353 26-3058238 (State or Other Jurisdiction of Incorporation) (Commi |
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| January 9, 2023 |
Impel Pharmaceuticals Inc. Corporate and Business Update January 2023 Exhibit 99.1 Forward-Looking Statements This presentation and the accompanying oral commentary contains forward-looking statements that are based on our management’s beliefs and assumptions and on information currently available to our management. Forward-looking statements include all statements other than statements of histori |
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| January 9, 2023 |
Impel Pharmaceuticals Inc. Corporate and Business Update 1 January 2023 Exhibit 99.12 Forward-Looking Statements This presentation and the accompanying oral commentary contains forward-looking statements that are based on our management’s beliefs and assumptions and on information currently available to our management. Forward-looking statements include all statements other than statements of hist |
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| January 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 09, 2023 IMPEL PHARMACEUTICALS INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40353 26-3058238 (State or Other Jurisdiction of Incorporation) (Commis |
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| November 14, 2022 |
Exhibit 99.1 Exhibit 99.1 Impel PHARMACEUTICALS Announces THIRD Quarter 2022 Financial Results and Provides CORPORATE Update Trudhesa® nTRx Increased by 27% in Q3 2022 vs. Q2 2022 to 16.7K: Net Product Revenue Increased to $3.1 Million Trudhesa surpasses 5% of Acute Branded Prescriptions among prescribers in Q3 One Year After Launch Impel to Host Investor Conference Call Today at 8:30 a.m. ET SEAT |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2022 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commi |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40353 IMPEL |
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| August 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40353 IMPEL PHARM |
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| August 15, 2022 |
Exhibit 99.1 Exhibit 99.1 Impel PHARMACEUTICALS Announces SECOND Quarter 2022 Financial Results and Provides CORPORATE Update Trudhesa? TRx?s Grew 48% in Q2 2022 to Over 13K: Net Product Revenue Increased 59% Over Q1 2022 to $2.8 Million Sales Force expanded by 50% to Capitalize on Prescription Momentum and Market Opportunity Company reiterated Prescription Guidance Range of 70 -85K TRx?s for 2022 |
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| August 15, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 15, 2022 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commiss |
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| June 17, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 16, 2022 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commissio |
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| May 25, 2022 | ||
| May 25, 2022 | ||
| May 25, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2022 IMPEL PHARMACEUTICALS INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40353 26-3058238 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 24, 2022 |
Up to $50,000,000 Common Stock Table of Contents As Filed Pursuant to Rule 424(b)(5) Registration No. 333-264987 PROSPECTUS Up to $50,000,000 Common Stock We have entered into a sales agreement (the ?Sales Agreement?) with Cowen and Company, LLC, the Sales Agent, relating to shares of our common stock offered by this prospectus. In accordance with the terms of the sales agreement, we may offer and sell shares of our common stoc |
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| May 20, 2022 |
May 20, 2022 IMPEL PHARMACEUTICALS INC. 201 Elliot Avenue West, Suite 260 Seattle, WA 98119 May 20, 2022 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Healthcare & Insurance 100 F Street, N.E. Washington, D.C. 20549 Attention: Margaret Schwartz Re: Impel Pharmaceuticals Inc. Registration Statement on Form S-3 (File No. 333-264987) filed May 16 |
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| May 16, 2022 |
As filed with the Securities and Exchange Commission on May 16, 2022 Table of Contents As filed with the Securities and Exchange Commission on May 16, 2022 Registration No. |
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| May 16, 2022 |
EXHIBIT 107 Calculation Of Filing Fee Tables Form S-3 (Form Type) Impel Pharmaceuticals Inc. |
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| May 16, 2022 |
Exhibit 99.1 Impel PHARMACEUTICALS Announces first Quarter 2022 Financial Results and Provides CORPORATE Update Trudhesa® Continues Strong Launch Trajectory with Q1 2022 TRx Growth of 111% vs. Q4 2021 Planned initiation of INP105 Proof-of-Concept Study for Autism Spectrum Disorder in 2Q 2022 Financing Agreement with Oaktree Capital Extends Cash Runway into 2024 Impel to Host Investor Conference Ca |
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| May 16, 2022 |
Exhibit 4.3 FORM OF DEBT SECURITY [Face of Security] IMPEL PHARMACEUTICALS INC. [If applicable, insert?FOR PURPOSES OF THE ORIGINAL ISSUE DISCOUNT PROVISIONS OF THE INTERNAL REVENUE CODE OF 1986, THE ISSUE PRICE OF THIS SECURITY IS % OF ITS PRINCIPAL AMOUNT AT STATED MATURITY SET FORTH BELOW (ITS ?PRINCIPAL AMOUNT?), THE AMOUNT OF ORIGINAL ISSUE DISCOUNT IS % OF ITS PRINCIPAL AMOUNT, THE YIELD TO |
