Mga Batayang Estadistika
| LEI | 529900F0GBLJ6D003G43 |
| CIK | 1636050 |
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 Sio Gene Therapies Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| April 25, 2023 |
15-12G 1 siox15-12g04142023.htm 15-12G 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: 001-37418 Sio Gene Therapies Inc. (E |
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| April 17, 2023 |
As filed with the Securities and Exchange Commission on April 17, 2023 As filed with the Securities and Exchange Commission on April 17, 2023 Registration No. |
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| April 17, 2023 |
As filed with the Securities and Exchange Commission on April 17, 2023 As filed with the Securities and Exchange Commission on April 17, 2023 Registration No. |
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| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 5, 2023 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commission F |
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| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-37418 Sio Gene Therapies Inc. The Nasdaq Stock Market LLC (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 150 |
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| March 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 14, 2023 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commission |
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| March 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 14, 2023 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commission |
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| February 21, 2023 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a- |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2023 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissi |
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| February 14, 2023 |
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): February 14, 2023 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissi |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended 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 001-37418 Sio Gen |
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| February 14, 2023 |
Exhibit 99.1 Sio Gene Therapies Announces Fiscal Third Quarter 2022 Financial Results –Three-Month and Nine-Month Losses decline by 84.2% and 73.5%, respectively –Operating Cash Outflows for the Nine Months Ended December 31, 2022 decreased by $23.8 million or 56% versus the prior year period –$46.1 million of cash and cash equivalents as of December 31, 2022, a strong cash position as the Company |
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| February 14, 2023 |
Exhibit 99.1 Sio Gene Therapies Announces Fiscal Third Quarter 2022 Financial Results –Three-Month and Nine-Month Losses decline by 84.2% and 73.5%, respectively –Operating Cash Outflows for the Nine Months Ended December 31, 2022 decreased by $23.8 million or 56% versus the prior year period –$46.1 million of cash and cash equivalents as of December 31, 2022, a strong cash position as the Company |
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| February 13, 2023 |
SIOX / Sio Gene Therapies Inc / SUVRETTA CAPITAL MANAGEMENT, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 10, 2023 |
SIOX / Sio Gene Therapies Inc / Rubric Capital Management LP - SC 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* SIO Gene Therapies Inc. (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 829399104 (CUSIP Number) December 31, 2022 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuan |
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| February 9, 2023 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| February 9, 2023 |
Exhibit 107 Calculation of Filing Fee Table SCHEDULE 14A (Form Type) Sio Gene Therapies, Inc. |
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| December 14, 2022 |
Plan of Complete Liquidation and Dissolution of Sio Gene Therapies Inc. Exhibit 2.1 SIO GENE THERAPIES INC. PLAN OF COMPLETE LIQUIDATION AND DISSOLUTION This Plan of Complete Liquidation and Dissolution (the ?Plan?) is for the purpose of effecting the orderly liquidation and/or wind up of Sio Gene Therapies Inc., a Delaware corporation (the ?Company?), in accordance with the Delaware General Corporation Law (the ?DGCL?) and Section 331 of the Internal Revenue Code of |
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| December 14, 2022 |
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): December 14, 2022 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissi |
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| December 14, 2022 |
Sio Gene Therapies Inc. Announces Board Approval of Plan of Complete Liquidation and Dissolution Exhibit 99.1 Sio Gene Therapies Inc. Announces Board Approval of Plan of Complete Liquidation and Dissolution NEW YORK CITY, December 14, 2022 ? Sio Gene Therapies Inc. (Nasdaq:SIOX) today announced that its Board of Directors has determined, after extensive and careful consideration of potential strategic alternatives, that it is in the best interests of the Company and its shareholders to dissol |
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| December 14, 2022 |
Plan of Complete Liquidation and Dissolution. Exhibit 2.1 SIO GENE THERAPIES INC. PLAN OF COMPLETE LIQUIDATION AND DISSOLUTION This Plan of Complete Liquidation and Dissolution (the ?Plan?) is for the purpose of effecting the orderly liquidation and/or wind up of Sio Gene Therapies Inc., a Delaware corporation (the ?Company?), in accordance with the Delaware General Corporation Law (the ?DGCL?) and Section 331 of the Internal Revenue Code of |
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| December 14, 2022 |
