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| CIK | 1718903 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Realm Therapeutics plc
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 1, 2019 |
RLM / Realm Therapeutics plc 15-12B - - 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-38522 REALM THERAPEUTICS PLC (Exact name of registrant as specified in i |
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| July 31, 2019 |
RLM / Realm Therapeutics plc 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES 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 July, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive off |
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| July 31, 2019 |
Realm Therapeutics plc Scheme Now Effective Exhibit 99.1 Realm Therapeutics plc Scheme Now Effective Malvern, PA, 31 July 2019 – Further to the announcement on 30 July 2019 and following the filing of a copy of the Court Order with the Registrar of Companies in England and Wales earlier today, Realm Therapeutics plc (“Realm” or the “Company”) (NASDAQ: RLM), is pleased to announce that the Scheme has now become Effective and the entire issue |
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| July 30, 2019 |
RLM / Realm Therapeutics plc POS AM - - POS AM As filed with the United States Securities and Exchange Commission on July 30, 2019. |
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| July 30, 2019 |
Exhibit 99.1 Realm Therapeutics plc Court sanction of Scheme of Arrangement; Acquisition expected to become effective 31 July 2019 Malvern, PA, 30 July 2019 – Realm Therapeutics plc (“Realm” or the “Company”) (NASDAQ: RLM), is pleased to announce that the High Court of Justice in England and Wales has today sanctioned the scheme of arrangement under Part 26 of the Companies Act 2006 (the “Scheme”) |
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| July 30, 2019 |
RLM / Realm Therapeutics plc 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES 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 July, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive off |
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| July 19, 2019 |
Realm Therapeutics plc Update on Company’s Nasdaq Listing Exhibit 99.1 Realm Therapeutics plc Update on Company’s Nasdaq Listing Malvern, PA, 19 July 2019 – Further to the announcement dated 8 July 2019, Realm Therapeutics plc (“Realm” or the “Company”) (NASDAQ: RLM) announces that, further to discussions with the Nasdaq Stock Market (“Nasdaq”), the Company received notice that the Nasdaq Hearings Panel (the “Panel”) has granted the Company’s request for |
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| July 19, 2019 |
RLM / Realm Therapeutics plc 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES 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 July, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive off |
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| July 8, 2019 |
RLM / Realm Therapeutics plc 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES 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 July, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive off |
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| July 8, 2019 |
Realm Therapeutics plc Update on Court Hearing Exhibit 99.1 Realm Therapeutics plc Update on Court Hearing Malvern, PA, 8 July 2019 – Realm Therapeutics plc (“Realm” or the “Company”) (NASDAQ: RLM) announces that the hearing at the High Court of Justice in England and Wales (the “Court”) in respect of the proposed scheme of arrangement under Part 26 of the Companies Act 2006 (the “Scheme”) by which the recommended acquisition by ESSA Pharma In |
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| July 5, 2019 |
RLM / Realm Therapeutics plc 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES 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 July, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive off |
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| July 5, 2019 |
Realm Therapeutics plc Announcement of final Realm Net Cash Amount and Exchange Ratio Exhibit 99.1 Realm Therapeutics plc Announcement of final Realm Net Cash Amount and Exchange Ratio Malvern, PA, 5 July 2019 – Further to the announcement on 2 July 2019, in respect of the scheme of arrangement under Part 26 of the Companies Act 2006 (the “Scheme”) by which the recommended acquisition by ESSA Pharma Inc. (“Essa”) (NASDAQ: EPIX; TSX-V: EPI) of the entire issued share capital of Real |
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| July 2, 2019 |
Exhibit 99.1 Realm Therapeutics plc Realm announces updated expected timetable of principal events in connection with the Acquisition by Essa Malvern, PA, 2 July 2019 – Further to the announcement of 26 June 2019 that the Court Hearing to sanction the Scheme had been rescheduled to 8 July 2019, Realm Therapeutics plc (“Realm” or the “Company”) (NASDAQ: RLM) announces an updated expected timetable |
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| July 2, 2019 |
RLM / Realm Therapeutics plc 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES 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 July, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive off |
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| June 26, 2019 |
RLM / Realm Therapeutics plc 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES 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 June, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive off |
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| June 26, 2019 |
Exhibit 99.1 Realm Therapeutics plc Realm Announces Update to Timing of Court Hearing and Completion of Acquisition by Essa Malvern, PA, 26 June 2019 – Realm Therapeutics plc (“Realm” or the “Company”) (NASDAQ: RLM) announces that, further to the announcement of 24 June 2019 that the resolutions proposed at the Court Meeting and the General Meeting in relation to the Scheme were all approved, the |
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| June 24, 2019 |