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| May 16, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2022 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commission |
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| May 16, 2022 |
Sales Agreement, dated May 16, 2022, by and between the Registrant and Cowen and Company LLC Exhibit 1.2 IMPEL PHARMACEUTICALS INC. $50,000,000 OF SHARES OF COMMON STOCK SALES AGREEMENT May 16, 2022 Cowen and Company, LLC 599 Lexington Avenue New York, NY 10022 Ladies and Gentlemen: Impel Pharmaceuticals Inc. the ?Company?), confirms its agreement (this ?Agreement?) with Cowen and Company, LLC (?Cowen?), as follows: 1. Issuance and Sale of Placement Shares. The Company agrees that, from t |
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| May 16, 2022 |
Exhibit 10.2 Execution Version REVENUE INTEREST FINANCING AGREEMENT Dated as of March 17, 2022 between IMPEL NEUROPHARMA, INC., THE PURCHASERS FROM TIME TO TIME PARTY HERETO, and OAKTREE FUND ADMINISTRATION, LLC, as the Administrative Agent 4895-2136-9357 v.12 Table of Contents 1 4895-2136-9357 v.12 Article I DEFINITIONS 1 Section 1.01 Definitions 1 Article II PURCHASE OF ASSIGNED INTERESTS 31 Sec |
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| May 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40353 IMPEL PHAR |
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| May 16, 2022 |
Exhibit 4.4 IMPEL PHARMACEUTICALS INC. And , as Trustee INDENTURE Dated as of , TABLE OF CONTENTS Table of Contents Page ARTICLE 1 - DEFINITIONS AND INCORPORATION BY REFERENCE 1 1.1 DEFINITIONS. 1 1.2 OTHER DEFINITIONS. 4 1.3 INCORPORATION BY REFERENCE OF TRUST INDENTURE ACT. 4 1.4 RULES OF CONSTRUCTION. 5 ARTICLE 2 - THE SECURITIES 5 2.1 ISSUABLE IN SERIES. 5 2.2 ESTABLISHMENT OF TERMS OF SERIES |
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| May 16, 2022 |
Exhibit 10.1 Execution Version CREDIT AGREEMENT AND GUARANTY dated as of March 17, 2022 by and among IMPEL NEUROPHARMA, INC., as the Borrower, THE SUBSIDIARY GUARANTORS FROM TIME TO TIME PARTY HERETO, as the Guarantors, THE LENDERS FROM TIME TO TIME PARTY HERETO as the Lenders, and OAKTREE FUND ADMINISTRATION, LLC, as the Administrative Agent U.S. $50,000,000 4882-5123-7900 v.12 TABLE OF CONTENTS |
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| April 26, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 26, 2022 IMPEL PHARMACEUTICALS INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commissi |
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| April 26, 2022 |
EXHIBIT 3.1 CERTIFICATE OF AMENDMENT OF RESTATED CERTIFICATE OF INCORPORATION OF IMPEL NEUROPHARMA, INC. Impel NeuroPharma, Inc., a Delaware corporation (the ?Corporation?), does hereby certify that the following amendment to the corporation?s Restated Certificate of Incorporation has been duly adopted in accordance with the provisions of Section 242 of the Delaware General Corporation Law. FIRST: |
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| April 26, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a?101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Ru |
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| April 26, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a?101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Ru |
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| April 14, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 14, 2022 IMPEL NEUROPHARMA, INC (Exact name of Registrant as Specified in Its Charter) Delaware 001-40353 26-3058238 (State or Other Jurisdiction of Incorporation) (Commission F |
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| April 14, 2022 |
Impel NeuroPharma, Inc. Corporate Presentation April 2022 Exhibit 99.1 Forward-Looking Statements This presentation and the accompanying oral commentary contains forward-looking statements that are based on our management?s beliefs and assumptions and on information currently available to our management. Forward-looking statements include all statements other than statements of historical fact con |
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| March 29, 2022 |
As filed with the Securities and Exchange Commission on March 29, 2022 As filed with the Securities and Exchange Commission on March 29, 2022 Registration No. |
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| March 29, 2022 |
EX-FILING FEES 4 d340315dexfilingfees.htm EX-FILING FEES Exhibit 107 CALCULATION OF FILING FEE TABLES Form S-8 (Form Type) Impel NeuroPharma, Inc. (Exact Name of Registrant as Specified in Its Charter) Table 1 – Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate |
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| March 29, 2022 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of Registrant Name of Subsidiary Jurisdiction of Incorporation Impel NeuroPharma Australia PTY LTD Australia |
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| March 29, 2022 |