Press Release of Sio Gene Therapies Inc., dated Exhibit 99.1 Sio Gene Therapies Inc. Announces Board Approval of Plan of Complete Liquidation and Dissolution NEW YORK CITY, December 14, 2022 ? Sio Gene Therapies Inc. (Nasdaq:SIOX) today announced that its Board of Directors has determined, after extensive and careful consideration of potential strategic alternatives, that it is in the best interests of the Company and its shareholders to dissol |
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| December 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 14, 2022 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissi |
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| November 10, 2022 |
Exhibit 99.1 Sio Gene Therapies Announces Fiscal Second Quarter 2022 Financial Results –Three-Month and Six-Month Losses decline by 85.5% and 65.3%, respectively –Operating Cash Outflows for the Six Months Ended September 30, 2022 decreased by $8.1 million or 37% versus the prior year period –Strong cash position with $49.86 million of cash and cash equivalents as of September 30, 2022, expected t |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2022 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissi |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-37418 Sio Ge |
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| September 14, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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 12, 2022 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commiss |
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| August 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-37418 Sio Gene Th |
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| August 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2022 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commission |
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| August 11, 2022 |
Exhibit 99.1 Sio Gene Therapies Announces Fiscal First Quarter 2022 Financial Results –Strong cash position with $54.8 million of cash and cash equivalents as of June 30, 2022, expected to provide cash runway beyond August 2023 NEW YORK, NY AND DURHAM, NC, August 11, 2022 (GLOBE NEWSWIRE) – Sio Gene Therapies Inc. (NASDAQ: SIOX) today provided financial results for its fiscal first quarter ended J |
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| June 14, 2022 |
Form of Indemnification Agreement with directors and executive officers. Exhibit 10.14 SIO GENE THERAPIES INC. INDEMNITY AGREEMENT THIS INDEMNITY AGREEMENT (the "Agreement") is made and entered into as of between SIO GENE THERAPIES INC., a Delaware Corporation (the "Company"), and (the "Indemnitee"). RECITALS A.Highly competent persons have become more reluctant to serve corporations as directors or officers or in other capacities unless they are provided with adequate |
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| June 14, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2022 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commission F |
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| June 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended 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 001-37418 Sio Gene Therapies |
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| June 14, 2022 |
2022, by and between David Nassif and the Registrant. Exhibit 10.14 SIO GENE THERAPIES INC. EMPLOYMENT AGREEMENT This Employment Agreement (the ?Agreement?) is entered into as of February 1, 2022, by and between David Nassif (the ?Executive?) and Sio Gene Therapies Inc. (the ?Company?). RECITALS A.The Company desires the association and services of Executive and Executive?s skills, abilities, background and knowledge, and is willing to engage Executi |
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| June 14, 2022 |
Sio Gene Therapies Announces Fiscal Year 2021 Year-End Financial Results Exhibit 99.1 Sio Gene Therapies Announces Fiscal Year 2021 Year-End Financial Results NEW YORK, NY, AND DURHAM, NC, June 14, 2022 (GLOBE NEWSWIRE) ? Sio Gene Therapies Inc. (NASDAQ: SIOX) today provided financial results for its fiscal year ended March 31, 2022. Fiscal Fourth Quarter Financial Summary For the fourth fiscal quarter ended March 31, 2022, research and development expenses were $12.6 |
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| June 14, 2022 |
Subsidiaries of the Registrant. Exhibit 21.1 Subsidiaries of Sio Gene Therapies Inc. Name of Subsidiary Jurisdiction of Incorporation or Organization Sio Europe Limited Ireland Axovant Holdings Limited England and Wales Axovant Sciences GmbH Switzerland 1 |
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| April 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2022 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commission |
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| April 27, 2022 |
Exhibit 99.1 Sio Gene Therapies Provides Corporate Update -Company Announces Termination of Licensing Agreement for GM1 and GM2 Gene Therapies with the University of Massachusetts -Company has engaged SVB Securities to advise it on a range of strategic alternatives to maximize stockholder value -Company had cash and cash equivalents of approximately $64 million at March 31, 2022; license terminati |
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| March 18, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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 16, 2022 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commission |
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| February 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* SIO GENE THERAPIES INC (Name of Issuer) Common Stock, par value $0.00001 per share (Title of Class of Securities) 829399104 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate th |
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| February 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-37418 Sio Gen |
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| February 11, 2022 |
SIOX / Sio Gene Therapies Inc / SUVRETTA CAPITAL MANAGEMENT, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 11, 2022 |