Exhibit 99.1 Realm Therapeutics plc Realm Shareholders Approve Scheme of Arrangement for Acquisition by ESSA Pharma Inc. at Court Meeting and General Meeting Held on 24 June 2019; All resolutions passed at Annual General Meeting Held on 24 June 2019 Malvern, PA, 24 June 2019 – Realm Therapeutics plc (“Realm” or the “Company”) (NASDAQ: RLM) is pleased to announce that, at the Court Meeting and the |
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| June 24, 2019 |
RLM / Realm Therapeutics plc 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES 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 June, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive off |
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| June 11, 2019 |
Exhibit 99.1 Realm Therapeutics plc Leading Independent Proxy Advisory Firm ISS Recommends Voting for Proposed Acquisition by Essa Pharma Malvern, PA, June 11, 2019 – Realm Therapeutics plc (“Realm" or the “Company”) (NASDAQ: RLM) today announces that Institutional Shareholder Services (“ISS”), a leading independent proxy advisory firm, has recommended that Realm shareholders vote for and approve |
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| June 11, 2019 |
RLM / Realm Therapeutics plc 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES 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 June, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive off |
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| May 29, 2019 |
RLM / Realm Therapeutics plc 6-K - Current Report of Foreign Issuer - FORM 6-K UNITED STATES 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 May, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive offi |
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| May 29, 2019 |
EX-99.8 9 exh998.htm EXHIBIT 99.8 |
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| May 29, 2019 |
Form of Proxy for Annual General Meeting EX-99.6 7 exh996.htm EXHIBIT 99.6 Exhibit 99.6 |
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| May 29, 2019 |
Exhibit 99.7 Time Sensitive Materials Depositary’s Notice of Annual General Meeting, Court Meeting and General Meeting of Realm Therapeutics plc ADSs: American Depositary Shares (the “ADSs”). ADS CUSIP No.: 75606L103. ADS Record Date: May 30, 2019. Meetings Specifics: Annual General Meeting - to be held on June 24, 2019 at 10:00 A.M. (London time) at the offices of the Company’s solicitors, Cooley |
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| May 29, 2019 |
EX-99.9 10 exh999.htm EXHIBIT 99.9 Exhibit 99.9 THE COMPANIES ACTS ARTICLES OF ASSOCIATION REALM THERAPEUTICS PLC PUBLIC COMPANY LIMITED BY SHARES Adopted by special resolution passed on 9 October 2017 (as amended by a special resolution passed on 24 June 2019) CMS Cameron McKenna Nabarro Olswang LLP Cannon Place 78 Cannon Street London EC4N 6AF T +44 20 7367 3000 F +44 20 7367 2000 TABLE OF CONTE |
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| May 29, 2019 |
Exhibit 99.1 Realm Therapeutics plc Recommended Acquisition of Realm Therapeutics plc by Essa Pharma Inc.; Posting of Scheme Document; Announcement of Annual General Meeting Malvern, PA, 29 May 2019 – On 16 May 2019, Realm Therapeutics plc (“Realm” or the “Company”) (NASDAQ: RLM), announced that the Company had reached agreement with Essa Pharma Inc. (“Essa”) (NASDAQ: EPIX; TSX-V: EPI) whereby the |
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| May 29, 2019 |
Form of Proxy for the General Meeting Exhibit 99.4 |
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| May 29, 2019 |
Exhibit 99.5 THIS DOCUMENT AND THE ACCOMPANYING FORM OF PROXY ARE IMPORTANT AND REQUIRE YOUR IMMEDIATE ATTENTION. If you are in any doubt as to what action you should take, you should consult your stockbroker, bank manager, solicitor, accountant or other independent financial adviser duly authorised under the Financial Services and Markets Act 2000. If you have sold all of your shares in Realm The |
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| May 29, 2019 |
Exhibit 99.2 THIS DOCUMENT IS IMPORTANT AND REQUIRES YOUR IMMEDIATE ATTENTION. THIS DOCUMENT CONTAINS A PROPOSAL WHICH, IF IMPLEMENTED, WILL RESULT IN THE CANCELLATION OF THE LISTING OF REALM THERAPEUTICS PLC’S ADSs ON THE NASDAQ STOCK MARKET AND TERMINATION OF REALM THERAPEUTICS PLC’S ADS FACILITY. PART II (EXPLANATORY STATEMENT) OF THIS DOCUMENT COMPRISES AN EXPLANATORY STATEMENT IN COMPLIANCE W |
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| May 29, 2019 |
Form of Proxy for Court Meeting EX-99.3 4 exh993.htm EXHIBIT 99.3 Exhibit 99.3 |
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| May 16, 2019 |
Exhibit 99.1 Realm Therapeutics plc Realm Therapeutics Announces Company to be Acquired by ESSA Pharma Transaction Expected to be Completed by Mid-2019 Malvern, PA May 16 2019 – Realm Therapeutics plc (“Realm” or the “Company”) (NASDAQ: RLM) announces today that the Company has reached agreement with ESSA Pharma Inc. (“ESSA”) (NASDAQ: EPIX; TSX-V: EPI) whereby the entire issued and outstanding sha |
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| May 16, 2019 |
EXECUTION VERSION Exhibit 99.2 15 MAY 2019 (1) ESSA PHARMA INC. (2) REALM THERAPEUTICS PLC IMPLEMENTATION AGREEMENT COOLEY (UK) LLP, DASHWOOD, 69 OLD BROAD STREET, LONDON EC2M 1QS, UK T: +44 (0) 20 7583 4055 F: +44 (0) 20 7785 9355 WWW.COOLEY.COM 203661051 CONTENTS Clause Page 1. Interpretation 1 2. Consideration 21 3. Indicative Timetable 24 4. Conditions 24 5. Implementation of the Acquisition 2 |
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| May 16, 2019 |
RLM / Realm Therapeutics plc 6-K Current Report of Foreign Issuer 6-K UNITED STATES 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 May, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive offi |
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| April 10, 2019 |
Exhibit 13.1 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 The certification set forth below is being submitted in connection with the Annual Report on Form 20-F for the year ended December 31, 2018 (the “Report”) for the purpose of complying with Rule 13a-14(b) or Rule 15d-14(b) of the Securities Exchange Act of 1934 (the “E |
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| April 10, 2019 |
Exhibit 13.2 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 The certification set forth below is being submitted in connection with the Annual Report on Form 20-F for the year ended December 31, 2018 (the “Report”) for the purpose of complying with Rule 13a-14(b) or Rule 15d-14(b) of the Securities Exchange Act of 1934 (the “E |