Employment Agreement, dated April 15, 2021, by and between the registrant and Leonard Paolillo. Exhibit 10.9 IMPEL NEUROPHARMA, INC. April 15, 2021 Leonard Paolillo Sent via email Dear Leonard: Impel NeuroPharma, Inc. (the ?Company?) is pleased to continue your employment with the Company on the following terms, effective as of the date on which the Company?s registration statement on Form S-1 in connection with its initial public offering of common stock (the ?IPO?) is declared effective by |
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| March 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40353 IMPEL NEUROPHAR |
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| March 24, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 24, 2022 IMPEL NEUROPHARMA, INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commission |
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| March 24, 2022 |
EXHIBIT 99.1 Impel NeuroPharma Announces FOURTH Quarter AND fULL YEAR 2021 Financial Results and Provides CORPORATE Update Trudhesa? Exceeds Fourth Quarter 2021 Prescription Guidance; Strong Launch Continues Into 2022 Demonstrated by 157% Growth Since December 31, 2021 Planned Initiation of INP105 Proof-Of-Concept Study for Autism Spectrum Disorder in First Half of 2022 Recent $100 million Royalty |
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| March 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 17, 2022 IMPEL NEUROPHARMA, INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commission |
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| January 18, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 18, 2022 IMPEL NEUROPHARMA, INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commissio |
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| January 18, 2022 |
EX-99.2 3 impl-ex992.htm EX-99.2 Impel NeuroPharma, Inc. Corporate Presentation January 2022 Exhibit 99.2 Safe Harbor Statement This presentation and the accompanying oral commentary by Impel NeuroPharma, Inc. (“we,” “us,” “our,” “Impel” or the “Company”) contains forward-looking statements that are based on our management’s beliefs and assumptions and on information currently available to our man |
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| January 18, 2022 |
Exhibit 99.1 Impel NeuroPharma Provides Updates on TrudhesaTM Launch and Recent Business Highlights Trudhesa? (Dihydroergotamine Mesylate) Nasal Spray for Acute Migraine Delivered Strong Q4 2021 Launch with 4,200 (TRx) Prescriptions; Exceeding Company?s Guidance Range Achieved Broad and Favorable Trudhesa? Payer Coverage with Signed Agreements Covering 80% of U.S. Commercial Lives Planned Initiati |
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| November 15, 2021 |
Exhibit 4.4 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 6.3 AND 6.4 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR, IN THE OPINION OF LEGAL COUNSEL IN FORM AND SUBSTAN |
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| November 15, 2021 |
Confidential Draft ? Not for Distribution Exhibit 99.1 Impel NeuroPharma Announces THIRD Quarter 2021 Financial Results and Provides CORPORATE Update Launched Trudhesa? (dihydroergotamine mesylate) Nasal Spray (0.725 mg per spray) for the Acute Treatment of Migraine with and without Aura in Adults Mobilized 60-Person Salesforce with a Targeted Focus on High-Prescribing Neurologists, Headache Speci |
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| November 15, 2021 |
Exhibit 4.3 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 6.3 AND 6.4 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR, IN THE OPINION OF LEGAL COUNSEL IN FORM AND SUBSTAN |
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| November 15, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 15, 2021 IMPEL NEUROPHARMA, INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commissi |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40353 IMPEL |
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| October 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 30, 2021 IMPEL NEUROPHARMA, INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commiss |
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| September 10, 2021 |
3,000,000 Shares Impel NeuroPharma, Inc. Common Stock Table of Contents Filed Pursuant to Rule 424(b)4 Registration No. 333-259363 PROSPECTUS 3,000,000 Shares Impel NeuroPharma, Inc. Common Stock We are offering 3,000,000 shares of our common stock. Our common stock is listed on The Nasdaq Global Market under the symbol ?IMPL.? On September 9, 2021, the last reported sale price of our common stock as reported on the Nasdaq Global Market was $21.13 pe |
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| September 7, 2021 |
September 7, 2021 Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N. |
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| September 7, 2021 |
Impel NeuroPharma, Inc. 201 Elliott Avenue West, Suite 260 Seattle, WA 98119 September 7, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attention: Dillon Hagius Re: Impel NeuroPharma, Inc. Registration Statement on Form S-1 (File No. 333-259363) originally filed September 7, 2021 Requested Da |
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| September 7, 2021 |