Exhibit 99.1 Sio Gene Therapies Announces Corporate Updates and Fiscal Third Quarter 2021 Financial Results ?Company prioritizing industry-leading clinical-stage programs, AXO-AAV-GM1 and AXO-AAV-GM2, the first potential disease-modifying therapies for GM1 gangliosidosis and Tay-Sachs/Sandhoff disease ?$81.9 million of cash and cash equivalents as of December 31, 2021, providing expected cash runw |
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| February 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2022 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissi |
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| February 9, 2022 |
Phase 1/2 Trial of AXO-AAV-GM1 (AAV9-GLB1) Gene Therapy for Infantile- and Juvenile-Onset GM1 Gangliosidosis Cynthia Tifft, MD, PhD National Human Genome Research Institute National Institutes of Health (NIH) Exhibit 99. |
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| February 9, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 9, 2022 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissio |
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| January 31, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No.1) 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 23, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of inco |
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| January 31, 2022 |
Exhibit 99.1 Sio Gene Therapies Announces Prioritization of Lead Gene Therapy Programs in GM1 and GM2 Gangliosidosis, Extension of Cash Runway, and CEO Transition ?Company to prioritize industry-leading clinical-stage programs, AXO-AAV-GM1 and AXO-AAV-GM2, the first potential disease-modifying therapies for GM1 gangliosidosis and Tay-Sachs/Sandhoff Disease, respectively; and to terminate AXO-Lenti |
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| January 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 26, 2022 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissio |
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| January 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 19, 2022 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissio |
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| November 12, 2021 |
Amended and Restated 2015 Equity Incentive Plan. Exhibit 10.1 SIO GENE THERAPIES INC. 2015 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS: MARCH 18, 2015 APPROVED BY THE SOLE MEMBER: MARCH 18, 2015 AMENDED BY THE BOARD OF DIRECTORS: MAY 19, 2015 APPROVED BY THE STOCKHOLDERS: MAY 19, 2015 AMENDED AND RESTATED BY THE BOARD OF DIRECTORS: JUNE 1, 2017 APPROVED BY THE STOCKHOLDERS: AUGUST 18, 2017 AMENDED AND RESTATED BY THE BOARD OF DIRECTO |
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| November 12, 2021 |
Regulation FD Disclosure, 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): November 11, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissi |
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| November 12, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissi |
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| November 12, 2021 |
Exhibit 99.1 Sio Gene Therapies Announces Corporate Updates and Fiscal Second Quarter 2021 Financial Results ?Data from AXO-AAV-GM1 Phase 1/2 study demonstrated consistent dose-dependent biomarker improvement including normalization of beta-galactosidase activity in serum and GM1 ganglioside in CSF ?Granted Fast Track Designation for both AXO-AAV-GM1 and AXO-AAV-GM2 for the treatment of GM1 gangli |
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| November 12, 2021 |
Exhibit 99.1 Sio Gene Therapies Announces Successful Manufacture of Three GMP Batches of AXO-Lenti-PD Gene Therapy Program for Parkinson's Disease ?Completed three successful GMP campaigns using suspension-based manufacturing process ?All batches achieved target titers and have successfully completed fill and finish ?Qualified person (QP) certification of at least one batch of clinical trial mater |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-37418 Sio Ge |
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| November 1, 2021 |
Regulation FD Disclosure, 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): November 1, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissio |
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| November 1, 2021 |
Exhibit 99.1 Sio Gene Therapies Announces Granting of FDA Fast Track Designation for Investigational AXO-AAV-GM2 Gene Therapy in Patients with GM2 Gangliosidosis ?Designation complements previously granted Rare Pediatric Disease and Orphan Drug designations ?Enrollment ongoing in the registration-enabling trial of AXO-AAV-GM2 in Tay-Sachs/Sandhoff diseases NEW YORK and DURHAM, N.C., November 1, 20 |
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| October 21, 2021 |
Exhibit 99.2 Sio Gene Therapies Announces Granting of FDA Fast Track Designation for Investigational AXO-AAV-GM1 (AAV9-GLB1) Gene Therapy in Patients with GM1 Gangliosidosis NEW YORK and DURHAM, N.C., October 21, 2021 (GLOBE NEWSWIRE) ?? Sio Gene Therapies Inc. (NASDAQ: SIOX), a clinical-stage company focused on developing gene therapies to radically transform the lives of patients with neurodegen |
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| October 21, 2021 |
Exhibit 99.1 Sio Gene Therapies Announces Positive Interim Safety and Biomarker Data from Ongoing Phase 1/2 Clinical Study of AXO-AAV-GM1 Gene Therapy in GM1 Gangliosidosis ?Consistent dose-dependent improvements across biomarker measures ?Normalization of serum beta-galactosidase activity and GM1 ganglioside in CSF in the high-dose cohort ?No overt disease progression in six out of seven patients |
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| October 21, 2021 |
Regulation FD Disclosure, 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, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissio |
