NEPTF / Neptune Wellness Solutions Inc. - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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 30, 2024 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 98-1504882 (State or Other Jurisdiction of Incorporation) (Commi

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

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 8, 2024 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 98-1504882 (State or Other Jurisdiction of Incorporation) (Commis

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

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 22, 2024 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 98-1504882 (State or Other Jurisdiction of Incorporation) (Commi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events

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 6, 2024 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 98-1504882 (State or Other Jurisdiction of Incorporation) (Commis

Neptune Appoints Interim President and CEO and Interim COO

Exhibit 99.1 SOURCE: Neptune Wellness Solutions Inc. Neptune Appoints Interim President and CEO and Interim COO LAVAL, QUÉBEC, CANADA – March 8, 2024 – Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT), today announced the Company's Board of Directors has named Board member Michael De Geus Interim President and Chief Executive Officer, effective immediately. Mr. De Geus h

Neptune Announces Decision of Nasdaq Hearings Panel To Delist Common Shares

Exhibit 99.1 SOURCE: Neptune Wellness Solutions Inc. Neptune Announces Decision of Nasdaq Hearings Panel To Delist Common Shares LAVAL, QUÉBEC, CANADA – March 6, 2024 – Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT), today announced an update on the status of its appeal against the determination of the Listing Qualifications Staff of The Nasdaq Stock Market LLC (“Nasda

Regulation FD Disclosure, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, 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): March 5, 2024 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Québec 001-33526 98-1504882 (State or Other Jurisdiction of Incorporation) (Commis

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

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 23, 2024 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Québec 001-33526 98-1504882 (State or Other Jurisdiction of Incorporation) (Co

Neptune Puts Employees, including certain Key Executives, on Mandatory Unpaid Leave of Absence Beginning February 23, 2024

Exhibit 99.1 SOURCE: Neptune Wellness Solutions Inc. Neptune Puts Employees, including certain Key Executives, on Mandatory Unpaid Leave of Absence Beginning February 23, 2024 LAVAL, QUÉBEC, CANADA – February 26, 2024 – Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT), today announced that it has placed certain employees on a mandatory unpaid leave of absence effective F

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 16, 2024 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of registrant as specified in its charter) Québec 001-33526 98-1504882 (State or other jurisdiction (Commission (IRS Employer of incorp

Neptune Reports Fiscal Third Quarter 2024 Financial Results

Exhibit 99.1 EARNINGS RELEASE SOURCE: Neptune Wellness Solutions Inc. Neptune Reports Fiscal Third Quarter 2024 Financial Results LAVAL, QUÉBEC, CANADA – February XX, 2024 – Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT), a consumer-packaged goods company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced its financial and operatin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

34.4 Table of Contents 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 December 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 N

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER:001-33526 CUSIP NUMBER: 64079L303 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tr

NEPT / Neptune Wellness Solutions Inc. / CCUR Holdings, Inc. Passive Investment

SC 13G/A 1 eps11162neptune.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) * Neptune Wellness Solutions Inc. (Name of Issuer) Common Shares (Title of Class of Securities) 64079L204 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to

Neptune Wellness Announces Receipt of Nasdaq Delisting Notice and Intention to Appeal

SOURCE: Neptune Wellness Solutions Inc. Neptune Wellness Announces Receipt of Nasdaq Delisting Notice and Intention to Appeal LAVAL, QUÉBEC, CANADA – December 4, 2023 – Neptune Wellness Solutions Inc. (“Neptune” or the “Company”) (NASDAQ: NEPT), a consumer-packaged goods company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced that it received notification f

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits

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 30, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of registrant as specified in its charter) Québec 001-33526 98-1504882 (State or other jurisdiction (Commission (IRS Employer of incorp

Commercial Guaranty by the Company in favor of the Lender dated effective November 16, 2023

COMMERCIAL GUARANTY (CORPORATE GUARANTOR) IN CONSIDERATION of the sum of One Dollar ($1.

Invoice Purchase and Sale Agreement between Biodroga Nutraceuticals Inc. and the Lender, dated effective November 8, 2023

INVOICE PURCHASE AND SALE AGREEMENT THIS INVOICE PURCHASE AND SALE AGREEMENT (“Agreement”) is made on this 8th day of November 2023 between Biodroga Nutraceuticals Inc.

Inventory Finance Rider between Biodroga Nutraceuticals Inc. and the Lender, dated effective November 8, 2023

INVENTORY FINANCE RIDER TO INVOICE PURCHASE AND SALE AGREEMENT THIS INVENTORY FINANCE RIDER TO INVOICE PURCHASE AND SALE AGREEMENT (“Rider”) is made as of this 8th day of November 2023, by and between Alterna Capital Solutions LLC, a Florida limited liability company (“Purchaser”) and Biodroga Nutraceuticals inc.

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 17, 2023

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 17, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of registrant as specified in its charter) Québec 001-33526 98-1504882 (State or other jurisdiction (Commission (IRS Employer of incorp

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of registrant as specified in its charter) Québec 001-33526 98-1504882 (State or other jurisdiction (Commission (IRS Employer of incorpo

Neptune Reports Fiscal Second Quarter 2024 Financial Results Company to host a conference call at 10:00 a.m. (Eastern Time) Wednesday, November 15, 2023, to discuss these results

EARNINGS RELEASE SOURCE: Neptune Wellness Solutions Inc. Neptune Reports Fiscal Second Quarter 2024 Financial Results Company to host a conference call at 10:00 a.m. (Eastern Time) Wednesday, November 15, 2023, to discuss these results LAVAL, QUÉBEC, CANADA – November 14, 2023 – Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT), a consumer-packaged goods company focused o

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents 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 Numbe

Warrant to Purchase Common Shares

NEITHER THIS WARRANT NOR THE COMMON SHARES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS.

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

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 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of registrant as specified in its charter) Québec 001-33526 98-1504882 (State or other jurisdiction (Commission (IRS Employer of incorpo

Restructuring Agreement, dated as of September 6, 2023, by and among the Company, MSEC and Sprout

THE SECURITIES ACQUIRED PURSUANT TO THIS AGREEMENT WILL NOT BE REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY OTHER APPLICABLE STATE SECURITIES LAWS AND MAY NOT BE OFFERED OR SOLD UNLESS REGISTERED THEREUNDER OR UNLESS AN EXEMPTION FROM SUCH REGISTRATION IS AVAILABLE.

Neptune Wellness Announces Completion of Sprout Organic’s Debt Equitization Neptune has exercised its option to exchange existing Sprout debt for equity resulting in Neptune ownership of approximately 89.5% of Sprout

SOURCE: Neptune Wellness Solutions Inc. Neptune Wellness Announces Completion of Sprout Organic’s Debt Equitization Neptune has exercised its option to exchange existing Sprout debt for equity resulting in Neptune ownership of approximately 89.5% of Sprout LAVAL, QUÉBEC, CANADA – November X, 2023 – Neptune Wellness Solutions Inc. (“Neptune” or the “Company”) (NASDAQ: NEPT), a consumer-packaged goo

Third Amended and Restated Promissory Note, dated as of November 6, 2023

THE SECURITIES REPRESENTED BY THIS INSTRUMENT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (“SECURITIES ACT”), OR REGISTERED OR QUALIFIED UNDER ANY STATE SECURITIES LAWS AND HAVE BEEN TAKEN FOR INVESTMENT PURPOSES ONLY AND NOT WITH A VIEW TO OR FOR SALE IN CONNECTION WITH ANY DISTRIBUTION THEREOF.

NEPT / Neptune Wellness Solutions Inc / Neptune Securities Settlement Fund - SCHEDULE 13D Activist Investment

NETFONE - Schedule 13D (El-Moussa) (W0010741).DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) Neptune Wellness Solutions, Inc. (Name of Issuer) Common stock (Title of Class of Securities) 64079L303 (CUSIP Number) Joshua Silverman, Pomerantz LLP, 10 N. LaSalle St., Suite 3505, Chicago, IL 60005 Telep

Placement Agency Agreement between the Placement Agent and the Company, dated September 21, 2023

Exhibit 10.2 September 21, 2023 Neptune Wellness Solutions Inc. 545 Promenade du Centropolis Suite 100 Laval, Québec, Canada H7T 0A3 Dear Michael Cammarata: This letter (the “Agreement”) constitutes the agreement between A.G.P./Alliance Global Partners (the “Placement Agent”) and Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Québec) (the “Company”

Form of Pre-Funded Warrant

Exhibit 4.2 PREFUNDED COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: Initial Exercise Date: September , 2023 THIS PREFUNDED COMMON SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or

Form of Common Warrant

Exhibit 4.1 COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: Initial Exercise Date: September , 2023 THIS COMMON SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date here

Neptune Wellness Solutions Inc. Announces Pricing of US$4.5 Million Public Offering

Exhibit 99.1 Neptune Wellness Solutions Inc. Announces Pricing of US$4.5 Million Public Offering LAVAL, QC and JUPITER, FL, September 21, 2023 /CNW/ - Neptune Wellness Solutions Inc. (“Neptune” or the “Company”) (NASDAQ: NEPT), a consumer-packaged goods company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced the pricing of its public offering of 1,800,000 o

Form of Warrant Amendment

Exhibit 4.3 NEPTUNE WELLNESS SOLUTIONS INC. AMENDMENT TO THE COMMON SHARE PURCHASE WARRANTS This Amendment to the Common Share Purchase Warrants (this “Amendment”) is entered into as of September 21, 2023, by and between Neptune Wellness Solutions Inc., a Quebec corporation (the “Company”), and [●] (the “Holder”). WHEREAS, the Holder is the holder of (i) warrants issued as of ●, to purchase up to

Form of Securities Purchase Agreement

Exhibit 10.1 Execution Version SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of September 21, 2023, between Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Québec) (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” a

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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 21, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of registrant as specified in its charter) Québec 001-33526 Not Applicable (State or other jurisdiction (Commission (IRS Employer of i