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| April 10, 2019 |
Exhibit 12.2 CERTIFICATION PURSUANT TO RULES 13a-14(a) AND 15d-14(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Marella Thorell, certify that: 1. I have reviewed this annual report on Form 20-F of Realm Therapeutics plc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to s |
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| April 10, 2019 |
RLM / Realm Therapeutics plc 20-F As filed with the Securities and Exchange Commission on April 10, 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 10, 2019 |
Subsidiaries of the Registrant Exhibit 21.1 Realm Therapeutics plc List of Subsidiaries Subsidiary Jurisdiction Realm Therapeutics, Inc. Delaware PuriCore Europe Limited England and Wales PuriCore Scientific Limited England and Wales |
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| April 10, 2019 |
Exhibit 12.1 CERTIFICATION PURSUANT TO RULES 13a-14(a) AND 15d-14(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Alex Martin, certify that: 1. I have reviewed this annual report on Form 20-F of Realm Therapeutics plc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state |
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| April 10, 2019 |
Asset Purchase Agreement between Urgo U.S., Inc. and Realm Therapeutics plc, dated March 15, 2019 ASSET PURCHASE AGREEMENT by and between REALM THERAPEUTICS, INC. as Seller and REALM THERAPEUTICS PLC as Seller Parent and URGO US, INC. as Buyer Dated as of February 15, 2019 TABLE OF CONTENTS Page Article I. DEFINITIONS 1 1.1 Definitions 1 1.2 Other Definitional Provisions 6 Article II. PURCHASE AND SALE 7 2.1 Purchase and Sale of Purchased Assets 7 2.1 Assumed Liabilities 8 2.2 Excluded Liabili |
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| April 10, 2019 |
Exhibit 99.1 Realm Therapeutics plc (“Realm Therapeutics”, “Realm” or the “Company”) 2018 Annual Report Available and Form 20-F Filing April 10 2019 – Realm Therapeutics plc (NASDAQ: RLM) today announces that its 2018 Annual Report is now available on the Company’s website, www.realmtx.com, and will be posted to those shareholders who have not elected to receive the document electronically. Today |
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| April 10, 2019 |
RLM / Realm Therapeutics plc FORM 6-K (Current Report of Foreign Issuer) UNITED STATES 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 April, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive of |
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| April 5, 2019 |
Realm Therapeutics Announces Receipt of Nasdaq Listing Determination and Requests Hearing Exhibit 99.1 Realm Therapeutics Announces Receipt of Nasdaq Listing Determination and Requests Hearing MALVERN, PA., April 5, 2019 - Realm Therapeutics plc (Nasdaq: RLM) (the “Company”) today announced that the Company received written notice from the Listing Qualifications Staff (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, based upon the Company’s recent Assets Disposa |
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| April 5, 2019 |
RLM / Realm Therapeutics plc FORM 6-K (Current Report of Foreign Issuer) UNITED STATES 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 April, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive of |
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| March 29, 2019 |
Exhibit 99.1 Realm Therapeutics plc (“Realm”, “Realm Therapeutics” or the “Company”) Completion of Assets Disposal MALVERN, PA, March 29, 2019 – Realm Therapeutics plc (NASDAQ: RLM) today announces the completion of its previously announced Assets Disposal representing certain assets, which comprise the Vashe® wound care royalty stream, an FDA 510(k)-cleared anti-itch hydrogel, which was formerly |
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| March 29, 2019 |
RLM / Realm Therapeutics plc FORM 6-K (Current Report of Foreign Issuer) UNITED STATES 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, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive of |
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| March 26, 2019 |
RLM / Realm Therapeutics plc FORM 6-K (Current Report of Foreign Issuer) UNITED STATES 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, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive of |
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| March 26, 2019 |
Realm Therapeutics plc (“Realm”, “Realm Therapeutics” or the “Company”) Cancellation of AIM Listing Exhibit 99.1 Realm Therapeutics plc (“Realm”, “Realm Therapeutics” or the “Company”) Cancellation of AIM Listing MALVERN, PA, March 26, 2019 – Realm Therapeutics plc (NASDAQ: RLM / AIM: RLM), a biopharmaceutical company with a proprietary technology platform of stabilized high concentration HOCl, announced on March 15, 2019 that the listing of the Company’s Ordinary Shares on AIM will cease and ca |
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| March 15, 2019 |
Exhibit 99.1 Realm Therapeutics plc Result of General Meeting All Resolutions Passed Reminder: Process to Convert Ordinary Shares into ADSs MALVERN, PA, March 15, 2019 – Realm Therapeutics plc (NASDAQ: RLM / AIM: RLM), a biopharmaceutical company with a proprietary technology platform of stabilized high concentration HOCl, announces that at the Company’s general meeting, held today in connection w |
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| March 15, 2019 |
RLM / Realm Therapeutics plc FORM 6-K (Current Report of Foreign Issuer) UNITED STATES 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, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive of |
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| February 15, 2019 |
RLM / Realm Therapeutics plc FORM 6-K (Current Report of Foreign Issuer) UNITED STATES 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, 2019 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive |
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| February 15, 2019 |