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| October 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 15, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissio |
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| October 21, 2021 |
GENE THERAPIES AXO-MV-GMl for GMl Gangliosidosis Results from ongoing Phase 1/2 Dose Escalation Study ? 6-Month Safety and Efficacy High-Dose Cohort ? 12-Month Safety and Efficacy Low-Dose Cohort October 21, 2021 1 ? ? ? Exhibit 99. |
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| October 6, 2021 |
As filed with the Securities and Exchange Commission on October 6, 2021 Registration No. |
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| September 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 23, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commiss |
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| August 12, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commission |
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| August 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-37418 Sio Gene Th |
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| August 12, 2021 |
Exhibit 99.1 Sio Gene Therapies Announces Corporate Updates and Fiscal First Quarter 2021 Financial Results –Completed targeted enrollment of Type II patients in ongoing dose-escalation study of AXO-AAV-GM1 in GM1 gangliosidosis –On track to report 12-month topline safety, biomarker, and clinical outcomes data from low-dose cohort of AXO-AAV-GM1 in late Q3 or early Q4 2021 –Strong cash position wi |
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| August 6, 2021 |
Signature [PLEASE SIGN WITHIN BOX] Date Signature (Joint Owners) Date TO VOTE, MARK BLOCKS BELOW IN BLUE OR BLACK INK AS FOLLOWS: KEEP THIS PORTION FOR YOUR RECORDS DETACH AND RETURN THIS PORTION ONLYTHIS PROXY CARD IS VALID ONLY WHEN SIGNED AND DATED. |
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| August 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| August 6, 2021 |
Amended and Restated 2015 Equity Incentive Plan. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive |
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| June 9, 2021 |
Subsidiaries of the Registrant. Exhibit 21.1 Subsidiaries of Sio Gene Therapies Inc. Name of Subsidiary Jurisdiction of Incorporation or Organization Sio Europe Limited Ireland Axovant Holdings Limited England and Wales Axovant Sciences GmbH Switzerland 1 |
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| June 9, 2021 |
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, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-37418 Sio Gene Therapies |
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| June 9, 2021 |
Exhibit 4.2 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following is a description of the common stock, $0.00001 par value per share (the ?Common Stock?), of Sio Gene Therapies Inc. (the ?Company,? ?we,? ?our,? or ?us?), which is the only class of securities of the Company registered pursuant to Section 12 of the Securitie |
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| June 9, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 9, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 9, 2021 |
Exhibit 99.1 Sio Gene Therapies Announces Fiscal Year 2020 Year-End Financial Results and Expected Fiscal Year 2021 Key Milestones ?Multiple GM1 gangliosidosis program milestones expected in FY2021, including 12-month data updates from the ongoing dose-escalation study and meeting with FDA to align on registrational pathway ?Strong cash position with $119 million of cash and cash equivalents as of |
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| June 9, 2021 |
Exhibit 10.16 SIO GENE THERAPIES INC. RESTRICTED STOCK UNIT GRANT NOTICE (2015 EQUITY INCENTIVE PLAN) Sio Gene Therapies Inc. (the ?Company?), pursuant to its 2015 Equity Incentive Plan (the ?Plan?), hereby awards to Participant a Restricted Stock Unit Award for the number of shares of the Company?s Common Stock (?Restricted Stock Units? or ?RSUs?) set forth below (the ?Award?). The Award is subje |
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| June 9, 2021 |
Form of Pre-funded Warrant to purchase Shares of Common Stock. Exhibit 4.3 SIO GENE THERAPIES INC. FORM OF WARRANT TO PURCHASE SHARES OF COMMON STOCK Number of Shares: [ ] (subject to adjustment) Warrant No. CS ? [ ] Original Issue Date: February 24, 2020 Reissue Date: February 10, 2021 Sio Gene Therapies Inc., a corporation incorporated in the State of Delaware (the ?Company?), hereby certifies that, for good and valuable consideration, the receipt and suffi |
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| May 13, 2021 |
AXO-Lenti-PD Gene Therapy for Parkinson?s Disease: Efficacy, Safety, & Tolerability Data in the Open-label Dose Evaluation Study SUNRISE-PD at 6 Months Gavin Corcoran MD Chief R&D Officer Exhibit 99. |
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| May 13, 2021 |
Exhibit 99.1 Sio Gene Therapies Announces CSF Reductions in GM1 Ganglioside from Clinical Trial of AXO-AAV-GM1 Gene Therapy - GM1 ganglioside in CSF reduced in 4 out of 5 children treated with the lowest dose at 6 months follow-up - Direct evidence of biochemical effect in the CNS suggests intravenous gene therapy may address both the systemic and neurological manifestations of GM1 gangliosidosis |
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| May 13, 2021 |
Regulation FD Disclosure, 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): May 13, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 13, 2021 |
Preliminary Results from the AXO-AAV-GM1 (AAV9-GLB1) Clinical Trial for the Treatment of GM1 Gangliosidosis Cynthia Tifft MD, PhD National Human Genome Research Institute, NIH Exhibit 99. |
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| April 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commission |