Neptune Wellness Solutions Inc. Closes US$4.5 Million Public Offering

Exhibit 99.2 SOURCE: Neptune Wellness Solutions Inc. Neptune Wellness Solutions Inc. Closes US$4.5 Million Public Offering LAVAL, QC & JUPITER, FL– September 26, 2023 – Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT), a consumer-packaged goods company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced that it has closed the previous

Neptune Wellness Solutions Inc. 250,000 Common Shares Pre-Funded Warrants to Purchase up to 1,550,000 Common Shares Common Warrants to Purchase 1,800,000 Common Shares 3,350,000 Common Shares Underlying the Common Warrants and Pre-Funded Warrants

Table of Contents Filed pursuant to Rule 424(b)(4) Registration No. 333-273545 PROSPECTUS Neptune Wellness Solutions Inc. 250,000 Common Shares Pre-Funded Warrants to Purchase up to 1,550,000 Common Shares Common Warrants to Purchase 1,800,000 Common Shares 3,350,000 Common Shares Underlying the Common Warrants and Pre-Funded Warrants We are offering on a “reasonable best efforts basis” up to 1,80

VIA EDGAR

545 Promenade du Centropolis, Suite 100 Tel. : +1 450 687 2262 Laval, Québec, Canada H7T 0A3 Fax. : +1 450 687 2272 neptunecorp.com Toll-free : 1 888 664 9166 VIA EDGAR September 20, 2023 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3561 Re: Neptune Wellness Solutions Inc. Registration Statement on Form S-1 Filed on July 31, 2023

VIA EDGAR

545 Promenade du Centropolis, Suite 100 Tel. : +1 450 687 2262 Laval, Québec, Canada H7T 0A3 Fax. : +1 450 687 2272 neptunecorp.com Toll-free : 1 888 664 9166 VIA EDGAR September 20, 2023 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3561 Re: Neptune Wellness Solutions Inc. (the “Registrant”) Registration Statement on Form S-1 Fil

September 20, 2023

September 20, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Neptune Wellness Solutions Inc. Registration Statement on Form S-1 File No. 333-273545 Request for Acceleration of Effective Date Ladies and Gentlemen: In accordance with Rule 461 under the Securities Act of 1933, as amended (the “Act”), we, as placemen

VIA EDGAR

545 Promenade du Centropolis, Suite 100 Tel.: +1450687 2262 Laval, Québec, Canada H7T 0A3 Fax.: +1450687 2272 neptunecorp.com Toll-free : 1888664 9166 VIA EDGAR September 19, 2023 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3561 Re: Neptune Wellness Solutions Inc. Registration Statement on Form S-1 Filed on July 31, 2023, as ame

As filed with the Securities and Exchange Commission on September 15, 2023

Table of Contents As filed with the Securities and Exchange Commission on September 15, 2023 Registration No.

Form of Pre-Funded Warrant

Exhibit 4.12 PREFUNDED COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: Initial Exercise Date: September , 2023 THIS PREFUNDED COMMON SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on o

Form of Securities Purchase Agreement

Exhibit 10.34 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of September [ ], 2023, between Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Québec) (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively

Filing Fee Table

EXHIBIT 107 Calculation of Filing Fee Tables Form S-1 (Form Type) NEPTUNE WELLNESS SOLUTIONS INC.

Form of Common Warrant

Exhibit 4.11 COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: Initial Exercise Date: September , 2023 THIS COMMON SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date her

Third Amendment to Note Purchase Agreement dated as of September 8, 2023, between the Company, Neptune Growth Ventures, Inc., Sprout Foods, Inc., CCUR Holdings, Inc., as collateral agent, and the other Purchasers party thereto.

Exhibit 10.35 THIRD AMENDMENT TO NOTE PURCHASE AGREEMENT This THIRD AMENDMENT TO NOTE PURCHASE AGREEMENT (this “Amendment”), dated as of September 8, 2023 (the “Third Amendment Effective Date”), is entered into by and among Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Québec) and domiciled in Canada (the “Company”), Neptune Growth Ventures, Inc.,

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

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 8, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of registrant as specified in its charter) Québec 001-33526 Not Applicable (State or other jurisdiction (Commission (IRS

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

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 05, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 00-0000000 (State or Other Jurisdiction of Incorporation) (C

Neptune Wellness Solutions Inc. Completes Share Consolidation

Exhibit 99.1 Neptune Wellness Solutions Inc. Completes Share Consolidation LAVAL, QC, September 7, 2023 – Neptune Wellness Solutions Inc. (“Neptune” or the “Company”) (NASDAQ: NEPT), a consumer-packaged goods company focused on plant-based, sustainable and purpose-driven lifestyle brands, announced today, further to its news release on August 22, 2023, the completion of the Company’s proposed cons

Translation of Articles of Amendment to the Articles of Incorporation of Neptune Wellness Solutions Inc.

Exhibit 3.1 UNOFFICIAL TRANSLATION PREPARED BY OSLER CERTIFICATE OF AMENDMENT Business Corporations Act (CQLR, chapter S-31.1) I attest that the legal person NEPTUNE SOLUTIONS BIEN-ÊTRE INC. and its version NEPTUNE WELLNESS SOLUTIONS INC. has modified its articles pursuant to the Business Corporations Act (Québec) to integrate the changes outlined in the attached articles. September 6, 2023 Filed

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 (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

Summary Restructuring Term Sheet, dated August 16, 2023, between the Company and NH Expansion Credit Fund Holdings L.P.

Exhibit 10.1 NEPTUNE WELLNESS SOLUTIONS INC. Summary Restructuring Option Term Sheet August 16, 2023 This term sheet (this “Term Sheet”) summarizes the principal terms of a restructuring (the “Restructuring”) of the Company (as defined below), and is entered into between Neptune Wellness Solutions Inc. (“Neptune”) and NH Expansion Credit Fund Holdings L.P. (“Morgan Stanley” or "MSEC"). This Term S

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

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 23, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 00-0000000 (State or Other Jurisdiction of Incorporation) (Comm

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

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 17, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 00-0000000 (State or Other Jurisdiction of Incorporation) (Comm

Neptune Reports Fiscal First Quarter 2024 Financial Results Gross profit margins for Sprout of 26% and Biodroga of 28% Company to host a conference call at 10:00 a.m. (Eastern Time) Friday, August 18, 2023, to discuss these results

Exhibit 99.1 EARNINGS RELEASE SOURCE: Neptune Wellness Solutions Inc. Neptune Reports Fiscal First Quarter 2024 Financial Results Gross profit margins for Sprout of 26% and Biodroga of 28% Company to host a conference call at 10:00 a.m. (Eastern Time) Friday, August 18, 2023, to discuss these results LAVAL, QUÉBEC, CANADA – August 17, 2023 – Neptune Wellness Solutions Inc. ("Neptune" or the "Compa

Neptune Wellness Enters into Binding Term Sheet with Morgan Stanley Providing Option to Exchange Debt of Sprout Organics Neptune has the option within 90 days to exchange existing Sprout debt for Sprout equity resulting in Neptune ownership of approx

Exhibit 99.2 SOURCE: Neptune Wellness Solutions Inc. Neptune Wellness Enters into Binding Term Sheet with Morgan Stanley Providing Option to Exchange Debt of Sprout Organics Neptune has the option within 90 days to exchange existing Sprout debt for Sprout equity resulting in Neptune ownership of approximately 89.5% of Sprout LAVAL, QUÉBEC, CANADA – August 17, 2023 – Neptune Wellness Solutions Inc.

Summary Restructuring Term Sheet, dated August 16, 2023, between the Company and NH Expansion Credit Fund Holdings L.P.

Exhibit 10.1 NEPTUNE WELLNESS SOLUTIONS INC. Summary Restructuring Option Term Sheet August 16, 2023 This term sheet (this “Term Sheet”) summarizes the principal terms of a restructuring (the “Restructuring”) of the Company (as defined below), and is entered into between Neptune Wellness Solutions Inc. (“Neptune”) and NH Expansion Credit Fund Holdings L.P. (“Morgan Stanley” or "MSEC"). This Term S

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 001-33526 NEPTUNE WEL

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER:001-33526 CUSIP NUMBER: 64079L204 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: June 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transi

Neptune Promotes Financial Controller to Interim CFO

Exhibit 99.1 SOURCE: Neptune Wellness Solutions Inc. Neptune Promotes Financial Controller to Interim CFO LAVAL, QUÉBEC, CANADA – August 4, 2023 – Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT), a consumer-packaged goods company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced the promotion of Lisa Gainsborg, currently Neptune’s

Neptune Announces Next Phase of Strategic Review Process Strategic business and financial alternatives considered may include monetization of assets, strategic partnerships and/or the acquisition of the remaining parts of Sprout Organics through an e

Exhibit 99.2 STRATEGIC REVIEW RELEASE SOURCE: Neptune Wellness Solutions Inc. Neptune Announces Next Phase of Strategic Review Process Strategic business and financial alternatives considered may include monetization of assets, strategic partnerships and/or the acquisition of the remaining parts of Sprout Organics through an equity/debt transaction LAVAL, QUÉBEC, CANADA – August 4, 2023 – Neptune

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

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 03, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 00-0000000 (State or Other Jurisdiction of Incorporation) (Comm

As filed with the Securities and Exchange Commission on July 31, 2023

Table of Contents As filed with the Securities and Exchange Commission on July 31, 2023 Registration No.

Filing Fee Table

EXHIBIT 107 Calculation of Filing Fee Tables Form S-1 (Form Type) NEPTUNE WELLNESS SOLUTIONS INC.