Form of Underwriting Agreement. Exhibit 1.1 Impel NeuroPharma, Inc. [?] Shares Common Stock ($0.001 par value) Underwriting Agreement New York, New York [?], 2021 Cowen and Company, LLC Guggenheim Securities, LLC As Representatives of the several Underwriters, c/o Cowen and Company, LLC 599 Lexington Avenue New York, New York 10022 c/o Guggenheim Securities, LLC 330 Madison Avenue New York, New York 10017 Ladies and Gentlemen: I |
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| September 7, 2021 |
Table of Contents As filed with the Securities and Exchange Commission on September 7, 2021. |
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| August 25, 2021 |
Table of Contents As confidentially submitted to the Securities and Exchange Commission on August 25, 2021 This draft registration statement has not been publicly filed with the Securities and Exchange Commission and all information herein remains strictly confidential. |
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| August 16, 2021 |
Exhibit 4.4 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 6.3 AND 6.4 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR, IN THE OPINION OF LEGAL COUNSEL IN FORM AND SUBSTAN |
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| August 16, 2021 |
Exhibit 10.4 LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT (as the same may from time to time be amended, modified, supplemented or restated, this ?Agreement?) dated as of July 2, 2021 (the ?Effective Date?) among OXFORD FINANCE LLC, a Delaware limited liability company with an office located at 115 South Union Street, Suite 300, Alexandria, VA 22314 (?Oxford?), as collateral agent |
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| August 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40353 IMPEL NEURO |
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| August 16, 2021 |
Exhibit 99.1 Impel NeuroPharma Announces SECOND Quarter 2021 Financial Results and Provides CORPORATE Update TRUDHESA? New Drug Application (NDA) Under Review by U.S. Food & Drug Administration (FDA) with PDUFA Target Action Date of September 6, 2021 Preparations On Track for Potential TRUDHESA Launch in the Fourth Quarter of 2021 Increased Cash Position and Extended Runway through 2022 Following |
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| August 16, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 16, 2021 IMPEL NEUROPHARMA, INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commission |
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| August 16, 2021 |
Exhibit 4.3 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 6.3 AND 6.4 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR, IN THE OPINION OF LEGAL COUNSEL IN FORM AND SUBSTAN |
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| August 10, 2021 |
IMPL / Impel NeuroPharma, Inc. / Norwest Venture Partners XIV, LP - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Impel NeuroPharma, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 45258K109 (CUSIP Number) June 30, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
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| July 7, 2021 |
Exhibit 99.1 Impel NeuroPharma ENTERS INTO A $50 Million Debt FINANCING AGREEMENT with OXFORD FINANCE LLC AND Silicon Valley Bank SEATTLE, July 7th, 2021 ? Impel NeuroPharma, Inc. (Impel), a late-stage biopharmaceutical company focused on the development and commercialization of transformative therapies for patients living with central nervous system (CNS) diseases with high unmet medical needs, t |
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| July 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 2, 2021 IMPEL NEUROPHARMA, INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 7, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 7, 2021 IMPEL NEUROPHARMA, INC. (Exact name of registrant as specified in its charter) Delaware 001-40353 26-3058238 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 7, 2021 |
Impel NeuroPharma Announces First Quarter 2021 Financial Results and Provides Business Update Exhibit 99.1 Impel NeuroPharma Announces First Quarter 2021 Financial Results and Provides Business Update - Completed successful IPO raising approximately $80.0 million in gross proceeds ? - NDA for TRUDHESA for treatment of acute migraine accepted for review by FDA; PDUFA date of September 6, 2021 - - Strengthened commercial capabilities with expanded management team and strategic collaboration |
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| June 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40353 IMPEL NEUR |
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| June 7, 2021 |
Restated Certificate of Incorporation Exhibit 3.1 IMPEL NEUROPHARMA, INC. RESTATED CERTIFICATE OF INCORPORATION Impel NeuroPharma, Inc., a Delaware corporation (the ?Corporation?), hereby certifies as follows: 1. The name of this corporation is ?Impel NeuroPharma, Inc.? The date of the filing of the Corporation?s original Certificate of Incorporation with the Secretary of State of the State of Delaware was July 24, 2008 under the name |
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| June 7, 2021 |