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| March 15, 2021 |
Exhibit 99.1 Sio Gene Therapies Provides Update on Cash Position and Major Upcoming GM1 Gangliosidosis Program Milestones ?Company had $120.9 million of cash and cash equivalents as of March 12, 2021 ?Substantial increase in liquidity driven by equity investment from Suvretta Capital and sale of Arvelle shares ?Company estimates it is fully funded through major upcoming milestones for GM1 gene the |
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| March 15, 2021 |
Regulation FD Disclosure, 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 15, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commission |
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| February 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 3)* Sio Gene Therapies Inc. (Name of Issuer) Common Stock, $0.00001 par value (Title of Class of Securities) 829399104 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ? |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 SIO GENE THERAPIES INC (Name of Issuer) Common Stock, par value $0.00001 per share (Title of Class of Securities) 829399104 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 SIO GENE THERAPIES INC (Name of Issuer) Common Stock, par value $0.00001 per share (Title of Class of Securities) 829399104 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 9, 2021 |
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, 2020 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 001-37418 Sio Gen |
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| February 9, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K 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 9, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissio |
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| February 9, 2021 |
Exhibit 99.1 Sio Gene Therapies Announces Financial Results for Third Fiscal Quarter Ended December 31, 2020 –Company had $81 million of cash and cash equivalents as of December 31, 2020, and expects to receive additional $16 million in cash in 2021 from sale of Arvelle Therapeutics shares –Cash runway expected into the second calendar quarter of 2022 NEW YORK, NY AND RESEARCH TRIANGLE PARK, NC, F |
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| February 4, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events - 8-K 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 4, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissio |
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| February 4, 2021 |
Exhibit 99.1 Sio Gene Therapies Announces Receipt of $11.6 Million from Closing of the Sale of Arvelle Therapeutics –Company expects to receive an additional $4.8 million by mid-2021 upon approval of cenobamate in Europe, totaling over $16.4 million in aggregate net proceeds this year NEW YORK, and RESEARCH TRIANGLE PARK, N.C., February 4, 2021 (GLOBE NEWSWIRE) – Sio Gene Therapies Inc. (NASDAQ: S |
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| February 3, 2021 |
Exhibit 99.1 Sio Gene Therapies Announces First Patient Dosed in Clinical Trial of AXO-AAV-GM2 in Patients with Tay-Sachs and Sandhoff Disease (GM2 Gangliosidosis) –First potentially disease-modifying gene therapy for GM2 gangliosidosis to enter clinical studies –Expect to continue patient identification, screening, and enrollment in Stage 1 of the study throughout 2021 NEW YORK, and RESEARCH TRIA |
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| February 3, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events - 8-K 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 3, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissio |
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| January 4, 2021 |
EX-99.1 2 siox8-kexx991010421.htm EX-99.1 Exhibit 99.1 Sio Gene Therapies to sell Arvelle Stake as part of Angelini Pharma’s Acquisition of Arvelle Therapeutics –Company to receive up to $20 million in upfront and milestone payments from non-dilutive transaction –Transaction extends cash runway into 2022 NEW YORK, N.Y. and RESEARCH TRIANGLE PARK, N.C., January 4, 2021 (GLOBE NEWSWIRE) – Sio Gene T |
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| January 4, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events - 8-K 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 4, 2021 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commission |
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| December 18, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits - 8-K 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, 2020 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissi |
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| December 18, 2020 |
as of December 16, 2020, between Sio Gene Therapies Inc. and SVB Leerink LLC. Exhibit 1.1 SIO GENE THERAPIES INC. COMMON STOCK SALES AGREEMENT December 16, 2020 SVB Leerink LLC One Federal Street, 37th Floor Boston, MA 02110 Ladies and Gentlemen: Sio Gene Therapies Inc. (the “Company”), confirms its agreement (this “Agreement”) with SVB Leerink LLC (“SVB Leerink”), as follows: 1. Issuance and Sale of Shares. The Company agrees that, from time to time during the term of this |
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| December 16, 2020 |
Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents Filed pursuant to Rule 424(b)(5) Registration Statement No. |
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| December 15, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events - 8-K 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 15, 2020 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissi |
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| December 15, 2020 |
Exhibit 99.1 Sio Gene Therapies Announces Positive Six-Month Follow-Up Data from Low-Dose Cohort of Phase 1/2 Trial of AXO-AAV-GM1 for GM1 Gangliosidosis –Generally well-tolerated with a favorable safety profile in five patients –Serum beta-galactosidase enzyme activity increased in all patients at all timepoints between Day 7 and Month 6, representing an approximate doubling in enzyme activity af |