SCHEDULE 2 TRANSFER FORM (FOR USE BY CERTIFICATED SHAREHOLDERS ONLY) Exhibit 99.3 SCHEDULE 2 TRANSFER FORM (FOR USE BY CERTIFICATED SHAREHOLDERS ONLY) THIS DOCUMENT IS IMPORTANT AND REQUIRES YOUR IMMEDIATE ATTENTION. IF YOU ARE IN ANY DOUBT ABOUT THE CONTENTS OF THIS DOCUMENT AND/OR THE ACTION TO BE TAKEN, PLEASE SEEK YOUR OWN FINANCIAL ADVICE FROM YOUR STOCKBROKER, BANK MANAGER, SOLICITOR, ACCOUNTANT OR OTHER INDEPENDENT FINANCIAL ADVISER WHO IS AUTHORISED UNDER T |
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| February 15, 2019 |
Exhibit 99.5 THE INFORMATION CONTAINED WITHIN THIS ANNOUNCEMENT IS DEEMED BY THE COMPANY TO CONSTITUTE INSIDE INFORMATION AS STIPULATED UNDER THE EU MARKET ABUSE REGULATION (596/2014). UPON THE PUBLICATION OF THE ANNOUNCEMENT VIA A REGULATORY INFORMATION SERVICE, THIS INFORMATION IS CONSIDERED TO BE IN THE PUBLIC DOMAIN. Realm Therapeutics plc (“Realm Therapeutics”, “Realm” or the “Company”) Updat |
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| February 15, 2019 |
Voting Instructions for Beneficial Owners of American Depositary Shares Exhibit 99.4 Voting Instructions for Beneficial Owners of American Depositary Shares Beneficial Owners of American Depositary Shares (“ADSs”) who wish to submit their votes in connection with the General Meeting should consult the voting materials which will be delivered to them by their financial intermediary or its agent. The voting materials will provide Beneficial Owners of ADSs the opportunit |
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| February 15, 2019 |
Exhibit 99.2 schedule 1 NOTICE TO BROKERS AND SDRT CERTIFICATION FORM (for USE BY UNCERTIFICATED / CREST SHAREHOLDERS only) What do I need to do to convert my Ordinary Shares into Realm’s ADSs tradable on Nasdaq? To initiate the conversion process, your broker or delivering agent should be instructed to complete the attached form and send to Citibank, N.A., London directly at the following email a |
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| February 15, 2019 |
Exhibit 99.1 THIS DOCUMENT IS IMPORTANT AND REQUIRES YOUR IMMEDIATE ATTENTION. If you are in any doubt about the contents of this document, or the action you should take, you are recommended to seek your own financial advice immediately from your stockbroker, solicitor, accountant or other independent financial adviser who is authorised for the purposes of FSMA, if you are resident in the United K |
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| February 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)1 Realm Therapeutics plc (Name of Issuer) Ordinary shares, nominal value of £0.10 per share (Title of Class of Securities) 75606L103 (CUSIP |
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| November 29, 2018 |
RLM / Realm Therapeutics plc FORM 6-K (Current Report of Foreign Issuer) UNITED STATES 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 November 2018 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive |
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| November 29, 2018 |
Exhibit 99.1 THE INFORMATION CONTAINED WITHIN THIS ANNOUNCEMENT IS DEEMED BY THE COMPANY TO CONSTITUTE INSIDE INFORMATION AS STIPULATED UNDER THE EU MARKET ABUSE REGULATION (596/2014). UPON THE PUBLICATION OF THE ANNOUNCEMENT VIA A REGULATORY INFORMATION SERVICE, THIS INFORMATION IS CONSIDERED TO BE IN THE PUBLIC DOMAIN. Realm Therapeutics plc (“Realm Therapeutics”, “Realm” or the “Company”) Updat |
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| October 1, 2018 |
Exhibit 99.1 Realm Therapeutics plc (“Realm Therapeutics”, “Realm” or the “Company”) Provides Update on Timing of Formal Sale Process MALVERN, PA, October 1, 2018 - Realm Therapeutics plc (NASDAQ:RLM / AIM:RLM), a biopharmaceutical company with a proprietary technology platform of stabilized high concentration hypochlorous acid (HOCl), today provides an update on timing of the formal sale process. |
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| October 1, 2018 |
RLM / Realm Therapeutics plc FORM 6-K (Current Report of Foreign Issuer) UNITED STATES 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 October 2018 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive o |
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| September 17, 2018 |
Exhibit 99.3 RISK FACTORS Our operations and financial results, and an investment in American Depositary Shares, or ADSs, representing our ordinary shares or our ordinary shares, are subject to various risks and uncertainties including those described below. You should carefully consider these risks, in addition to the other information contained in the Form 6-K to which these Risk Factors are fur |
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| September 17, 2018 |
(Registered in England and Wales with registered number 5789798) Exhibit 99.2 THIS DOCUMENT IS IMPORTANT AND REQUIRES YOUR IMMEDIATE ATTENTION. If you are in any doubt regarding the contents of this document, you should consult your stockbroker, bank manager, solicitor, accountant or other independent financial adviser duly authorised under the Financial Services and Markets Act 2000 if you are in the UK or an appropriately authorised independent financial advi |
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| September 17, 2018 |
RLM / Realm Therapeutics plc FORM 6-K (Current Report of Foreign Issuer) UNITED STATES 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 September 2018 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive |
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| September 17, 2018 |
Exhibit 99.1 THE INFORMATION CONTAINED WITHIN THIS ANNOUNCEMENT IS DEEMED BY THE COMPANY TO CONSTITUTE INSIDE INFORMATION AS STIPULATED UNDER THE EU MARKET ABUSE REGULATION (596/2014). UPON THE PUBLICATION OF THE ANNOUNCEMENT VIA A REGULATORY INFORMATION SERVICE, THIS INFORMATION IS CONSIDERED TO BE IN THE PUBLIC DOMAIN. Realm Therapeutics plc (“Realm Therapeutics”, “Realm” or the “Company”) Provi |
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| September 17, 2018 |
RLM / Realm Therapeutics plc POS AM As filed with the United States Securities and Exchange Commission on September 17, 2018. |
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| August 21, 2018 |
RLM / Realm Therapeutics plc POS AM As filed with the United States Securities and Exchange Commission on August 21, 2018. |
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| August 15, 2018 |