Neptune Reports Fiscal Fourth Quarter and Full Year 2023 Financial Results Consolidated revenues for fiscal 2023 totaled $52.6 million, an increase of $3.8 million or 7.8% as compared to $48.8 million for fiscal 2022 Q4 net sales $12.1 million, up 5%

Exhibit 99.1 EARNINGS RELEASE SOURCE: Neptune Wellness Solutions Inc. Neptune Reports Fiscal Fourth Quarter and Full Year 2023 Financial Results Consolidated revenues for fiscal 2023 totaled $52.6 million, an increase of $3.8 million or 7.8% as compared to $48.8 million for fiscal 2022 Q4 net sales $12.1 million, up 5% from last year’s $11.5 million Sprout maintained a top 3 brand position on Amaz

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

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 17, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 00-0000000 (State or Other Jurisdiction of Incorporation) (Commis

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 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 001-33526 NEPTUNE WELLNESS S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER:001-33526 CUSIP NUMBER: 64079L204 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: March 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Trans

NEPT / Neptune Wellness Solutions Inc / Sumar Shohaib Kassam - SC 13D/A Activist Investment

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) NEPTUNE WELLNESS SOLUTIONS INC. (Name of Issuer) Common Stock, no par value per share (Title of Class of Securities) 64079L204 (CUSIP Number) Shohaib Kassam Sumar 13100 Rock Canyon Road Oklahoma City, OK 73142 (405) 642-1377 with a copy to: Greg

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

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, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation) (Com

Letter from KPMG LLP to the Securities and Exchange Commission dated May 30, 2023 (incorporated by reference to Exhibit 16.1 to the Company’s Current Report on Form 8-K dated May 30, 2023)

Exhibit 16.1 KPMG LLP 600 de Maisonneuve Blvd West Suite 1500, Tour KPMG Montréal (Québec) H3A 0A3 Tel. 514-840-2100 Fax. 514-840-2187 www.kpmg.ca May 30, 2023 Securities and Exchange Commission Washington, D.C. 20549 Ladies and Gentlemen: We are currently principal accountants for Neptune Wellness Solutions Inc. (the “Company”) and, under the date of July 7, 2022, we reported on the consolidated

Waiver and Second Amendment to Note Purchase Agreement, dated May 22, 2023, by and among the Company and each of the Purchasers named therein (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K dated May 26, 2023)

Exhibit 10.1 WAIVER AND SECOND AMENDMENT TO NOTE PURCHASE AGREEMENT This WAIVER AND SECOND AMENDMENT TO NOTE PURCHASE AGREEMENT (this “Amendment”), dated as of May 22, 2023 to be effective as of May 15, 2023 (the “Second Amendment Effective Date”), is entered into by and among Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Québec) and domiciled in

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

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 22, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 00-0000000 (State or Other Jurisdiction of Incorporation) (Commiss

Form of Securities Purchase Agreement, dated May 15, 2023, between Neptune Wellness Solutions Inc., and each purchaser identified therein (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on May 15, 2023)

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of May 10, 2023, between Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Québec) (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Pur

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

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 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of registrant as specified in its charter) Québec 001-33526 Not Applicable (State or other jurisdiction (Commission (IRS Employer of incorpo

Placement Agency Agreement between Neptune Wellness Solutions Inc. and A.G.P./Alliance Global Partners (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed on May 16, 2023)

Exhibit 10.2 May 10, 2023 Neptune Wellness Solutions Inc. 545 Promenade du Centropolis Suite 100 Laval, Québec, Canada H7T 0A3 Dear Michael Cammarata: This letter (the “Agreement”) constitutes the agreement between A.G.P./Alliance Global Partners (the “Placement Agent”) and Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Québec) (the “Company”), tha

Form of Pre-Funded Warrant

Exhibit 4.2 PREFUNDED COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: Initial Exercise Date: May 15, 2023 THIS PREFUNDED COMMON SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or aft

Neptune Wellness Solutions Inc. Announces Pricing of US$4 Million Public Offering

Exhibit 99.1 Neptune Wellness Solutions Inc. Announces Pricing of US$4 Million Public Offering LAVAL, QC and JUPITER, FL, May 11, 2023 /CNW/ - Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT), a consumer-packaged goods company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced the pricing of its public offering of 12,121,212 of its c

Neptune Wellness Solutions Inc. Closes US$4 Million Public Offering

Exhibit 99.2 Neptune Wellness Solutions Inc. Closes US$4 Million Public Offering LAVAL, QC and JUPITER, FL, May 15, 2023 /CNW/ - Neptune Wellness Solutions Inc. (“Neptune” or the “Company”) (NASDAQ: NEPT), a consumer-packaged goods company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced that it has closed the previously announced public offering of 12,121,2

Form of Common Warrant

Exhibit 4.1 COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: Initial Exercise Date: May 15, 2023 THIS COMMON SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (

Form of Warrant Amendment, dated May 15, 2023 (incorporated by reference to Exhibit 4.3 to the Company’s Current Report on Form 8-K dated May 16, 2023)

Exhibit 4.3 NEPTUNE WELLNESS SOLUTIONS INC. AMENDMENT TO THE COMMON SHARE PURCHASE WARRANTS This Amendment to the Common Share Purchase Warrants (this “Amendment”) is entered into as of May 15, 2023, by and between Neptune Wellness Solutions Inc., a Quebec corporation (the “Company”), and ● (the “Holder”). WHEREAS, the Holder is the holder of (i) warrants issued as of ●, to purchase up to ● common

Neptune Wellness Solutions Inc. 4,415,162 Common Shares Pre-Funded Warrants to Purchase 7,706,050 Common Shares Common Warrants to Purchase 12,121,212 Common Shares 19,827,262 Common Shares Underlying the Common Warrants and Pre-Funded Warrants

Table of Contents Filed pursuant to Rule 424(b)(4) Registration No. 333-271403 PROSPECTUS Neptune Wellness Solutions Inc. 4,415,162 Common Shares Pre-Funded Warrants to Purchase 7,706,050 Common Shares Common Warrants to Purchase 12,121,212 Common Shares 19,827,262 Common Shares Underlying the Common Warrants and Pre-Funded Warrants We are offering on a “reasonable best efforts basis” 12,121,212 o

Amendment to Invoice Purchase and Security Agreement between Sprout Foods, Inc. and the Alterna Capital Solutions LLC dated effective April 21, 2023 (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K dated May 10, 2023)

Exhibit 10.1 AMENDMENT TO THE INVOICE PURCHASE AND SECURITY AGREEMENT THIS AMENDMENT TO THE INVOICE PURCHASE AND SECURITY AGREEMENT (“Amendment”) is made and entered into this 21st day of April 2023, by and among Sprout Foods, Inc. dba Sprout Organics, a Delaware corporation, (collectively, “Seller”) and Alterna Capital Solutions, LLC (“Purchaser”). WHEREAS, Seller and Purchaser (hereinafter colle

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A 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 23, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation

OFFERING SUMMARY

Filed pursuant to Rule 433 of the Securities Act of 1933 Issuer Free Writing Prospectus dated May 10, 2023 Relating to the Preliminary Prospectus dated May 9, 2023 Registration Statement File No.

Inventory Finance Rider between Sprout Foods, Inc. and the Alterna Capital Solutions LLC dated effective April 21, 2023 (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K dated May 10, 2023)

Exhibit 10.2 INVENTORY FINANCE RIDER TO LEDGERED ABL AGREEMENT THIS INVENTORY FINANCE RIDER TO INVOICE PURCHASE AND SECURITY AGREEMENT (“Rider”) is made as of this 21st day of April 2023, by and between Alterna Capital Solutions LLC, a Florida limited liability company (“Purchaser”) and Sprouts Foods, Inc dba Sprout Organics, a Delaware corporation, (individually or collectively, “Seller” or “Sell

Neptune Wellness’ Organic Baby Food Brand, Sprout Organics, Secures Inventory Financing with Alterna Capital Solutions LLC The partnership expands Sprout’s inventory line, increasing product variety and enhancing supply chain efficiency

Exhibit 99.1 Neptune Wellness’ Organic Baby Food Brand, Sprout Organics, Secures Inventory Financing with Alterna Capital Solutions LLC The partnership expands Sprout’s inventory line, increasing product variety and enhancing supply chain efficiency LAVAL, Q.C., & MONTVALE, N.J. – May 10, 2023 – Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT), a consumer-packaged goods

Calculation of Filing Fee Tables Form S-1 (Form Type) NEPTUNE WELLNESS SOLUTIONS INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities

EXHIBIT 107 Calculation of Filing Fee Tables Form S-1 (Form Type) NEPTUNE WELLNESS SOLUTIONS INC.

Form of Pre-Funded Warrant

Exhibit 4.12 PREFUNDED COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: Initial Exercise Date: , 2023 THIS PREFUNDED COMMON SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after th

Form of Securities Purchase Agreement

Exhibit 10.28 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of , 2023, between Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Québec) (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchase

VIA EDGAR

VIA EDGAR May 9, 2023 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3561 Re: Neptune Wellness Solutions Inc. Registration Statement on Form S-1 Filed on April 24, 2023 File No. 333-271403 Acceleration Request Requested Date: May 10, 2023 Requested Time: 4:30 P.M. Eastern Time Ladies and Gentlemen: In accordance with Rule 461 of th

Form of Common Warrant

Exhibit 4.11 COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: Initial Exercise Date: , 2023 THIS COMMON SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “

As filed with the Securities and Exchange Commission on May 9, 2023

Table of Contents As filed with the Securities and Exchange Commission on May 9, 2023 Registration No.

As filed with the Securities and Exchange Commission on April 21, 2023

Table of Contents As filed with the Securities and Exchange Commission on April 21, 2023 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 2)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 2) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year 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 001-3352

Third Amended and Restated Stockholders’ Agreement, dated as of February 10, 2021, by and among Sprout Foods, Inc., Neptune Growth Ventures, Inc., NH Expansion Credit Fund Holdings L.P., and the other Stockholders listed on the signature pages thereto.