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| November 13, 2020 |
Exhibit 10.2 SIO GENE THERAPIES INC. STOCK OPTION GRANT NOTICE (2015 EQUITY INCENTIVE PLAN) Sio Gene Therapies Inc. (the “Company”), pursuant to its 2015 Equity Incentive Plan (the “Plan”), hereby grants to Optionholder an option to purchase the number of shares of common stock of the Company (the “Common Stock”) set forth below. This option is subject to all of the terms and conditions as set for |
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| November 13, 2020 |
As filed with the Securities and Exchange Commission on November 13, 2020 Registration No. |
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| November 13, 2020 |
Exhibit 4.2 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following is a description of the common stock, $0.00001 par value per share (the “Common Stock”), of Sio Gene Therapies Inc. (the “Company,” “we,” “our,” or “us”), which is the only class of securities of the Company registered pursuant to Section 12 of the Securitie |
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| November 13, 2020 |
Exhibit 3.1 CERTIFICATE OF INCORPORATION OF SIO GENE THERAPIES INC. I. The name of this corporation is Sio Gene Therapies Inc. (the “Corporation”). II. The address of the registered office of the Corporation in the State of Delaware is 251 Little Falls Drive, City of Wilmington, 19808, County of New Castle, and the name of the registered agent of the Corporation in the State of Delaware at such ad |
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| November 13, 2020 |
Exhibit 99.1 Sio Gene Therapies Announces Corporate Updates and Financial Results for Second Fiscal Quarter Ended September 30, 2020 –Continued progress across pipeline of gene therapy programs, including recent IND clearance for AXO-AAV-GM2 in Tay-Sachs/Sandhoff diseases –Completed rebranding to Sio Gene Therapies as part of corporate transformation aligning corporate structure and governance wit |
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| November 13, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K 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 13, 2020 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissi |
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| November 13, 2020 |
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, 2020 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 001-37418 Sio Ge |
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| November 13, 2020 |
As filed with the Securities and Exchange Commission on November 13, 2020 Registration Nos. |
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| November 13, 2020 |
Amended and Restated 2015 Equity Incentive Plan. EXHIBIT 10.1 SIO GENE THERAPIES INC. 2015 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS: MARCH 18, 2015 APPROVED BY THE SOLE MEMBER: MARCH 18, 2015 AMENDED BY THE BOARD OF DIRECTORS: MAY 19, 2015 APPROVED BY THE SHAREHOLDERS: MAY 19, 2015 AMENDED AND RESTATED BY THE BOARD OF DIRECTORS: JUNE 1, 2017 APPROVED BY THE SHAREHOLDERS: AUGUST 18, 2017 AMENDED AND RESTATED BY THE BOARD OF DIRECTO |
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| November 13, 2020 |
Bylaws of Sio Gene Therapies Inc. BYLAWS OF SIO GENE THERAPIES INC. ARTICLE I OFFICES Section 1. Registered Office. The registered office of the corporation in the State of Delaware shall be as set forth in the Certificate of Incorporation of the corporation (the “Certificate of Incorporation”). Section 2. Other Offices. The corporation may also have and maintain an office or principal place of business at such place as may be fix |
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| November 13, 2020 |
As filed with the U.S. Securities and Exchange Commission on November 13, 2020 Registration No. 333-235889 UNITED STATES UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SIO GENE THERAPIES INC. (Exact name of Registrant as specified in its charter) Delaware 85-3863315 (State or |
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| November 13, 2020 |
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 12, 2020 Sio Gene Therapies Inc. (Exact name of registrant as specified in its charter) Delaware 001-37418 85-3863315 (State or other jurisdiction of incorporation) (Commissi |
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| November 13, 2020 |
Exhibit 10.3 Sio Gene Therapies Inc. Early Exercise Stock Purchase Agreement Under the 2015 Equity Incentive Plan THIS AGREEMENT is made by and between Sio Gene Therapies Inc., a Delaware corporation (the “Company”), and (“Purchaser”). Witnesseth: WHEREAS, Purchaser holds a stock option dated (the “Option”) to purchase shares of common stock of the Company (“Common Stock”) pursuant to the Company’ |
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| November 13, 2020 |
siox8k12g3exhibit41 Exhibit 4.1 SG INCORPORATED UNDER THE CUSIP 829399 10 4 LAWS OF THE STATE SEE REVERSE FOR CERTAIN OF DELAWARE DEFINITIONS AND LEGENDS This certifies that BY: COUNTERSIGNED AND REGISTERED: AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC BOKY,N)TRANSFER AGENT (BROOKLYN, NY) is the record holder of FULLY PAID AND NONASSESSABLE SHARES OF COMMON STOCK, $0.00001 PAR VALUE PER SHARE, OF |
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| November 13, 2020 |
Form of Common Stock Certificate. exhibit41-formofstockcer Exhibit 4.1 SG INCORPORATED UNDER THE CUSIP 829399 10 4 LAWS OF THE STATE SEE REVERSE FOR CERTAIN OF DELAWARE DEFINITIONS AND LEGENDS This certifies that BY: COUNTERSIGNED AND REGISTERED: AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC BOKY,N)TRANSFER AGENT (BROOKLYN, NY) is the record holder of FULLY PAID AND NONASSESSABLE SHARES OF COMMON STOCK, $0.00001 PAR VALUE PER SHARE |