EXHIBIT 1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on this Schedule 13D, dated August 15, 2018 (the “Schedule 13D”), with respect to the Shares of Realm Therapeutics plc is filed, and all amendments thereto will be filed, on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities and Exchange Act of 1934, as amended, and that this Agreement shall be included as an Exhibit to this Schedule 13D. |
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| August 15, 2018 |
SC 13D 1 ss103736sc13d.htm REPORT BENEFICIAL OWNERSHIP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Realm Therapeutics plc (Name of Issuer) Ordinary Shares, nominal value £0.10 per share (Title of Class of Securities) 75606L103 (CUSIP Number) OrbiMed Advisors LLC OrbiMed Capital GP VI LLC 601 Lexington Avenue, 54th F |
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| August 14, 2018 |
Realm Therapeutics plc Consolidated Balance Sheets (in thousands except share and per share data) Exhibit 99.2 Realm Therapeutics plc Consolidated Balance Sheets (in thousands except share and per share data) (unaudited) June 30, 2018 December 31, 2017 Assets Current assets: Cash and cash equivalents $ 16,236 $ 9,508 Marketable securities 7,433 24,345 Royalty receivable 757 444 Prepaid expenses and other assets 203 245 Total current assets 24,629 34,542 Property and equipment, net 252 246 Roya |
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| August 14, 2018 |
Exhibit 99.1 Realm Therapeutics Reports Top-line Data from Phase 2 Trial of PR022 in Atopic Dermatitis and First Half 2018 Financial Results Company Hosting Conference Call Today at 9:00 AM ET / 2:00 PM BST MALVERN, PA, August 14, 2018 - Realm Therapeutics plc (NASDAQ:RLM / AIM:RLM), a clinical stage biopharmaceutical company focused on developing novel therapeutics in immune-mediated diseases, to |
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| August 14, 2018 |
MANAGEMENTS’ DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS Exhibit 99.3 MANAGEMENTS’ DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS You should read the following discussion and analysis of our financial condition and results of operations together with our unaudited interim consolidated financial statements and the related notes furnished as exhibit 99.2 to the Current Report on Form 6-K on which this discussion has been furnishe |
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| August 14, 2018 |
Exhibit 99.4 Risk Factors Our operations and financial results, and an investment in American Depositary Shares, or ADSs, representing our ordinary shares or our ordinary shares, are subject to various risks and uncertainties including those described below. You should carefully consider these risks, in addition to the other information contained in the Form 6-K to which these Risk Factors are fur |
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| August 14, 2018 |
RLM / Realm Therapeutics plc FORM 6-K (Current Report of Foreign Issuer) UNITED STATES 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 August, 2018 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive o |
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| July 19, 2018 |
RLM / Realm Therapeutics plc / Biotechnology Value Fund L P - THE SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 Realm Therapeutics plc (Name of Issuer) Ordinary shares, nominal value of £0.10 per share (Title of Class of Securities) 75606L103 (CUSIP N |
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| July 19, 2018 |
EX-99.1 2 ex991to13g07422rea071818.htm JOINT FILING AGREEMENT Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on Schedule 13G dated July 18, 2018 with respect to the Ordinary shares, nominal value of £0.10 per share of Realm Therapeutics plc, and any further amendments thereto executed by each and any of the undersigned shall be filed on behalf of each of the un |
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| July 10, 2018 |
Exhibit 99.1 Realm Therapeutics Announces Publication of Pre-Clinical Study Demonstrating Comparable Activity of PR022 and Topical Tofacitinib in the Treatment of Atopic Dermatitis MALVERN, PA, July 10, 2018 - Realm Therapeutics plc (NASDAQ:RLM / AIM:RLM), a clinical stage biopharmaceutical company focused on developing novel therapeutics in immune-mediated diseases, today announces the publicatio |
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| July 10, 2018 |
RLM / Realm Therapeutics plc 6-K (Current Report of Foreign Issuer) UNITED STATES 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 July, 2018 Commission File Number 001-38522 Realm Therapeutics plc (Translation of registrant’s name into English) 267 Great Valley Parkway Malvern, PA 19355 (Address of principal executive off |
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| July 3, 2018 |
126,857,901 Ordinary Shares Represented by Approximately 5,074,316 American Depositary Shares 424B4 1 realm424b4.htm 424B4 Filed Pursuant to Rule 424(b)(4) Registration No. 333-225121 FINAL PROSPECTUS 126,857,901 Ordinary Shares Represented by Approximately 5,074,316 American Depositary Shares American Depositary Shares, or ADSs, each representing 25 ordinary shares of Realm Therapeutics plc, have been approved for listing on the Nasdaq Stock Market, or Nasdaq, under the symbol “RLM”, and |
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| July 3, 2018 |
RLM / Realm Therapeutics plc F-1/A As filed with the United States Securities and Exchange Commission on July 3, 2018. |
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| July 3, 2018 |
RLM / Realm Therapeutics plc CORRESP Realm Therapeutics plc 267 Great Valley Parkway Malvern, PA 19355 VIA EDGAR July 3, 2018 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| July 2, 2018 |
EX-99.(A) 2 e618149ex99-a.htm DEPOSIT AGREEMENT by and among REALM THERAPEUTICS PLC and CITIBANK, N.A., as Depositary, and ALL HOLDERS AND BENEFICIAL OWNERS OF AMERICAN DEPOSITARY SHARES ISSUED HEREUNDER Dated as of [date], 2018 TABLE OF CONTENTS ARTICLE I DEFINITIONS 1 Section 1.1 “ADS Record Date” 1 Section 1.2 “Affiliate” 1 Section 1.3 “American Depositary Receipt(s)”, “ADR(s)” and “Receipt(s)” |
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| July 2, 2018 |