Exhibit 10.26 THIRD AMENDED AND RESTATED STOCKHOLDERS’ AGREEMENT THIRD AMENDED AND RESTATED STOCKHOLDERS’ AGREEMENT (this “Agreement”), dated as of February 10, 2021 (the “Effective Date”), by and among, Sprout Foods, Inc., a Delaware corporation (the “Company”), Neptune Growth Ventures Inc. (“Neptune”), NH Expansion Credit Fund Holdings L.P. (“MSEC”), the other Stockholders (as defined below) lis

Filing Fee Table

EXHIBIT 107 Calculation of Filing Fee Tables Form S-1 (Form Type) NEPTUNE WELLNESS SOLUTIONS INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period 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 Numb

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

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 30, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation) (C

Neptune Reports Fiscal Third Quarter Ended December 31, 2022 Financial Results • YTD net sales $40.5 million, up 8.6% from prior year • Q3 net sales $12.2 million, down $2.5 million from last year, $3.5 million of decrease attributable to sale of can

EARNINGS RELEASE SOURCE: Neptune Wellness Solutions Inc. Neptune Reports Fiscal Third Quarter Ended December 31, 2022 Financial Results • YTD net sales $40.5 million, up 8.6% from prior year • Q3 net sales $12.2 million, down $2.5 million from last year, $3.5 million of decrease attributable to sale of cannabis business • In Q3 Sprout outperformed Organic Shelf Stable Baby Food category, had highe

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 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 001-33526 NEPTUNE

Waiver and First Amendment to Note Purchase Agreement, dated March 9, 2023, by and among the Company and each of the Purchasers named therein (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K dated March 14, 2023)

Exhibit 10.1 WAIVER AND FIRST AMENDMENT TO NOTE PURCHASE AGREEMENT This WAIVER AND FIRST AMENDMENT TO NOTE PURCHASE AGREEMENT (this “Amendment”), dated as of March 9, 2023 (the “First Amendment Effective Date”), is entered into by and among Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Québec) and domiciled in Canada (the “Company”), the Guarantor

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

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 09, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation) (C

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

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 24, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation)

Neptune Announces Receipt of NASDAQ Notification

Exhibit 99.1 SOURCE: Neptune Wellness Solutions Inc. Neptune Announces Receipt of NASDAQ Notification LAVAL, QUÉBEC, CANADA – February 24, 2023 – Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT) ), a consumer-packaged goods company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced that the Company has received written notification f

CA64079L2049 / Neptune Wellness Solutions Inc / CCUR Holdings, Inc. Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Neptune Wellness Solutions, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 64079L204 (CUSIP Number) January 12, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER:001-33526 CUSIP NUMBER: 64079L204 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2022 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tr

AGREEMENT

EX-99.1 EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. Date: February 14, 2023 PERCEPTIVE ADVISORS LLC

CA64079L2049 / Neptune Wellness Solutions Inc / PERCEPTIVE ADVISORS LLC - SC 13G/A Passive Investment

SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 10)* Neptune Wellness Solutions Inc. (Name of Issuer) Common Shares (Title of Class of Securities) 64079L204 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p

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VIA EDGAR January 31, 2023 Office of Life Sciences Division of Corporation Finance United States Securities and Exchange Commission 100 F Street, N.

Filing Fee Table

EX-FILING FEES EXHIBIT 107 Calculation of Filing Fee Tables Form S-1 (Form Type) NEPTUNE WELLNESS SOLUTIONS INC.

As filed with the Securities and Exchange Commission on January 30 , 202 3 Registration No. 333-268196 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 to F ORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES AC

As filed with the Securities and Exchange Commission on January 30 , 202 3 Registration No.

Third Amended and Restated Stockholders’ Agreement, dated as of February 10, 2021, by and among Sprout Foods, Inc., Neptune Growth Ventures, Inc., NH Expansion Credit Fund Holdings L.P. and certain other stockholders.

EX-10.18 Exhibit 10.18 THIRD AMENDED AND RESTATED STOCKHOLDERS’ AGREEMENT THIRD AMENDED AND RESTATED STOCKHOLDERS’ AGREEMENT (this “Agreement”), dated as of February 10, 2021 (the “Effective Date”), by and among, Sprout Foods, Inc., a Delaware corporation (the “Company”), Neptune Growth Ventures Inc. (“Neptune”), NH Expansion Credit Fund Holdings L.P. (“MSEC”), the other Stockholders (as defined b

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

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 23, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation)

Invoice Purchase and Security Agreement between Sprout Foods, Inc. and the Alterna Capital Solutions LLC dated effective January 20, 2023 (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K dated January 26, 2023)

Exhibit 10.1 INVOICE PURCHASE AND SECURITY AGREEMENT THIS INVOICE PURCHASE AND SECURITY AGREEMENT (“Agreement”) is made on this 23rd day of January 2023 between Sprouts Foods, Inc. dba Sprout Organics, a Delaware Corporation ("Sellers") and Alterna Capital Solutions LLC ("Purchaser"). 1. Definitions and Index to Definitions. The following terms shall have the following meanings. All capitalized te

Commercial Guaranty by the Company in favor of Alterna Capital Solutions LLC dated effective January 20, 2023 (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K dated January 26, 2023)

Exhibit 10.2 COMMERCIAL GUARANTY (CORPORATE GUARANTOR) IN CONSIDERATION of the sum of One Dollar ($1.00), cash in hand paid, and other good and valuable consideration, as well as for the purpose of seeking to induce Alterna Capital Solutions LLC having a principal office at 2420 Lakemont Ave, Suite 350, Orlando, FL 32814 (hereinafter termed the "ACS"), to extend or continue to extend financial acc

Neptune Wellness Announces an Accounts Receivable Factoring Facility of up to $5 Million for its Sprout Organics Baby Food Brand

Exhibit 99.1 Neptune Wellness Announces an Accounts Receivable Factoring Facility of up to $5 Million for its Sprout Organics Baby Food Brand LAVAL, QUÉBEC, CANADA – January 24, 2023 – Neptune Wellness Solutions Inc. (“Neptune” or the “Company”) (NASDAQ: NEPT), a consumer-packaged goods company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced that its organi

Form of Warrant, dated January 12, 2023 (including a schedule of all executed warrants adopting the same form in respect of each of the purchasers) (January 2023 Warrant) (incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K dated January 13, 2023

Exhibit 4.1 COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: [Number of Shares] Initial Exercise Date: January 12, 2023 Issue Date: January 12, 2023 THIS COMMON SHARE PURCHASE WARRANT (this “Warrant”) certifies that, for value received, [Name of Holder] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditio

Neptune Announces Closing of Debt Financing

Exhibit 99.1 Neptune Announces Closing of Debt Financing LAVAL, QUÉBEC, CANADA – January 13, 2023 – Neptune Wellness Solutions Inc. (“Neptune” or the “Company”) (NASDAQ: NEPT), a consumer-packaged goods company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced that it has closed on a senior secured notes financing (such notes, the “Notes”) for gross proceeds

Note Purchase Agreement, dated January 12, 2023, by and among the Company and each of the Purchasers named therein (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K dated January 13, 2023)

Exhibit 10.1 NOTE PURCHASE AGREEMENT by and among NEPTUNE WELLNESS SOLUTIONs Inc. as Company, CCUR HOLDINGS, INC. as Collateral Agent and the Purchasers from time to time party hereto Dated as of January 12, 2023 312535771.2 TABLE OF CONTENTS Page Article 1 DEFINITIONS 1 1.1 Definitions 1 Article 2 TERM LOANS 12 2.1 Purchase, Sale and Issuance of the Notes 12 2.2 Fees Payable 13 2.3 Closings 13 Ar

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

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 12, 2023 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation)

Registration Rights Agreement, dated January 12, 2023, by and among the Company and each of the Purchasers named therein (incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K dated January 13, 2023)

Exhibit 10.3 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made and entered into as of January 12, 2023, by and between Neptune Wellness Solutions Inc., a Québec, Canada corporation (the “Company”), and the Persons set forth on Schedule A hereto (the “Purchasers”). WHEREAS, this Agreement is made in connection with the issuance and sale of Common Share Purc

Form of Promissory Note, dated January 12, 2023 (including a schedule of all executed promissory notes adopting the same form in respect of each of the Purchasers) (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K dated January 13, 2023)

Exhibit 10.2 THIS NOTE WAS ISSUED IN A PRIVATE PLACEMENT, WITHOUT REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”) OR THE SECURITIES LAWS OF ANY STATE, AND MAY NOT BE SOLD, ASSIGNED, PLEDGED OR OTHERWISE TRANSFERRED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER THE ACT AND APPLICABLE STATE SECURITIES LAWS COVERING THE TRANSFER OR PURSUANT TO AN APPLICABLE EXEMPTI

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

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 29, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation)

Neptune Announces Receipt of NASDAQ Notification

Exhibit 99.1 SOURCE: Neptune Wellness Solutions Inc. Neptune Announces Receipt of NASDAQ Notification LAVAL, QU?BEC, CANADA ? January 5, 2023 ? Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT), a consumer-packaged goods company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced that the Company has received a written notification (th

Letter to the Board of Directors of Neptune Wellness Solutions Inc.