Exhibit 3.2 IMPEL NEUROPHARMA, Inc. (a Delaware corporation) RESTATED BYLAWS As Adopted April 13, 2021 and As Effective April 27, 2021 IMPEL NEUROPHARMA, Inc. (a Delaware corporation) RESTATED BYLAWS TABLE OF CONTENTS Article I: STOCKHOLDERS 1 Section 1.1: Annual Meetings. 1 Section 1.2: Special Meetings. 1 Section 1.3: Notice of Meetings. 1 Section 1.4: Adjournments. 1 Section 1.5: Quorum. 2 Sect |
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| May 7, 2021 |
EXHIBIT B POWER OF ATTORNEY Know all men by these presents that Henry R. Kravis does hereby make, constitute and appoint William J. Janetschek, David J. Sorkin, Terence P. Gallagher, and Christopher B. Lee, or any one of them, as a true and lawful attorney-in-fact of the undersigned with full powers of substitution and revocation, for and in the name, place and stead of the undersigned (both in th |
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| May 7, 2021 |
EXHIBIT D LOCK-UP AGREEMENT Impel NeuroPharma, Inc. Public Offering of Common Stock April 10, 2021 Cowen and Company, LLC Guggenheim Securities, LLC As Representatives of the several Underwriters, c/o Cowen and Company,LLC 599 Lexington Avenue New York, New York 10022 c/o Guggenheim Securities, LLC 330 Madison Avenue New York, New York 10017 Ladies and Gentlemen: This letter (this ?Letter Agreemen |
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| May 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Impel Neuropharma, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 45258K109 (CUSIP Number) April 27, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| May 7, 2021 |
EXHIBIT A JOINT FILING AGREEMENT This will confirm the agreement by and among the undersigned that the Schedule 13D filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the Common Stock of Impel NeuroPharma, Inc. |
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| May 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Impel Neuropharma, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 45258K109 (CUSIP Number) April 27, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| May 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Impel NeuroPharma, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 45258K109 (CUSIP Number) David J. Sorkin, Esq. Kohlberg Kravis Roberts & Co. L.P. 30 Hudson Yards New York, New York 10001 Telephone: (212) 75 |
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| May 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Impel NeuroPharma, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 45258K109 (CUSIP Number) April 27, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| April 23, 2021 |
As filed with the Securities and Exchange Commission on April 23, 2021 Registration No. |
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| April 23, 2021 |
5,333,334 Shares Impel NeuroPharma, Inc. Common Stock Table of Contents Filed Pursuant to Rule 424(b)(1) Registration No. 333-254999 Prospectus 5,333,334 Shares Impel NeuroPharma, Inc. Common Stock This is an initial public offering of shares of our common stock. We are offering 5,333,334 shares of our common stock. Prior to this offering, there has been no public market for our common stock. The initial public offering price is $15.00 per share. We |
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| April 20, 2021 |
April 20, 2021 Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N. |
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| April 20, 2021 |
April 20, 2021 AMANDA ROSE EMAIL: [email protected] Direct Dial: +1 (206) 389-4553 VIA EDGAR AND OVERNIGHT DELIVERY U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, DC 20549 Attention: David Gessert Tim Buchmiller Jeanne Bennett Lynn Dicker Re: Impel NeuroPharma, Inc. Amendment No. 1 to Registration Statement on Form S-1 Filed April 19, 2021 File |
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| April 20, 2021 |
Impel NeuroPharma, Inc. 201 Elliott Avenue West, Suite 260 Seattle, WA 98119 April 20, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attention: David Gessert Tim Buchmiller Jeanne Bennet Lynn Dicker Re: Impel NeuroPharma, Inc. Registration Statement on Form S-1 (File No. 333-254999) originall |
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| April 19, 2021 |
Restated Certificate of Incorporation, as amended to date, as currently in effect. Exhibit 3.1 IMPEL NEUROPHARMA, INC. RESTATED CERTIFICATE OF INCORPORATION (Pursuant to Sections 242 and 245 of the General Corporation Law of the State of Delaware) Impel NeuroPharma, Inc., a corporation organized and existing under and by virtue of the provisions of the General Corporation Law of the State of Delaware (the ?General Corporation Law?), does hereby certify as follows. 1. The name of |
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| April 19, 2021 |
Form of Restated Bylaws of the Registrant Exhibit 3.4 IMPEL NEUROPHARMA, INC. (a Delaware corporation) RESTATED BYLAWS As Adopted [], 2021 and As Effective [], 2021 IMPEL NEUROPHARMA, INC. (a Delaware corporation) RESTATED BYLAWS TABLE OF CONTENTS Article I: STOCKHOLDERS 1 Section 1.1: Annual Meetings 1 Section 1.2: Special Meetings 1 Section 1.3: Notice of Meetings 1 Section 1.4: Adjournments 2 Section 1.5: Quorum 2 Section 1.6: Organiza |