As filed with the Securities and Exchange Commission on July 2, 2018 Registration No. |
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| June 29, 2018 |
EX-99.(A) 2 e618145ex99-a.htm DEPOSIT AGREEMENT by and among REALM THERAPEUTICS PLC and CITIBANK, N.A., as Depositary, and ALL HOLDERS AND BENEFICIAL OWNERS OF AMERICAN DEPOSITARY SHARES ISSUED HEREUNDER Dated as of [date], 2018 TABLE OF CONTENTS ARTICLE I DEFINITIONS 1 Section 1.1 “ADS Record Date” 1 Section 1.2 “Affiliate” 1 Section 1.3 “American Depositary Receipt(s)”, “ADR(s)” and “Receipt(s)” |
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| June 29, 2018 |
As filed with the Securities and Exchange Commission on June 29, 2018 Registration No. |
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| June 29, 2018 |
RLM / Realm Therapeutics plc F-1/A As filed with the United States Securities and Exchange Commission on June 29, 2018. |
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| June 29, 2018 |
RLM / Realm Therapeutics plc CORRESP Realm Therapeutics plc 267 Great Valley Parkway Malvern, PA 19355 VIA EDGAR June 29, 2018 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| June 21, 2018 |
RLM / Realm Therapeutics plc CORRESP VIA EDGAR AND HAND DELIVERY Joshua A. Kaufman +1 212 479 6495 [email protected] June 21, 2018 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Mara L. Ronsom, Assistant Director, Office of Consumer Products Jenifer López, Staff Attorney Re: Realm Therapeutics plc Registration Statement on Form F-1 (No. 333-225121) Fi |
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| June 19, 2018 |
As filed with the United States Securities and Exchange Commission on June 18, 2018. F-1/A 1 realmf-1a3.htm F-1/A As filed with the United States Securities and Exchange Commission on June 18, 2018. Registration Statement No. 333-225121 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 3 to Form F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Realm Therapeutics plc (Exact name of registrant as specified in its charter) England and Wa |
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| June 18, 2018 |
RLM / Realm Therapeutics plc CORRESP Joshua A. Kaufman VIA EDGAR AND HAND DELIVERY +1 212 479 6495 [email protected] June 18, 2018 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Mara L. Ronsom, Assistant Director, Office of Consumer Products Jenifer López, Staff Attorney Re: Realm Therapeutics plc Registration Statement on Form F-1 (No. 333-225121) Fi |
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| June 14, 2018 |
Exhibit 10.2 MASTER SERVICES AGREEMENT AND EXCLUSIVE PATENT LICENSE This Master Services Agreement and Exclusive Patent License (?Agreement?), effective as of October 1, (the ?Effective Date?) is made by and between PuriCore, Inc. a Delaware Corporation with offices at 508 Lapp Road, Malvern, PA 19355 (hereinafter referred to as ?PuriCore?) and Vitold Mikhailovich Bakhir, an individual located at |
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| June 14, 2018 |
As filed with the United States Securities and Exchange Commission on June 13, 2018. As filed with the United States Securities and Exchange Commission on June 13, 2018. |
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| June 14, 2018 |
Exhibit 10.3 TECHNOLOGY TRANSFER AGREEMENT This Technology Transfer Agreement (?Agreement?) is entered into as of April 4, 2018 (?Effective Date?) between Realm Therapeutics, Inc., a Delaware corporation (?RTI?) and Vitold M. Bakhir (?Licensor?) and sets forth the terms and conditions that will apply to the transfer of certain technology and the grant of certain licenses from Licensor to RTI. 1. L |
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| June 13, 2018 |
As filed with the Securities and Exchange Commission on June 13, 2018 Registration No. |
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| June 13, 2018 |
EX-99.(A) 2 e618096ex99-a.htm DEPOSIT AGREEMENT by and among REALM THERAPEUTICS PLC and CITIBANK, N.A., as Depositary, and ALL HOLDERS AND BENEFICIAL OWNERS OF AMERICAN DEPOSITARY SHARES ISSUED HEREUNDER Dated as of [date], 2018 TABLE OF CONTENTS ARTICLE I DEFINITIONS 1 Section 1.1 “ADS Record Date” 1 Section 1.2 “Affiliate” 1 Section 1.3 “American Depositary Receipt(s)”, “ADR(s)” and “Receipt(s)” |
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| June 13, 2018 |
RLM / Realm Therapeutics plc CORRESP Joshua A. Kaufman VIA EDGAR AND HAND DELIVERY +1 212 479 6495 [email protected] June 13, 2018 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Mara L. Ronsom, Assistant Director, Office of Consumer Products Jenifer López, Staff Attorney Re: Realm Therapeutics, plc Registration Statement on Form F-1 (No. 333-225121) F |
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| June 11, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Realm Therapeutics plc (Exact name of registrant as specified in its charter) England and Wales Not applicable (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identi |
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| May 31, 2018 |
EX-99.(A) 2 e618046ex99-a.htm DEPOSIT AGREEMENT by and among REALM THERAPEUTICS PLC and CITIBANK, N.A., as Depositary, and ALL HOLDERS AND BENEFICIAL OWNERS OF AMERICAN DEPOSITARY SHARES ISSUED HEREUNDER Dated as of [date], 2018 TABLE OF CONTENTS ARTICLE I DEFINITIONS 1 Section 1.1 “ADS Record Date” 1 Section 1.2 “Affiliate” 1 Section 1.3 “American Depositary Receipt(s)”, “ADR(s)” and “Receipt(s)” |
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| May 31, 2018 |
As filed with the Securities and Exchange Commission on May 31, 2018 Registration No. |
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| May 31, 2018 |
May 31, 2018 Citibank, N.A. – ADR Department 388 Greenwich Street New York, New York 10013 Ladies and Gentlemen: We refer to the Registration Statement on Form F-6 (the “Registration Statement”) to be filed with the Securities and Exchange Commission (the “SEC”) by the legal entity to be created by the Deposit Agreement (as hereinafter defined) for the purpose of registering under the United State |
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| May 30, 2018 |
As filed with the United States Securities and Exchange Commission on May 30, 2018. As filed with the United States Securities and Exchange Commission on May 30, 2018. |