EX-99.1 Exhibit 99.1 Letter to the Board of Directors of Neptune Wellness Solutions Inc. December 23, 2022 545 Promenade Du Centropolis, Suite 100 Laval, Quebec, Canada, H7T 0A3 RE: Neptune Wellness Solutions, Inc. (the “Company”) Dear Board Members: As I trust you are aware, I have been disappointed and frustrated with not only the performance of the Company, but also my inability to communicate

CA64079L2049 / Neptune Wellness Solutions Inc / Sumar Shohaib Kassam - SC 13D Activist Investment

SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 NEPTUNE WELLNESS SOLUTIONS INC. (Name of Issuer) Common Stock, no par value per share (Title of Class of Securities) 64079L204 (CUSIP Number) Shohaib Kassam Sumar 13100 Rock Canyon Road Oklahoma City, OK 73142 (405) 642-1377 with a copy to: Gregory R. Samuel, Esq. H

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): December 16, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation)

Neptune Reports Fiscal Second Quarter 2023 Financial Results Fiscal Q2 2023 revenue totaled $12 million Sprout revenue totaled $8.4 million, an increase of 19% year-over-year Reported gross profit margin was 9.2% for fiscal second quarter Company set

EX-99.1 2 nept-ex991.htm EX-99.1 Exhibit 99.1 EARNINGS RELEASE SOURCE: Neptune Wellness Solutions Inc. Neptune Reports Fiscal Second Quarter 2023 Financial Results Fiscal Q2 2023 revenue totaled $12 million Sprout revenue totaled $8.4 million, an increase of 19% year-over-year Reported gross profit margin was 9.2% for fiscal second quarter Company sets goal of achieving positive Adjusted EBITDA1 b

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 001-33526 NEPTUN

Neptune Revises Revenue Range to US$11.5 -$ 12.5 Million, Announces Sprout Revenue Growth for Fiscal Second Quarter 2023 and Updates the Timing of Filing its Second Quarter 2023 Financial Information Approximately 70% of Revenue Driven by Sprout Orga

EX-99.1 2 nept-ex991.htm EX-99.1 Exhibit 99.1 SOURCE: Neptune Wellness Solutions Inc. Neptune Revises Revenue Range to US$11.5 -$ 12.5 Million, Announces Sprout Revenue Growth for Fiscal Second Quarter 2023 and Updates the Timing of Filing its Second Quarter 2023 Financial Information Approximately 70% of Revenue Driven by Sprout Organics, up significantly year-over-year LAVAL, QUÉBEC, CANADA – No

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): November 22, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549

NT 10-Q 1 nt10-qq22023.htm NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER:001-33526 CUSIP NUMBER: 64079L204 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: September 30, 2022 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐

As filed with the Securities and Exchange Commission on November 9, 2022

S-1/A Table of Contents As filed with the Securities and Exchange Commission on November 9, 2022 Registration No.

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

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 09, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation)

Neptune Completes Divestiture of Cannabis Assets Divestiture marks a key step in the Company’s strategy to become a leading, pure play CPG company, headlined by the Sprout brand

Exhibit 99.1 Neptune Completes Divestiture of Cannabis Assets Divestiture marks a key step in the Company?s strategy to become a leading, pure play CPG company, headlined by the Sprout brand LAVAL, QU?BEC, CANADA ? November 9, 2022 ? Neptune Wellness Solutions Inc. (?Neptune? or the "Company") (NASDAQ: NEPT), a diversified and fully integrated health and wellness company, announced today that is h

Leak-Out Agreement between Neptune Wellness Solutions Inc. and the Purchasers, dated October 6, 2022 (incorporated by reference to Exhibit 10.14 to the Company’s Registration Statement on Form S-1, as amended, filed on November 7, 2022, and incorporated by reference herein).

Exhibit 10.14 LEAK-OUT AGREEMENT October 6, 2022 This agreement (the ?Leak-Out Agreement?) is being delivered to you in connection with an understanding by and between Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Qu?bec) (the ?Company?), and the person or persons named on the signature pages hereto (collectively, the ?Holder?). Reference is hereb

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A 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 16, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation

Power of Attorney (included on the signature page to the initial filing of the Registration Statement)

Table of Contents As filed with the Securities and Exchange Commission on November 7 , 2022 Registration No.

Subsidiaries of the Registrant

Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Name Jurisdiction of Incorporation 9354-7537 Qu?bec Inc. Qu?bec 9418-1252 Qu?bec Inc. Qu?bec 9463-5455 Qu?bec Inc. Qu?bec Biodroga Nutraceuticals Inc. Qu?bec N Real Estate L.P. Ontario Neptune Care, Inc. Delaware Neptune Forest, Inc. Delaware Neptune Growth Ventures, Inc. Delaware Neptune Health & Wellness Innovation, Inc. Delaware Neptune Holding USA, I

Securities Purchase Agreement, dated June 21, 2022, by and between Neptune Wellness Solutions Inc. and certain institutional investors (incorporated by reference to Exhibit 10.12 to the Company’s Registration Statement on Form S-1, as amended, filed on November 7, 2022, and incorporated by reference herein).

Exhibit 10.12 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of June 21, 2022, between Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Qu?bec) (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively the ?P

Filing Fee Table

EXHIBIT 107 Calculation of Filing Fee Tables Form S-1 (Form Type) NEPTUNE WELLNESS SOLUTIONS INC.

Filing Fee Table.

EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Neptune Wellness Solutions Inc.

As filed with the Securities and Exchange Commission on November 7, 2022

S-8 As filed with the Securities and Exchange Commission on November 7, 2022 Registration No.

Securities Purchase Agreement between Neptune Wellness Solutions Inc. and the Purchasers, dated October 6, 2022 (incorporated by reference to Exhibit 10.13 to the Company’s Registration Statement on Form S-1, as amended, filed on November 7, 2022, and incorporated by reference herein).

Exhibit 10.13 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of October 6, 2022, between Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Qu?bec) (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively the

Financial Statements and Exhibits, Other Events

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 21, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation)

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

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 21, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation)

Neptune Reaches Settlement in Shareholder Class Action Litigation

Exhibit 99.1 Neptune Reaches Settlement in Shareholder Class Action Litigation LAVAL, QU?BEC, CANADA ? October 21, 2022 ? Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced that it has agreed to settle and resolve a putati

Neptune Reaches Settlement in Shareholder Class Action Litigation

Exhibit 99.1 Neptune Reaches Settlement in Shareholder Class Action Litigation LAVAL, QU?BEC, CANADA ? October 21, 2022 ? Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced that it has agreed to settle and resolve a putati

Asset Purchase Agreement by and among N Real Estate L.P., Neptune Wellness Solutions Inc., 9354-7537 Quebec Inc. and PurCann Pharma Inc., dated October 16, 2022 (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed October 18, 2022, and incorporated by reference herein)

Exhibit 10.1 THIS ASSET SALE AND PURCHASE AGREEMENT made as of October 16, 2022. BY AND BETWEEN: N REAL ESTATE L.P., a limited partnership formed under the laws of the Province of Ontario, having its domicile at 6200-100 King Street West, 1 First Canadian Place, Toronto, (Ontario), M5X 1B8, herein acting and represented by its general partner, 9463-5455 Qu?bec Inc., a corporation duly incorporated

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

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 16, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation)

Neptune Announces Binding Agreement for Divestiture of Cannabis Assets Divestiture marks a key step in the Company’s strategy to become a leading, pure play CPG company, headlined by the Sprout brand

Exhibit 99.1 Neptune Announces Binding Agreement for Divestiture of Cannabis Assets Divestiture marks a key step in the Company?s strategy to become a leading, pure play CPG company, headlined by the Sprout brand LAVAL, QU?BEC, CANADA ? October 17, 2022 ? Neptune Wellness Solutions Inc. (?Neptune? or the "Company") (NASDAQ: NEPT), a diversified and fully integrated health and wellness company, ann

08:04 EDT 10 Oct 2022

Exhibit 99.1 Mergermarket 08:04 EDT 10 Oct 2022 Sprout Organics, the privately held maker of organic baby foods and toddler snacks, is focused on organic growth and potential acquisitions of North American companies with ?healthy and great tasting? snack, meal or beverage products, said CEO Sarah Tynan. Ideal targets should be profitable or at least breakeven and have a minimum of USD 25m-USD 50m

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): October 14, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation)

Form of Series E Common Share Purchase Warrant (incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K filed on October 12, 2022, and incorporated by reference herein)

Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR

Form of Securities Purchase Agreement, dated October 6, 2022, between Neptune Wellness Solutions Inc. and the Purchaser*

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of October 6, 2022, between Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Qu?bec) (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively the ?

Neptune Wellness Solutions Inc. Announces $6.0 Million Registered Direct Offering and Concurrent Private Placement Priced At-the-Market under Nasdaq Rules

Exhibit 99.1 Neptune Wellness Solutions Inc. Announces $6.0 Million Registered Direct Offering and Concurrent Private Placement Priced At-the-Market under Nasdaq Rules LAVAL, QC, October 6, 2022 /CNW Telbec/ - Neptune Wellness Solutions Inc. (?Neptune? or the ?Company?) (NASDAQ: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustainable and purpose-dr

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

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 06, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation)

Neptune Wellness Solutions Inc. Closes $6.0 Million Offering

Exhibit 99.2 Neptune Wellness Solutions Inc. Closes $6.0 Million Offering LAVAL, QC, October 11, 2022 /CNW Telbec/ - Neptune Wellness Solutions Inc. (?Neptune? or the ?Company?) (NASDAQ: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced that it has closed the previously announced offering o

Form of Leak-Out Agreement, dated October 6, 2022, between Neptune Wellness Solutions Inc. and the Purchaser

Exhibit 10.2 LEAK-OUT AGREEMENT October 6, 2022 This agreement (the ?Leak-Out Agreement?) is being delivered to you in connection with an understanding by and between Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Qu?bec) (the ?Company?), and the person or persons named on the signature pages hereto (collectively, the ?Holder?). Reference is hereby

Amendment No. 1 to Series C Common Stock Purchase Warrant between Neptune Wellness Solutions Inc. and Armistice Capital Master Fund Ltd, dated October 6, 2022 (incorporated by reference to Exhibit 4.2 to the Company’s Current Report on Form 8-K filed on October 12, 2022, and incorporated by reference herein)

AMENDMENT NO. 1 TO SERIES C COMMON STOCK PURCHASE WARRANT This AMENDMENT NO. 1 TO SERIES C COMMON STOCK PURCHASE WARRANT (this ?Amendment?) is entered into as of October 6, 2022, by and between Neptune Wellness Solutions Inc., a Quebec corporation (the ?Company?), and Armistice Capital Master Fund Ltd. (the ?Holder?). WHEREAS, the Holder is the holder of a Series C Common Stock Purchase Warrant, i

Placement Agency Agreement between Neptune Wellness Solutions Inc. and A.G.P./Alliance Global Partners (incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K filed on October 12, 2022, and incorporated by reference herein)

October 6, 2022 Neptune Wellness Solutions Inc. 545 Promenade du Centropolis Suite 100 Laval, Qu?bec, Canada H7T 0A3 Dear Michael Cammarata: This letter (the ?Agreement?) constitutes the agreement between A.G.P./Alliance Global Partners (the ?Placement Agent?) and Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Qu?bec) (the ?Company?), that the Plac

NEPTUNE WELLNESS SOLUTIONS INC. 3,208,557 Common Shares

Table of Contents PROSPECTUS SUPPLEMENT (To the Prospectus Dated August 25, 2022) Filed Pursuant to Rule 424(b)(5) Registration No.