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| April 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF l934 IMPEL NEUROPHARMA, INC. (Exact name of Registrant as specified in its charter) Delaware 26-3058238 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No. |
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| April 19, 2021 |
Bylaws, as currently in effect. Exhibit 3.3 IMPEL NEUROPHARMA, INC. a Delaware Corporation BYLAWS As Adopted September 3, 2008 IMPEL NEUROPHARMA, INC. a Delaware Corporation BYLAWS TABLE OF CONTENTS Page ARTICLE I: STOCKHOLDERS 1 Section 1.1: Annual Meetings 1 Section 1.2: Special Meetings 1 Section 1.3: Notice of Meetings 1 Section 1.4: Adjournments 1 Section 1.5: Quorum 2 Section 1.6: Organization 2 Section 1.7: Voting; Proxie |
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| April 19, 2021 |
Form of Underwriting Agreement. Exhibit 1.1 Impel NeuroPharma, Inc. [?] Shares Common Stock ($0.001 par value) Underwriting Agreement New York, New York [?], 2021 Cowen and Company, LLC Guggenheim Securities, LLC As Representatives of the several Underwriters, c/o Cowen and Company, LLC 599 Lexington Avenue New York, New York 10022 c/o Guggenheim Securities, LLC 330 Madison Avenue New York, New York 10017 Ladies and Gentlemen: I |
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| April 19, 2021 |
2021 Employee Stock Purchase Plan, and forms of award agreements. Exhibit 10.5 IMPEL NEUROPHARMA, INC. 2021 EMPLOYEE STOCK PURCHASE PLAN 1. PURPOSE. Impel NeuroPharma, Inc. adopted the Plan effective as of the Effective Date. The purpose of this Plan is to provide eligible employees of the Company and the Participating Corporations with a means of acquiring an equity interest in the Company, to enhance such employees? sense of participation in the affairs of the |
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| April 19, 2021 |
Exhibit 3.2 IMPEL NEUROPHARMA, INC. RESTATED CERTIFICATE OF INCORPORATION Impel NeuroPharma, Inc., a Delaware corporation (the ?Corporation?), hereby certifies as follows: 1. The name of this corporation is ?Impel NeuroPharma, Inc.? The date of the filing of the Corporation?s original Certificate of Incorporation with the Secretary of State of the State of Delaware was July 24, 2008 under the name |
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| April 19, 2021 |
Table of Contents As filed with the Securities and Exchange Commission on April 19, 2021 Registration No. |
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| April 19, 2021 |
Form of Registrant’s Common Stock certificate Exhibit 4.1 IN CUSIP 45258K 10 9 INCORPORATED UNDER THE LAWS OF THE STATE SEE REVERSE FOR CERTAIN OF DELAWARE DEFINITIONS AND LEGENDS This certifies that BY: AMERICAN COUNTERSIGNED is the record holder of STOCK AND FULLY PAID AND NONASSESSABLE SHARES OF COMMON STOCK, $0.001 PAR VALUE PER SHARE, OF (BROOKLYN, IMPEL NEUROPHARMA, INC. TRANSFER transferable on the books of the Corporation in person or |
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| April 19, 2021 |
Exhibit 10.1 INDEMNITY AGREEMENT This Indemnity Agreement, dated as of [ ], 2021 is made by and between Impel NeuroPharma, Inc., a Delaware corporation (the ?Company?), and [], a director, officer or key employee of the Company or one of the Company?s subsidiaries or other service provider who satisfies the definition of Indemnifiable Person set forth below (?Indemnitee?). RECITALS A. The Company |
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| April 19, 2021 |
Employment Agreement, dated April 15, 2021, by and between the registrant and Adrian Adams. Exhibit 10.6 IMPEL NEUROPHARMA, INC. April 15, 2021 Adrian Adams Sent via email Dear Adrian: Impel NeuroPharma, Inc. (the ?Company?) is pleased to continue your employment with the Company on the following terms, effective as of the date on which the Company?s registration statement on Form S-1 in connection with its initial public offering of common stock (the ?IPO?) is declared effective by the |
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| April 19, 2021 |
Employment Agreement, dated April 15, 2021, by and between the registrant and Stephen Shrewsbury. Exhibit 10.7 IMPEL NEUROPHARMA, INC. April 15, 2021 Stephen Shrewsbury Sent via email Dear Stephen: Impel NeuroPharma, Inc. (the ?Company?) is pleased to continue your employment with the Company on the following terms, effective as of the date on which the Company?s registration statement on Form S-1 in connection with its initial public offering of common stock (the ?IPO?) is declared effective |
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| April 19, 2021 |
Employment Agreement, dated April 15, 2021, by and between the registrant and John Leaman. Exhibit 10.8 IMPEL NEUROPHARMA, INC. April 15, 2021 John Leaman Sent via email Dear John: Impel NeuroPharma, Inc. (the ?Company?) is pleased to continue your employment with the Company on the following terms, effective as of the date on which the Company?s registration statement on Form S-1 in connection with its initial public offering of common stock (the ?IPO?) is declared effective by the Sec |
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| April 19, 2021 |