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| May 23, 2018 |
As filed with the United States Securities and Exchange Commission on May 22, 2018. As filed with the United States Securities and Exchange Commission on May 22, 2018. |
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| May 23, 2018 |
Articles of Association of Realm Therapeutics plc Exhibit 3.1 THE COMPANIES ACTS ARTICLES OF ASSOCIATION REALM THERAPEUTICS PLC PUBLIC COMPANY LIMITED BY SHARES Adopted by special resolution passed on 9 October 2017 CMS Cameron McKenna Nabarro Olswang LLP Cannon Place 78 Cannon Street London EC4N 6AF T +44 20 7367 3000 F +44 20 7367 2000 TABLE OF CONTENTS DEFINITIONS AND INTERPRETATION 1 1. Definitions and interpretation 1 2. Limited liability 2 |
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| May 23, 2018 |
Exhibit 10.6 DATED September 20, 2017 ORBIMED PRIVATE INVESTMENTS VI, LP and REALM THERAPEUTICS and NPLUS1 SINGER ADVISORY LLP RELATIONSHIP AGREEMENT relating to REALM THERAPEUTICS PLC 1 Index Clause No. Page No. 1. Definitions and interpretation 1 2. Condition precedent and duration 3 3. Conduct of transactions and relationships 4 4. Takeover Code 5 5. Procedure on conflict. 5 6. Announcements an |
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| May 23, 2018 |
Realm Therapeutics 2016 Executive Omnibus Incentive Plan EX-10.1 7 exhibit101f-1.htm EXHIBIT 10.1 Exhibit 10.1 Realm Therapeutics plc Executive Omnibus Incentive Plan 2016 Adopted on 16 June 2016 (name changed to Realm Therapeutics plc from PuriCore plc in December 2016) Contents Page Part A - Definitions & Interpretation 3 Part B - Options 8 2. Grant of Options 8 3. Exercise and lapse of options 9 Part C - Share Awards 11 4. Grant of Share Awars 11 5. |
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| May 23, 2018 |
Registration Rights Agreement among the Registrant and certain investors, dated September 21, 2017 Exhibit 10.7 REGISTRATION RIGHTS AGREEMENT REGISTRATION RIGHTS AGREEMENT (this ?Agreement?), dated as of September 21, 2017, by and among Realm Therapeutics plc, a company incorporated under the laws of England and Wales (the ?Company?), with a registered office at Cannon Place, 78 Cannon Street, London EC4N 6AF, United Kingdom, and the several purchasers signatory hereto (each a ?Purchaser? and c |
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| May 23, 2018 |
Form of Deed of Indemnity between the Registrant and each of its executive officers and directors Exhibit 10.5 Realm Therapeutics plc c/o CMS Cameron McKenna LLP Cannon Place, 78 Cannon Street London EC4N 6AF, United Kingdom [Name] [Date] Dear [ ] Realm Therapeutics plc (the “Company”) and your role as a director/officer of the Company As you are aware, the articles of association of the Company (the “Articles”) contain provisions, at Article 145, granting an indemnity to the directors and off |
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| May 23, 2018 |
Exhibit 16.1 Our Ref AS/JF UK Company registration number 05789798 U.S. Securities and Exchange Commission Office of the Chief Accountant 100 F Street, NE Washington, DC 20549 Grant Thornton UK LLP 101 Cambridge Science Park Milton Road Cambridge CB4 0FY T +44 (0)1223 225600 F +44 (0)1223 225619 www.grant-thornton.co.uk Attention: Mara L. Ronsom, Assistant Director, Office of Consumer Products Jen |
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| May 23, 2018 |
Exhibit 24.1 POWERS OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Alex Martin and Marella Thorell, and each of them acting individually, as his or her true and lawful attorneys-in-fact and agents, each with full power of substitution, for him or her in any and all capacities, to file a registration statement with the |
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| May 23, 2018 |
Form of American Depositary Receipt (included in Exhibit 4.1) Exhibit 4.1 DEPOSIT AGREEMENT by and among REALM THERAPEUTICS PLC and CITIBANK, N.A., as Depositary, and ALL HOLDERS AND BENEFICIAL OWNERS OF AMERICAN DEPOSITARY SHARES ISSUED HEREUNDER Dated as of [date], 2018 TABLE OF CONTENTS ARTICLE I DEFINITIONS 1 Section 1.1 ?ADS Record Date? 1 Section 1.2 ?Affiliate? 1 Section 1.3 ?American Depositary Receipt(s)?, ?ADR(s)? and ?Receipt(s)? 1 Section 1.4 ?Am |
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| May 23, 2018 |
Exhibit 10.3 TECHNOLOGY TRANSFER AGREEMENT This Technology Transfer Agreement (“Agreement”) is entered into as of April 4, 2018 (“Effective Date”) between Realm Therapeutics, Inc., a Delaware corporation (“RTI”) and Vitold M. Bakhir (“Licensor”) and sets forth the terms and conditions that will apply to the transfer of certain technology and the grant of certain licenses from Licensor to RTI. 1. L |
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| May 23, 2018 |
Exhibit 2.1 EXECUTION VERSION ASSET PURCHASE AGREEMENT by and between CHEMSTAR CORP., (a Florida corporation) PURICORE, INC. (a Delaware corporation) and PURICORE PLC (a public limited company incorporated under the laws of England and Wales) September 19, 2016 Table of Contents Page 1. DEFINITIONS 2 2 SALE AND PURCHASE 12 2.1 Purchase and Sale of the Purchased Assets; License Rights; Transitional |
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| May 23, 2018 |
Exhibit 10.2 MASTER SERVICES AGREEMENT AND EXCLUSIVE PATENT LICENSE This Master Services Agreement and Exclusive Patent License (“Agreement”), effective as of October 1, (the “Effective Date”) is made by and between PuriCore, Inc. a Delaware Corporation with offices at 508 Lapp Road, Malvern, PA 19355 (hereinafter referred to as “PuriCore”) and Vitold Mikhailovich Bakhir, an individual located at |
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| May 23, 2018 |
Exhibit 10.4 EXECUTION VERSION INTELLECTUAL PROPERTY LICENSE AGREEMENT This Intellectual Property License Agreement (“this Agreement”) is effective as of October 7, 2016 (“Effective Date”), and is made by and between PuriCore, Inc., a Delaware corporation (“LICENSOR”), and Chemstar Corp., a Florida corporation (“LICENSEE”). ARTICLE 1. BACKGROUND 1.01 LICENSOR and LICENSEE are parties to an Asset P |
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| May 23, 2018 |