Amended & Restated General By-Law (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on September 27, 2022, and incorporated by reference herein)

GENERAL BY-LAW OF NEPTUNE WELLNESS SOLUTIONS INC. (the ?Corporation?) TABLE OF CONTENTS 1 - DEFINITIONS 1 1.1 Definitions 1 1.2 Interpretation 1 1.3 Execution in Counterpart, by Facsimile and by Electronic Signature 2 2 - GENERAL BUSINESS 2 2.1 Head Office 2 2.2 Establishment 2 2.3 Seal 2 2.4 Fiscal Year 2 2.5 Execution of Instruments 2 2.6 Banking Arrangements 2 2.7 Voting Rights in Other Bodies

Financial Statements and Exhibits, 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): September 27, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation

VIA EDGAR

VIA EDGAR September 22, 2022 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3561 Re: Neptune Wellness Solutions Inc. Registration Statement on Form S-3 Filed on August 25, 2022 File No. 333-267070 Acceleration Request Requested Date: September 23, 2022 Requested Time: 4:30 P.M. Eastern Time Ladies and Gentlemen: Pursuant to Rule 46

September 13, 2022

Troutman Pepper Hamilton Sanders LLP 401 9th Street, NW, Suite 1000 Washington, DC 20004 troutman.

Filing Fee Table

EXHIBIT 107 Calculation of Filing Fee Tables FORM S-3 (Form Type) NEPTUNE WELLNESS SOLUTIONS INC.

Powers of Attorney (included on signature page to the registration statement).

Table of Contents As filed with the Securities and Exchange Commission on August 25, 2022.

Schedule 14A

DEF 14A 1 def14a-2022agm.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A 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 Rule

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A 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 Rule 14a 6(e)(2)) ? Definitive Proxy State

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 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation) (

Neptune Reports Fiscal First Quarter 2023 Financial Results Fiscal Q1 2023 revenue totaled $16.3 million, an increase of 61% year-over-year Sprout recorded $8.2 million in revenue, its largest net sales quarter on record Personal Care and Beauty reco

Exhibit 99.1 EARNINGS RELEASE SOURCE: Neptune Wellness Solutions Inc. Neptune Reports Fiscal First Quarter 2023 Financial Results Fiscal Q1 2023 revenue totaled $16.3 million, an increase of 61% year-over-year Sprout recorded $8.2 million in revenue, its largest net sales quarter on record Personal Care and Beauty recorded $5.1 million in revenue, the highest in over two years Company will host a

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 001-33526 NEPTUNE WEL

First Amendment to Stock Purchase Agreement by and among Sprout Foods, Inc., Neptune Growth Ventures, Inc. and NH Expansion Credit Fund Holdings LP, dated July 13, 2022 (incorporated by reference to Exhibit 10.2 to the Quarterly Report on Form 10-Q filed August 15, 2022, and incorporated by reference herein)

Exhibit 10.2 EXHIBIT 10.2 First Amendment to Stock Purchase Agreement This FIRST AMENDMENT TO STOCK PURCHASE AGREEMENT (this ?Amendment?) is entered into as of July 13, 2022 (the ?Effective Date?), by and between Sprout Foods, Inc., a Delaware corporation (?Seller?), NH Expansion Credit Fund Holdings LP, a Delaware limited partnership (?NHEC?), and Neptune Growth Ventures Inc., a Delaware corporat

Stock Purchase Agreement by and among Sprout Foods, Inc., Neptune Growth Ventures, Inc. and NH Expansion Credit Fund Holdings LP, dated February 10, 2021 (incorporated by reference to Exhibit 10.1 to the Quarterly Report on Form 10-Q filed August 15, 2022, and incorporated by reference herein)

EXHIBIT 10.1 STOCK PURCHASE AGREEMENT BY AND AMONG Sprout Foods, Inc. Neptune Growth Ventures, Inc. AND NH EXPANSION CREDIT FUND HOLDINGS LP DATED AS OF FEBRUARY 10, 2021 56467466;1 TABLE OF CONTENTS Page ARTICLE I PURCHASE AND SALE 4 1.1 Purchase and Sale 4 1.2 Purchase Price 4 1.3 Closing 5 1.4 Use of Proceeds 5 ARTICLE II REPRESENTATIONS AND WARRANTIES OF SELLER 6 2.1 Organization 6 2.2 Authori

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A 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 Rule 14a 6(e)(2)) ? Definitive Proxy State

As filed with the Securities and Exchange Commission on August 5, 2022

POS AM 1 d364208dposam.htm POS AM As filed with the Securities and Exchange Commission on August 5, 2022 Registration No. 333-262411 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM F-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as specified in its charter) Not applicable (Tr

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): July 29, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation) (Co

Neptune Wellness Solutions Inc. Announces Voluntary Delisting from Toronto Stock Exchange

EX-99.1 2 nept-ex991.htm EX-99.1 Exhibit 99.1 Neptune Wellness Solutions Inc. Announces Voluntary Delisting from Toronto Stock Exchange LAVAL, QC, July 29, 2022 – Neptune Wellness Solutions Inc. (“Neptune” or the “Company”) (NASDAQ: NEPT) (TSX: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustainable and purpose-driven lifestyle brands, announced to

Description of Securities

Exhibit 4.2 DESCRIPTION OF NEPTUNE WELLNESS SOLUTION INC.?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following summary sets forth certain material terms and provisions of Neptune Wellness Solution Inc.?s (the ?Company?, ?Neptune?, ?our?, ?we?) securities that are registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exch

Separation Agreement by and between the Registrant and Dr. Toni Rinow dated November 15, 2021.

Exhibit 10.12 545 Promenade du Centropolis, Suite 100 Tel. : +1 450 687 2262 Laval, Qu?bec, Canada H7T 0A3 Fax. : +1 450 687 2272 neptunecorp.com Toll-free : 1 888 664 9166 WITHOUT PREJUDICE DELIVERED VIA EMAIL STRICTLY CONFIDENTIAL November 15, 2021 Dr. Toni Rinow Subject: Letter Agreement - End of Employment Dear Toni, For the reasons mentioned to you today, your employment as Chief Operating Of

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1)

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 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 001-3352

Three-month periods ended

Exhibit 99.1 Condensed Consolidated Interim Financial Statements of (Unaudited) neptune WELLNESS SOLUTIONS inc. For the three-month periods ended June 30, 2021 and 2020 The condensed interim consolidated financial statements of the Corporation for the periods ended June 30, 2021, and 2020 have not been reviewed by an independent auditor. neptune WELLNESS SOLUTIONS inc. Condensed Consolidated Inter

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events, Shareholder Director Nominations

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 20, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation) (Co

Three-month periods ended

Exhibit 99.2 Condensed Consolidated Interim Financial Statements of (Unaudited) neptune WELLNESS SOLUTIONS inc. For the three and six-month periods ended September 30, 2021 and 2020 The condensed interim consolidated financial statements of the Corporation for the periods ended September 30, 2021, and 2020 have not been reviewed by an independent auditor. neptune WELLNESS SOLUTIONS inc. Condensed

Three-month periods ended

Exhibit 99.3 Condensed Consolidated Interim Financial Statements of (Unaudited) neptune WELLNESS SOLUTIONS inc. For the three and nine-month periods ended December 31, 2021 and 2020 The condensed interim consolidated financial statements of the Corporation for the periods ended December 31, 2021, and 2020 have not been reviewed by an independent auditor. neptune WELLNESS SOLUTIONS inc. Condensed C

Neptune Provides Sprout Organics Distribution Update Sprout up 40% in the latest four weeks of Nielsen data - outperforming the baby food category across the board for all time periods measured Exploring potentially expanding into new product categor

Exhibit 99.4 Neptune Provides Sprout Organics Distribution Update Sprout up 40% in the latest four weeks of Nielsen data - outperforming the baby food category across the board for all time periods measured Exploring potentially expanding into new product categories beyond the Baby Food Aisle LAVAL, QU?BEC, CANADA AND MONTVALE, N.J., UNITED STATES ? July 20, 2022 ? Today Neptune Wellness Solutions

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events

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 13, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation) (Co

Neptune Announces Amendment and Expansion of Sprout Secured Promissory Notes Led by Morgan Stanley

Neptune Announces Amendment and Expansion of Sprout Secured Promissory Notes Led by Morgan Stanley LAVAL, QU?BEC, CANADA ? July 13, 2022 ? Neptune Wellness Solutions Inc.

Amended and Restated Promissory Note, dated July 13, 2022, issued in favor of NH Expansion Credit Fund Holdings LP by Sprout Foods, Inc. (incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K filed on July 13, 2022, and incorporated by reference herein)

THE SECURITIES REPRESENTED BY THIS INSTRUMENT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (?SECURITIES ACT?), OR REGISTERED OR QUALIFIED UNDER ANY STATE SECURITIES LAWS AND HAVE BEEN TAKEN FOR INVESTMENT PURPOSES ONLY AND NOT WITH A VIEW TO OR FOR SALE IN CONNECTION WITH ANY DISTRIBUTION THEREOF.