2021 Equity Incentive Plan, and forms of award agreements. Exhibit 10.4 IMPEL NEUROPHARMA, INC. 2021 EQUITY INCENTIVE PLAN 1. PURPOSE. The purpose of this Plan is to provide incentives to attract, retain, and motivate eligible persons whose present and potential contributions are important to the success of the Company, and any Parents, Subsidiaries, and Affiliates that exist now or in the future, by offering them an opportunity to participate in the Comp |
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| April 9, 2021 |
April 9, 2021 CERTAIN PORTIONS OF THIS LETTER AS FILED VIA EDGAR HAVE BEEN OMITTED AND FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION. |
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| April 2, 2021 |
Exhibit 10.10 LOAN AND SECURITY AGREEMENT Dated as of November 5, 2020 between IMPEL NEUROPHARMA, INC., a Delaware corporation, as ?Borrower?, and AVENUE VENTURE OPPORTUNITIES FUND, L.P., a Delaware limited partnership, as ?Lender? LOAN AND SECURITY AGREEMENT Borrower and Lender have entered or anticipate entering into one or more transactions pursuant to which Lender agrees to make available to B |
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| April 2, 2021 |
Restated Certificate of Incorporation, as amended to date, as currently in effect. EXHIBIT 3.1 CERTIFICATE OF AMENDMENT OF THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF IMPEL NEUROPHARMA, INC. (a Delaware corporation) Pursuant to Section 242 of the General Corporation Law of the State of Delaware, Impel NeuroPharma, Inc., a corporation organized and existing under the General Corporation Law (the ?General Corporation Law?) of the State of Delaware (the ?Corporation?), |
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| April 2, 2021 |
Form of 2021 Convertible Promissory Note. Exhibit 4.3 THIS NOTE AND THE SECURITIES ISSUABLE UPON CONVERSION OF THIS NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), OR UNDER THE SECURITIES LAWS OF APPLICABLE STATES. THESE SECURITIES ARE SUBJECT TO RESTRICTIONS ON TRANSFERABILITY AND RESALE AND MAY NOT BE TRANSFERRED OR RESOLD EXCEPT AS PERMITTED UNDER THE ACT AND THE APPLICABLE STATE SECURITIES LAWS, |
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| April 2, 2021 |
CORRESP 1 filename1.htm 1191 Second Avenue 10th Floor Seattle, WA 98101 206.389.4510 Fenwick.com April 2, 2021 AMANDA ROSE EMAIL: [email protected] Direct Dial: +1 (206) 389-4553 VIA EDGAR AND OVERNIGHT DELIVERY U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, DC 20549 Attention: David Gessert Tim Buchmiller Jeanne Bennett Lynn Dicker Re: Impel N |
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| April 2, 2021 |
EXHIBIT 4.2 IMPEL NEUROPHARMA, INC. AMENDED AND RESTATED INVESTORS? RIGHTS AGREEMENT This Amended and Restated Investors? Rights Agreement (this ?Agreement?) is made as of December 4, 2018, by and among Impel NeuroPharma, Inc., a Delaware corporation (the ?Company?), the investors listed on Schedule A hereto (the ?Investors? or ?Holders?). WHEREAS, the Company, the Key Holders (as defined therein) |
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| April 2, 2021 |
EXHIBIT 10.9 LEASE by and between BMR-201 ELLIOTT AVENUE LLC, a Delaware limited liability company and IMPEL NEUROPHARMA, INC., a Delaware corporation Table of Contents 1. Lease of Premises 1 2. Basic Lease Provisions 2 3. Term 4 4. Possession and Commencement Date 4 5. Condition of Premises 6 6. Rentable Area 6 7. Rent 7 8. Rent Adjustments 7 9. Operating Expenses 8 10. Taxes on Tenant?s Property |
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| April 2, 2021 |
Exhibit 10.11 THE SECURITIES REPRESENTED BY THIS CERTIFICATE HAVE BEEN ACQUIRED FOR INVESTMENT AND NOT WITH A VIEW TO, OR IN CONNECTION WITH, THE SALE AND DISTRIBUTION THEREOF, AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?) OR ANY STATE SECURITIES LAWS. SUCH SECURITIES MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF (A) SUCH REGISTRATION, OR (B) AN OPINION O |
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| April 2, 2021 |
Subsidiaries of the registrant. EX-21.1 11 d121817dex211.htm EX-21.1 EXHIBIT 21.1 SUBSIDIARY OF IMPEL NEUROPHARMA, INC. Name of Subsidiary Jurisdiction Impel Neuropharma Australia Pty Ltd Victoria, Australia |
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| April 2, 2021 |
2018 Equity Incentive Plan, and forms of award agreements. EXHIBIT 10.3 IMPEL NEUROPHARMA, INC. 2018 EQUITY INCENTIVE PLAN As Adopted on November 30, 2018 1. PURPOSE. The purpose of this Plan is to provide incentives to attract, retain and motivate eligible persons whose present and potential contributions are important to the success of the Company, its Parent and Subsidiaries by offering eligible persons an opportunity to participate in the Company?s fu |
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| April 2, 2021 |
Table of Contents As filed with the Securities and Exchange Commission on April 2, 2021 Registration No. |
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| April 2, 2021 |
Bylaws, as currently in effect. EXHIBIT 3.3 IMPEL NEUROPHARMA, INC. a Delaware Corporation BYLAWS As Adopted September 3, 2008 IMPEL NEUROPHARMA, INC. a Delaware Corporation BYLAWS TABLE OF CONTENTS Page ARTICLE I: STOCKHOLDERS 1 Section 1.1: Annual Meetings 1 Section 1.2: Special Meetings 1 Section 1.3: Notice of Meetings 1 Section 1.4: Adjournments 1 Section 1.5: Quorum 2 Section 1.6: Organization 2 Section 1.7: Voting; Proxie |