Subsidiaries of the Registrant Exhibit 21.1 Realm Therapeutics plc List of Subsidiaries Subsidiary Jurisdiction Realm Therapeutics, Inc. Delaware PuriCore Europe Limited England and Wales PuriCore Scientific Limited England and Wales |
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| May 23, 2018 |
Form of Warrant issued by the Registrant to certain investors on October 12, 2017 Exhibit 4.3 DATED , 2017 WARRANT INSTRUMENT THIS WARRANT INSTRUMENT is made on , 2017 BY REALM THERAPEUTICS PLC, a company incorporated under the laws of England and Wales, with a registered office at Cannon Place, 78 Cannon Street, London EC4N 6AF, United Kingdom (the “Company”). AGREED TERMS This warrant instrument (this “Warrant Instrument”) has been entered into by the Company by way of deed p |
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| May 22, 2018 |
RLM / Realm Therapeutics plc CORRESP Joshua A. Kaufman VIA EDGAR AND HAND DELIVERY +1 212 479 6495 [email protected] May 22, 2018 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Mara L. Ronsom, Assistant Director, Office of Consumer Products Jenifer López, Staff Attorney Re: Realm Therapeutics, plc Registration Statement on Form F-1 Originally Submitte |
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| April 30, 2018 |
As submitted confidentially to the United States Securities and Exchange Commission on April 27, 2018 as Amendment No. |
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| April 30, 2018 |
Exhibit 10.3 TECHNOLOGY TRANSFER AGREEMENT This Technology Transfer Agreement (?Agreement?) is entered into as of April 4, 2018 (?Effective Date?) between Realm Therapeutics, Inc., a Delaware corporation (?RTI?) and Vitold M. Bakhir (?Licensor?) and sets forth the terms and conditions that will apply to the transfer of certain technology and the grant of certain licenses from Licensor to RTI. 1. L |
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| April 30, 2018 |
MASTER SERVICES AGREEMENT AND EXCLUSIVE PATENT LICENSE EX-10.2 3 filename3.htm Exhibit 10.2 MASTER SERVICES AGREEMENT AND EXCLUSIVE PATENT LICENSE This Master Services Agreement and Exclusive Patent License (“Agreement”), effective as of October 1, (the “Effective Date”) is made by and between PuriCore, Inc. a Delaware Corporation with offices at 508 Lapp Road, Malvern, PA 19355 (hereinafter referred to as “PuriCore”) and Vitold Mikhailovich Bakhir, a |
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| April 30, 2018 |
Exhibit 2.1 EXECUTION VERSION ASSET PURCHASE AGREEMENT by and between CHEMSTAR CORP., (a Florida corporation) PURICORE, INC. (a Delaware corporation) and PURICORE PLC (a public limited company incorporated under the laws of England and Wales) September 19, 2016 Table of Contents Page 1. DEFINITIONS 2 2 SALE AND PURCHASE 12 2.1 Purchase and Sale of the Purchased Assets; License Rights; Transitional |
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| April 30, 2018 |
INTELLECTUAL PROPERTY LICENSE AGREEMENT Exhibit 10.4 EXECUTION VERSION INTELLECTUAL PROPERTY LICENSE AGREEMENT This Intellectual Property License Agreement (“this Agreement”) is effective as of October 7, 2016 (“Effective Date”), and is made by and between PuriCore, Inc., a Delaware corporation (“LICENSOR”), and Chemstar Corp., a Florida corporation (“LICENSEE”). ARTICLE 1. BACKGROUND 1.01 LICENSOR and LICENSEE are parties to an Asset P |
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| April 13, 2018 |
Exhibit 3.1 THE COMPANIES ACTS ARTICLES OF ASSOCIATION REALM THERAPEUTICS PLC PUBLIC COMPANY LIMITED BY SHARES Adopted by special resolution passed on 9 October 2017 CMS Cameron McKenna Nabarro Olswang LLP Cannon Place 78 Cannon Street London EC4N 6AF T +44 20 7367 3000 F +44 20 7367 2000 TABLE OF CONTENTS DEFINITIONS AND INTERPRETATION 1 1. Definitions and interpretation 1 2. Limited liability 2 |
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| April 13, 2018 |
Exhibit 10.7 REGISTRATION RIGHTS AGREEMENT REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of September 21, 2017, by and among Realm Therapeutics plc, a company incorporated under the laws of England and Wales (the “Company”), with a registered office at Cannon Place, 78 Cannon Street, London EC4N 6AF, United Kingdom, and the several purchasers signatory hereto (each a “Purchaser” and c |
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| April 13, 2018 |
DATED , 2017 WARRANT INSTRUMENT THIS WARRANT INSTRUMENT is made on , 2017 Exhibit 4.3 DATED , 2017 WARRANT INSTRUMENT THIS WARRANT INSTRUMENT is made on , 2017 BY REALM THERAPEUTICS PLC, a company incorporated under the laws of England and Wales, with a registered office at Cannon Place, 78 Cannon Street, London EC4N 6AF, United Kingdom (the “Company”). AGREED TERMS This warrant instrument (this “Warrant Instrument”) has been entered into by the Company by way of deed p |
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| April 13, 2018 |
Realm Therapeutics plc List of Subsidiaries EX-21.1 7 filename7.htm Exhibit 21.1 Realm Therapeutics plc List of Subsidiaries Subsidiary Jurisdiction Realm Therapeutics, Inc. Delaware PuriCore Europe Limited England and Wales PuriCore Scientific Limited England and Wales |
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| April 13, 2018 |
Exhibit 10.5 Realm Therapeutics plc c/o CMS Cameron McKenna LLP Cannon Place, 78 Cannon Street London EC4N 6AF, United Kingdom [Name] [Date] Dear [ ] Realm Therapeutics plc (the “Company”) and your role as a director/officer of the Company As you are aware, the articles of association of the Company (the “Articles”) contain provisions, at Article 145, granting an indemnity to the directors and off |
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| April 13, 2018 |
As submitted confidentially to the United States Securities and Exchange Commission on April 13, 2018. |
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| April 13, 2018 |
Exhibit 10.1 Realm Therapeutics plc Executive Omnibus Incentive Plan 2016 Adopted on 16 June 2016 (name changed to Realm Therapeutics plc from PuriCore plc in December 2016) Contents Page Part A - Definitions & Interpretation 3 Part B - Options 8 2. Grant of Options 8 3. Exercise and lapse of options 9 Part C - Share Awards 11 4. Grant of Share Awars 11 5. Vesting & Release of Share Awards 13 6. B |