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): July 08, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation) (Co

Neptune Reports Fiscal Fourth Quarter and Full Year 2022 Financial Results Fiscal year 2022 revenue totaled $48.8 million, an increase of 37.8% year-over-year Previously announced planned divestiture of cannabis business expected to realize annualize

EX-99.1 2 nept-ex991.htm EX-99.1 EARNINGS RELEASE SOURCE: Neptune Wellness Solutions Inc. Neptune Reports Fiscal Fourth Quarter and Full Year 2022 Financial Results Fiscal year 2022 revenue totaled $48.8 million, an increase of 37.8% year-over-year Previously announced planned divestiture of cannabis business expected to realize annualized payroll cost savings of $4.4 million USD Company will host

Specimen Common Share Certificate (incorporated by reference to Exhibit 4.1 to the Company’s Annual Report on Form 10-K filed on July 8, 2022, and incorporated by reference herein)

EXHIBIT 4.1

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 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 001-33526 NEPTUNE WELLNESS S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER:001-25001 CUSIP NUMBER: 64079L204 FORM 12b-25/A (Amendment No. 1) NOTIFICATION OF LATE FILING (Check one): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-CEN ? Form N-CSR For Period Ended: March 31, 2022 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER:001-25001 CUSIP NUMBER: 64079L204 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-CEN ? Form N-CSR For Period Ended: March 31, 2022 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Trans

Form of Pre-Funded Common Share Purchase Warrant (June 2022 Pre-Funded Warrant) (incorporated by reference to Exhibit 4.2 to the Company’s Current Report on Form 8-K filed on June 24, 2022, and incorporated by reference herein)

Exhibit 4.2 PREFUNDED COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: Issue Date: June 23, 2022 THIS PREFUNDED COMMON SHARE PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, [] or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the Clo

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

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 21, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation) (Co

Neptune Wellness Solutions Inc. Closes $5 Million Registered Direct Offering

Exhibit 99.2 Neptune Wellness Solutions Inc. Closes $5 Million Registered Direct Offering LAVAL, QC, June 23, 2022 /CNW Telbec/ ? Neptune Wellness Solutions Inc. (?Neptune? or the ?Company?) (NASDAQ: NEPT) (TSX: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced that it has closed on the pre

Form of Securities Purchase Agreement

SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of June 21, 2022, between Neptune Wellness Solutions Inc.

Neptune Wellness Solutions Inc. Announces $5 Million Registered Direct Offering Priced At-the-Market Under Nasdaq Rules

Exhibit 99.1 Neptune Wellness Solutions Inc. Announces $5 Million Registered Direct Offering Priced At-the-Market Under Nasdaq Rules LAVAL, QC, June 22, 2022 /CNW Telbec/ ? Neptune Wellness Solutions Inc. (?Neptune? or the ?Company?) (NASDAQ: NEPT) (TSX: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustainable and purpose-driven lifestyle brands, to

Form of Common Share Purchase Warrant (incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K filed on June 24, 2022, and incorporated by reference herein)

Exhibit 4.1 SERIES [C][D] COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: Initial Exercise Date: June 23, 2022 . THIS SERIES [C][D] COMMON SHARE PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, [] or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any tim

NEPTUNE WELLNESS SOLUTIONS INC. 1,300,000 Common Shares 1,945,526 Series C Common Share Purchase Warrants 1,945,526 Series D Common Share Purchase Warrants 645,526 Pre-Funded Common Share Purchase Warrants

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-262411 PROSPECTUS SUPPLEMENT (To the Prospectus Dated February 9, 2022) NEPTUNE WELLNESS SOLUTIONS INC. US$5,000,002 1,300,000 Common Shares 1,945,526 Series C Common Share Purchase Warrants 1,945,526 Series D Common Share Purchase Warrants 645,526 Pre-Funded Common Share Purchase Warrants Pursuant to this prospectus supplemen

Neptune Wellness Appoints Raymond Silcock as Chief Financial Officer Silcock Brings Proven Experience in Transformational Growth to the Neptune Team

Neptune Wellness Appoints Raymond Silcock as Chief Financial Officer Silcock Brings Proven Experience in Transformational Growth to the Neptune Team LAVAL, QU?BEC, CANADA ? June 14, 2022 ? Neptune Wellness Solutions Inc.

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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): June 13, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation) (Co

Employment Agreement by and between the Registrant and Raymond Silcock dated June 13, 2022 (incorporated by reference to the Company’s Current Report on Form 8-K filed on June 14, 2022, and incorporated by reference herein)

EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the ?Agreement?) is made as of June 13, 2022 between Neptune Holdings USA Inc.

Neptune Wellness Solutions Inc. Completes Share Consolidation

Neptune Wellness Solutions Inc. Completes Share Consolidation LAVAL, QC, June 9, 2022 ? Neptune Wellness Solutions Inc. (?Neptune? or the ?Company?) (NASDAQ: NEPT) (TSX: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustainable and purpose-driven lifestyle brands, announced today, further to its news release on June 8, 2022, the completion of the Com

Regulation FD Disclosure, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Financial Statements and Exhibits, Costs Associated with Exit or Disposal Activities

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 08, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation) (Co

Neptune Wellness Solutions Inc. Announces Share Consolidation

Neptune Wellness Solutions Inc. Announces Share Consolidation LAVAL, QC, June 8, 2022 ? Neptune Wellness Solutions Inc. (?Neptune? or the ?Company?) (NASDAQ: NEPT) (TSX: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustainable and purpose-driven lifestyle brands, announced today that it has received conditional approval of the Toronto Stock Exchange

Neptune Wellness Launches New CPG-Focused Strategic Plan to Improve Path to Profitability Planned divestiture of Canadian cannabis business to cut costs and realign focus on increasing value of consumer products business

Neptune Wellness Launches New CPG-Focused Strategic Plan to Improve Path to Profitability Planned divestiture of Canadian cannabis business to cut costs and realign focus on increasing value of consumer products business LAVAL, QU?BEC, CANADA ? June 8, 2022 ? Neptune Wellness Solutions Inc.

Translation of Articles of Amendment to Articles of Incorporation (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on June 13, 2022, and incorporated by reference herein)

Exhibit 3.1 REZ-128 (2017-08) [Translation] Certificate of Amendment Business Corporations Act (R.S.Q., c. S-31.1) I hereby certify that the following corporation: NEPTUNE SOLUTIONS BIEN-?TRE INC. and its version NEPTUNE WELLNESS SOLUTIONS INC. Amended its articles under the terms of the Business Corporations Act to incorporate the amendments mentioned in the attached Articles of Amendment. On Jun

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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 18, 2022 NEPTUNE WELLNESS SOLUTIONS INC. (Exact name of Registrant as Specified in Its Charter) Quebec 001-33526 Not applicable (State or Other Jurisdiction of Incorporation) (Com

Philip Sanford Joins Neptune Wellness Board of Directors as Audit Chair Sanford Brings Deep Advisory, Audit and Board of Directors Experience to the Neptune Team

Philip Sanford Joins Neptune Wellness Board of Directors as Audit Chair Sanford Brings Deep Advisory, Audit and Board of Directors Experience to the Neptune Team LAVAL, QU?BEC, CANADA ? May 19, 2022 ? Neptune Wellness Solutions Inc.

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Exhibit 99.3 March 10, 2022 Neptune Wellness Solutions Inc. 545 Promenade du Centropolis Suite 100 Laval, Qu?bec, Canada H7T 0A3 Dear Randy Weaver: This letter (the ?Agreement?) constitutes the agreement between A.G.P./Alliance Global Partners (the ?Placement Agent?) and Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Qu?bec) (the ?Company?), that t

PREFUNDED COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: 6,500,000 Issue Date: March 14, 2022

EX-99.4 5 d310555dex994.htm EX-99.4 Exhibit 99.4 PREFUNDED COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: 6,500,000 Issue Date: March 14, 2022 THIS PREFUNDED COMMON SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinaft

SERIES A COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: 25,000,000 Initial Exercise Date: September 14, 2022 Issue Date: March 14, 2022

EX-99.5 6 d310555dex995.htm EX-99.5 Exhibit 99.5 SERIES A COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: 25,000,000 Initial Exercise Date: September 14, 2022 Issue Date: March 14, 2022 THIS SERIES A COMMON SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of: March 2022 Commission File Number: 001-33526 NEPTUNE WEL

6-K 1 d310555d6k.htm 6-K SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of: March 2022 Commission File Number: 001-33526 NEPTUNE WELLNESS SOLUTIONS INC. (Translation of Registrant’s name into English) 545 Promenade du Centropolis Suite 100 Laval, Québec Can

Neptune Wellness Solutions Inc. Closes US$8,000,000 Registered Direct Offering

Exhibit 99.1 Neptune Wellness Solutions Inc. Closes US$8,000,000 Registered Direct Offering LAVAL, QC, March 14, 2022 /CNW Telbec/ - Neptune Wellness Solutions Inc. (?Neptune? or the ?Company?) (NASDAQ: NEPT) (TSX: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced that it has closed on the

SERIES B COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: 25,000,000 Initial Exercise Date: September 14, 2022 Issue Date: March 14, 2022

EX-99.6 7 d310555dex996.htm EX-99.6 Exhibit 99.6 SERIES B COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: 25,000,000 Initial Exercise Date: September 14, 2022 Issue Date: March 14, 2022 THIS SERIES B COMMON SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations

SECURITIES PURCHASE AGREEMENT

Exhibit 99.2 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of March 10, 2022, between Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act (Qu?bec) (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively the ?P

Neptune Wellness Issues Letter to Shareholders

EX-99.1 2 ex991.htm NEWS RELEASE DATED MARCH 10, 2022 Exhibit 99.1 Neptune Wellness Issues Letter to Shareholders LAVAL, QC, March 10, 2022 /CNW Telbec/ - Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT) (TSX: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustainable and purpose-driven lifestyle brands, today released the f