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| November 13, 2020 |
Description of the Material U.S. Federal Income Tax Consequences of the Domestication. Exhibit 99.1 MATERIAL U.S. FEDERAL INCOME TAX CONSEQUENCES OF THE DOMESTICATION This section describes the material U.S. federal income tax consequences of the Domestication to holders of our common shares (hereinafter “Shares”) and/or our warrants. It applies to you only if you hold our Shares or warrants as capital assets for U.S. federal income tax purposes (generally, property held for investm |
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| November 10, 2020 |
Exhibit 99.1 AXOVANT GENE THERAPIES ANNOUNCES NAME CHANGE TO SIO GENE THERAPIES –Rebranding to Sio Gene Therapies to reflect an independent company with a scientific strategy focused on disease-modifying and curative genetic medicines –Company’s common stock will trade on the NASDAQ under new ticker “SIOX” effective November 13, 2020 NEW YORK, NY, November 10, 2020 (GLOBE NEWSWIRE) - Axovant Gene |
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| November 10, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K 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 10, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commi |
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| November 10, 2020 |
As filed with the Securities and Exchange Commission on November 10, 2020 Registration No. |
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| November 10, 2020 |
November 10, 2020 Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE Washington, DC 20549 Attention: Tim Buchmiller Re: Axovant Gene Therapies Ltd. |
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| November 9, 2020 |
Exhibit 99.1 Axovant Gene Therapies Announces FDA Clearance of IND for AXO-AAV-GM2 Gene Therapy in Tay-Sachs and Sandhoff Diseases –AXO-AAV-GM2 is the first investigational gene therapy to receive IND clearance in Tay-Sachs and Sandhoff diseases –Represents Axovant’s second IND clearance for a gene therapy program in the last 12 months NEW YORK, NY, November 9, 2020 – Axovant Gene Therapies Ltd. ( |
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| November 9, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events - 8-K 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 9, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commis |
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| October 29, 2020 |
axgt8kex992102920 Exhibit 99.2 AXO-LENTI-PD PROGRAM UPDATE Gavin Corcoran, MD – Chief R&D Officer © 2020 Axovant Gene Therapies. All Rights Reserved. 1 Forward-Looking Statements This presentation contains forward-looking statements for the purposes of product candidates will ever receive regulatory approval or be successfully the safe harbor provisions under The Private Securities Litigation Refo |
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| October 29, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 29, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commis |
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| October 29, 2020 |
Exhibit 99.1 Axovant Gene Therapies to Present AXO-Lenti-PD Program Update During Virtual Parkinson’s Disease R&D Day on October 30, 2020 –Patient-level data in cohort 2 of SUNRISE-PD study demonstrates consistent, clinically meaningful outcomes and evidence of dose response –Delays in manufacturing process expected to postpone the start of enrollment in randomized, controlled study –Virtual R&D D |
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| October 13, 2020 |
Financial Statements and Exhibits, Other Events - 8-K 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 13, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commis |
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| October 13, 2020 |
Exhibit 99.1 Axovant Gene Therapies Receives Rare Pediatric Disease Designation for AXO-AAV-GM2 for Tay-Sachs and Sandhoff Disease NEW YORK, October 13, 2020 (GLOBE NEWSWIRE) - Axovant Gene Therapies Ltd. (NASDAQ: AXGT), a clinical-stage company developing innovative gene therapies for neurological diseases, today announced that it has received Rare Pediatric Disease Designation from the U.S. Food |
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| October 9, 2020 |
Financial Statements and Exhibits, Other Events - 8-K 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 9, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commiss |
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| October 9, 2020 |
Exhibit 99.1 Axovant Gene Therapies Receives Rare Pediatric Disease Designation for AXO-AAV-GM1 for GM1 Gangliosidosis –Company on-track to report data from ongoing Phase 1/2 clinical study in Q4 2020 NEW YORK, October 9, 2020 (GLOBE NEWSWIRE) - Axovant Gene Therapies Ltd. (NASDAQ: AXGT), a clinical-stage company developing innovative gene therapies for neurological diseases, today announced that |
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| October 8, 2020 |
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 5, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commiss |
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| October 6, 2020 |
Exhibit 99.2 RISK FACTORS Any investment in our securities involves a number of risks and uncertainties, including the risks described below. If any of the following risks actually occur, our business, financial condition and results of operations could be materially affected. As a result, the trading price of our shares could decline, perhaps significantly, and you could lose all or part of your |
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| October 6, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events - FORM 8-K 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 6, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commiss |
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| October 6, 2020 |