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| April 2, 2021 |
2008 Equity Incentive Plan, and forms of award agreements. EXHIBIT 10.2 IMPEL NEUROPHARMA, INC. 2008 EQUITY INCENTIVE PLAN Originally Adopted on September 3, 2008 Amended Effective January 13, 2010 to increase plan pool from 500,000 to 2,216,165 shares Amended Effective September 6, 2011 to increase plan pool from 2,216,165 to 3,006,001 shares Amended effective February 3, 2014 to increase plan pool from 3,006,001 to 3,750,000 shares Amended effective Dec |
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| March 23, 2021 |
Table of Contents As confidentially submitted to the Securities and Exchange Commission on March 23, 2021. |
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| March 23, 2021 |
1191 Second Avenue 10th Floor Seattle, WA 98101 206.389.4510 Fenwick.com March 23, 2021 AMANDA ROSE EMAIL: [email protected] Direct Dial: +1 (206) 389-4553 VIA EDGAR AND OVERNIGHT DELIVERY U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, DC 20549 Attention: David Gessert Tim Buchmiller Jeanne Bennett Lynn Dicker Re: Impel NeuroPharma, Inc. Draft |
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| February 12, 2021 |
Table of Contents As confidentially submitted with the Securities and Exchange Commission on February 12, 2021. |
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| February 12, 2021 |
EXHIBIT 10.9 LEASE by and between BMR-201 ELLIOTT AVENUE LLC, a Delaware limited liability company and IMPEL NEUROPHARMA, INC., a Delaware corporation Table of Contents 1. Lease of Premises 1 2. Basic Lease Provisions 2 3. Term 4 4. Possession and Commencement Date 4 5. Condition of Premises 6 6. Rentable Area 6 7. Rent 7 8. Rent Adjustments 7 9. Operating Expenses 8 10. Taxes on Tenant?s Property |
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| February 12, 2021 |
EXHIBIT 21.1 SUBSIDIARY OF IMPEL NEUROPHARMA, INC. Name of Subsidiary Jurisdiction Impel Neuropharma Australia Pty Ltd Victoria, Australia |
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| February 12, 2021 |
EXHIBIT 10.2 IMPEL NEUROPHARMA, INC. 2008 EQUITY INCENTIVE PLAN Originally Adopted on September 3, 2008 Amended Effective January 13, 2010 to increase plan pool from 500,000 to 2,216,165 shares Amended Effective September 6, 2011 to increase plan pool from 2,216,165 to 3,006,001 shares Amended effective February 3, 2014 to increase plan pool from 3,006,001 to 3,750,000 shares Amended effective Dec |
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| February 12, 2021 |
IMPEL NEUROPHARMA, INC. 2018 EQUITY INCENTIVE PLAN As Adopted on November 30, 2018 EXHIBIT 10.3 IMPEL NEUROPHARMA, INC. 2018 EQUITY INCENTIVE PLAN As Adopted on November 30, 2018 1. PURPOSE. The purpose of this Plan is to provide incentives to attract, retain and motivate eligible persons whose present and potential contributions are important to the success of the Company, its Parent and Subsidiaries by offering eligible persons an opportunity to participate in the Company?s fu |
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| February 12, 2021 |
IMPEL NEUROPHARMA, INC. a Delaware Corporation As Adopted September 3, 2008 EXHIBIT 3.3 IMPEL NEUROPHARMA, INC. a Delaware Corporation BYLAWS As Adopted September 3, 2008 IMPEL NEUROPHARMA, INC. a Delaware Corporation BYLAWS TABLE OF CONTENTS Page ARTICLE I: STOCKHOLDERS 1 Section 1.1: Annual Meetings 1 Section 1.2: Special Meetings 1 Section 1.3: Notice of Meetings 1 Section 1.4: Adjournments 1 Section 1.5: Quorum 2 Section 1.6: Organization 2 Section 1.7: Voting; Proxie |
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| February 12, 2021 |
IMPEL NEUROPHARMA, INC. AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENT EXHIBIT 4.2 IMPEL NEUROPHARMA, INC. AMENDED AND RESTATED INVESTORS? RIGHTS AGREEMENT This Amended and Restated Investors? Rights Agreement (this ?Agreement?) is made as of December 4, 2018, by and among Impel NeuroPharma, Inc., a Delaware corporation (the ?Company?), the investors listed on Schedule A hereto (the ?Investors? or ?Holders?). WHEREAS, the Company, the Key Holders (as defined therein) |
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| February 12, 2021 |
Exhibit 10.10 LOAN AND SECURITY AGREEMENT Dated as of November 5, 2020 between IMPEL NEUROPHARMA, INC., a Delaware corporation, as ?Borrower?, and AVENUE VENTURE OPPORTUNITIES FUND, L.P., a Delaware limited partnership, as ?Lender? LOAN AND SECURITY AGREEMENT Borrower and Lender have entered or anticipate entering into one or more transactions pursuant to which Lender agrees to make available to B |
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| February 12, 2021 |
EXHIBIT 3.1 CERTIFICATE OF AMENDMENT OF THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF IMPEL NEUROPHARMA, INC. (a Delaware corporation) Pursuant to Section 242 of the General Corporation Law of the State of Delaware, Impel NeuroPharma, Inc., a corporation organized and existing under the General Corporation Law (the ?General Corporation Law?) of the State of Delaware (the ?Corporation?), |