NEPTUNE WELLNESS SOLUTIONS INC. 18,500,000 Common Shares 25,000,000 Series A Common Share Purchase Warrants 25,000,000 Series B Common Share Purchase Warrants 6,500,000 Pre-Funded Common Share Purchase Warrants

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-262411 PROSPECTUS SUPPLEMENT (To the Prospectus Dated February 9, 2022) NEPTUNE WELLNESS SOLUTIONS INC. US$8,000,000 18,500,000 Common Shares 25,000,000 Series A Common Share Purchase Warrants 25,000,000 Series B Common Share Purchase Warrants 6,500,000 Pre-Funded Common Share Purchase Warrants Pursuant to this prospectus supp

Neptune Wellness Solutions Inc. Announces US$8,000,000 Registered Direct Offering

Exhibit 99.1 Neptune Wellness Solutions Inc. Announces US$8,000,000 Registered Direct Offering LAVAL, QC, March 10, 2022 /CNW Telbec/ - Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT) (TSX: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced that it has entered int

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of: March 2022 Commission File Number: 001-33526 NEPTUNE WELLNESS SOLUTIONS INC. (Translation of Registrant?s name into English) 545 Promenade du Centropolis Suite 100 Laval, Qu?bec Canada H7T 0A3 (Address of P

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of: March 2022 Commission File Number: 001-33526 NEPTUNE WELLNESS SOLUTIONS INC. (Translation of Registrant?s name into English) 545 Promenade du Centropolis Suite 100 Laval, Qu?bec Canada H7T 0A3 (Address of P

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of: March 2022 Commission File Number: 001-33526 NEPTUNE WELLNESS SOLUTIONS INC. (Translation of Registrant?s name into English) 545 Promenade du Centropolis Suite 100 Laval, Qu?bec Canada H7T 0A3 (Address of P

Plant-based multi-omega supplements are made with Ahiflower® – a groundbreaking vegan alternative to fish oil – and come in environmentally-friendly compostable packaging

Exhibit 99.1 Neptune Wellness Launches Forest Remedies Multi-Omega 3-6-9 Supplements in 340+ Sprouts Farmers Market Stores Across U.S. Plant-based multi-omega supplements are made with Ahiflower? ? a groundbreaking vegan alternative to fish oil ? and come in environmentally-friendly compostable packaging LAVAL, QC, March 8, 2022 /CNW Telbec/ - Neptune Wellness Solutions Inc. ("Neptune" or the "Com

Neptune to Participate in Upcoming Conferences in March

Exhibit 99.1 Neptune to Participate in Upcoming Conferences in March LAVAL, QC, March 7, 2022 /CNW Telbec/ - Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT) (TSX: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustainable and purpose-driven lifestyle brands, today announced that Michael Cammarata, Chief Executive Officer, R

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of: March 2022 Commission File Number: 001-33526 NEPTUNE WELLNESS SOLUTIONS INC. (Translation of Registrant?s name into English) 545 Promenade du Centropolis Suite 100 Laval, Qu?bec Canada H7T 0A3 (Address of P

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934

6-K 1 neptune6k.htm 6-K SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of: March 2022 Commission File Number: 001-33526 NEPTUNE WELLNESS SOLUTIONS INC. (Translation of Registrant’s name into English) 545 Promenade du Centropolis Suite 100 Laval, Québec Cana

Neptune Granted 180-Day Extension to Meet Nasdaq Minimum Bid Requirement

EX-99.1 2 ex991.htm NEWS RELEASE DATED MARCH 2, 2022 Exhibit 99.1 Neptune Granted 180-Day Extension to Meet Nasdaq Minimum Bid Requirement LAVAL, QC, March 2, 2022 /CNW Telbec/ - Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT) (TSX: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustainable and purpose-driven lifestyle bran

Partnership Brings Fun to "Munchtime" with Baby Food Pouches, Wafflez and Curlz snacks

Exhibit 99.1 Sprout Organics and CoComelon Launch First-Ever Food-Brand Collaboration | Co-branded Products will be Available in Walmart Stores Nationwide Partnership Brings Fun to "Munchtime" with Baby Food Pouches, Wafflez and Curlz snacks MONTVALE, N.J., Feb. 16, 2022 /CNW Telbec/ - Today, Sprout Organics ? known for making delicious organic meals and snacks for babies and toddlers ? launches a

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of: February 2022 Commission File Number: 001-33526 NEPTUNE WELLNESS SOLUTIONS INC. (Translation of Registrant?s name into English) 545 Promenade du Centropolis Suite 100 Laval, Qu?bec Canada H7T 0A3 (Address o

NEPT / Neptune Technologies & Bioressources Inc. / PERCEPTIVE ADVISORS LLC - SC 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 9)* Neptune Wellness Solutions Inc. (Name of Issuer) Common Shares (Title of Class of Securities) 64079L105 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to

AGREEMENT

EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them.

John Moretz, current Chair of Neptune Board of Directors, announces Board retirement

Exhibit 99.1 Neptune Appoints Julie Phillips as First Female Chair of the Board of Directors John Moretz, current Chair of Neptune Board of Directors, announces Board retirement LAVAL, QC, Feb. 10, 2022 /CNW Telbec/ - Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT) (TSX: NEPT), a diversified and fully integrated health and wellness company focused on plant-based, sustai

FORM 52-109F2 CERTIFICATION OF INTERIM FILINGS

Exhibit 99.4 FORM 52-109F2 CERTIFICATION OF INTERIM FILINGS FULL CERTIFICATE I, Randy Weaver, Chief Financial Officer of Neptune Wellness Solutions Inc., certify the following: 1. Review: I have reviewed the interim financial report and interim MD&A (together, the ?interim filings?) of Neptune Wellness Solutions Inc. (the ?issuer?) for the interim period ended December 31, 2021. 2. No misrepresent

MANAGEMENT DISCUSSION AND ANALYSIS FOR THE three and nine-month periods ended December 31, 2021 and 2020

Exhibit 99.1 MANAGEMENT DISCUSSION AND ANALYSIS FOR THE three and nine-month periods ended December 31, 2021 and 2020 INTRODUCTION This management discussion and analysis (?MD&A?) comments on the consolidated financial results and the consolidated financial situation of Neptune Wellness Solutions Inc. (?Neptune?, the ?Corporation? or the ?Company?) for the three and nine-month periods ended Decemb

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of: February 2022 Commission File Number: 001-33526 NEPTUNE WELLNESS SOLUTIONS INC. (Translation of Registrant?s name into English) 545 Promenade du Centropolis Suite 100 Laval, Qu?bec Canada H7T 0A3 (Address o

Revenue Totaled $18.4 Million, Marking Fourth Consecutive Quarter of Sequential Growth Gross Margins Hit Inflection Point, Turning Positive for the First Time Since Transition to Diversified CPG Company

Exhibit 99.1 Neptune Reports Fiscal Third Quarter 2022 Financial Results Revenue Totaled $18.4 Million, Marking Fourth Consecutive Quarter of Sequential Growth Gross Margins Hit Inflection Point, Turning Positive for the First Time Since Transition to Diversified CPG Company LAVAL, QC, Feb. 10, 2022 /CNW/ - Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT) (TSX: NEPT), a

Three-month periods ended

Exhibit 99.2 Condensed Consolidated Interim Financial Statements of (Unaudited) neptune WELLNESS SOLUTIONS inc. For the three and nine-month periods ended December 31, 2021 and 2020 neptune WELLNESS SOLUTIONS inc. Condensed Consolidated Interim Financial Statements (Unaudited) For the three and nine-month periods ended December 31, 2021 and 2020 Financial Statements Condensed Consolidated Interim

FORM 52-109F2 CERTIFICATION OF INTERIM FILINGS

Exhibit 99.3 FORM 52-109F2 CERTIFICATION OF INTERIM FILINGS FULL CERTIFICATE I, Michael Cammarata, Chief Executive Officer of Neptune Wellness Solutions Inc., certify the following: 1. Review: I have reviewed the interim financial report and interim MD&A (together, the ?interim filings?) of Neptune Wellness Solutions Inc. (the ?issuer?) for the interim period ended December 31, 2021. 2. No misrepr

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of: February 2022 Commission File Number: 001-33526 NEPTUNE WELLNESS SOLUTIONS INC. (Translation of Registrant?s name into English) 545 Promenade du Centropolis Suite 100 Laval, Qu?bec Canada H7T 0A3 (Address o

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of: February 2022 Commission File Number: 001-33526 NEPTUNE WELLNESS SOLUTIONS INC. (Translation of Registrant?s name into English) 545 Promenade du Centropolis Suite 100 Laval, Qu?bec Canada H7T 0A3 (Address o

VIA EDGAR

CORRESP 1 filename1.htm VIA EDGAR February 9, 2022 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3561 Re: Neptune Wellness Solutions Inc. Registration Statement on Form F-3 Filed on January 28, 2022 File No. 333-262411 Acceleration Request Requested Date: February 9, 2022 Requested Time: 4:00 P.M. Eastern Time Ladies and Gentlemen

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER Pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 For the month of: February 2022 Commission File Number: 001-33526 NEPTUNE WELLNESS SOLUTIONS INC. (Translation of Registrant?s name into English) 545 Promenade du Centropolis Suite 100 Laval, Qu?bec Canada H7T 0A3 (Address o

Management will host a conference call at 10:00a.m. ET on the same day

EX-99.1 2 ex991.htm NEWS RELEASE DATED FEBRUARY 3, 2022 Exhibit 99.1 Neptune to Report Fiscal Third Quarter 2022 Financial Results on February 10, 2022 Management will host a conference call at 10:00a.m. ET on the same day LAVAL, QC, Feb. 3, 2022 /CNW/ - Neptune Wellness Solutions Inc. ("Neptune" or the "Company") (NASDAQ: NEPT) (TSX: NEPT), a diversified and fully integrated health and wellness c