Exhibit 99.1 AXOVANT GENE THERAPIES ANNOUNCES POSITIVE SIX-MONTH FOLLOW-UP DATA FROM SECOND COHORT OF SUNRISE-PD PHASE 2 TRIAL OF AXO-LENTI-PD - AXO-Lenti-PD was well-tolerated with no treatment-related serious adverse events at 6 months - 21-point mean improvement in UPDRS Part III “OFF” score, a 40% improvement from baseline, exceeding pre- defined criteria for success - Greater than 2-hour impr |
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| October 2, 2020 |
Form of New Bylaws of Sio Gene Therapies Inc. BYLAWS OF SIO GENE THERAPIES INC. ARTICLE I OFFICES Section 1. Registered Office. The registered office of the corporation in the State of Delaware shall be as set forth in the Certificate of Incorporation of the corporation (the “Certificate of Incorporation”). Section 2. Other Offices. The corporation may also have and maintain an office or principal place of business at such place as may be fix |
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| October 2, 2020 |
Exhibit 3.1 CERTIFICATE OF INCORPORATION OF SIO GENE THERAPIES INC. I. The name of this corporation is Sio Gene Therapies Inc. (the “Corporation”). II. The address of the registered office of the Corporation in the State of Delaware is 251 Little Falls Drive, City of Wilmington, 19808, County of New Castle, and the name of the registered agent of the Corporation in the State of Delaware at such ad |
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| October 2, 2020 |
Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents Filed pursuant to Rule 424(b)(5) Registration Statement No. |
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| October 2, 2020 |
On October 2, 2020, we filed a Registration Statement on Form S-4 (File No. 333-249279) As filed with the Securities and Exchange Commission on October 2, 2020 Registration No. |
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| October 2, 2020 |
Financial Statements and Exhibits, Other Events - FORM 8-K 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 2, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commiss |
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| September 28, 2020 |
Submission of Matters to a Vote of Security Holders - 8-K 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 24, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Comm |
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| August 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý 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) |
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| August 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý 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)) ý Definitive |
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| August 12, 2020 |
axovantgenetherapiesltd VOTE BY INTERNET Before The Meeting - Go to www.proxyvote.com AXOVANT GENE THERAPIES LTD. Use the Internet to transmit your voting instructions and for electronic delivery of SUITE 1, 3RD FLOOR information up until 11:59 p.m. Eastern Time on September 23, 2020. Have your 11-12 ST. JAMES SQUARE proxy card in hand when you access the web site and follow the instructions to LO |
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| August 11, 2020 |
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, 2020 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 001-37418 Axovant Gen |
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| August 11, 2020 |
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 11, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commiss |
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| August 11, 2020 |
Exhibit 99.1 Axovant Announces Corporate Updates and Financial Results for First Fiscal Quarter Ended June 30, 2020 –Data readouts for AXO-Lenti-PD and AXO-AAV-GM1 remain on-track for Q4 2020 –Completed 3-year manufacturing and supply agreement with Oxford Biomedica for AXO-Lenti-PD –Company had $55.5 million of cash and cash equivalents as of June 30, 2020 NEW YORK, NY and BASEL, Switzerland, Aug |
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| August 11, 2020 |
As filed with the Securities and Exchange Commission on August 11, 2020 Registration No. |
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| June 11, 2020 |
Consent to Conyers Dill & Pearman Limited (included in Exhibit 5.3). Exhibit 5.3 CONYERS DILL & PEARMAN LIMITED Clarendon House, 2 Church Street Hamilton HM 11, Bermuda Mail: PO Box HM 666, Hamilton HM CX, Bermuda T +1 441 295 1422 conyers.com 11 June 2020 Matter No.:365849 Doc Ref: 17368951.1 +1 441 298 7861 [email protected] Axovant Gene Therapies Ltd. Clarendon House 2 Church Street Hamilton HM 11 Bermuda Dear Sirs, Axovant Gene Therapies Ltd. (the “C |
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| June 11, 2020 |
June 11, 2020 Via EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Paul Fischer Re: Axovant Gene Therapies Ltd. Registration Statement on Form S-3 File No. 333-235889 Acceleration Request Requested Date: Monday, June 15, 2020 Requested Time: 4:00 P.M. Eastern Standard Time Ladies and Gentlemen: In accordance with Rule 461 |
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| June 11, 2020 |
Exhibit 4.7 DESCRIPTION OF COMMON SHARES The following description of our share capital and provisions of our memorandum of association and amended and restated bye-laws is a summary and is qualified entirely by reference to the applicable provisions of our memorandum of association, amended and restated bye-laws and the Bermuda Companies Act 1981, as amended, or the Companies Act. Our memorandum |
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| June 11, 2020 |
Sales Agreement, dated as of June 11, 2020, by and between the Registrant and SVB Leerink LLC Exhibit 1.2 AXOVANT GENE THERAPIES LTD. COMMON SHARES SALES AGREEMENT June 11, 2020 SVB Leerink LLC One Federal Street, 37th Floor Boston, MA 02110 Ladies and Gentlemen: Axovant Gene Therapies Ltd. (the “Company”), confirms its agreement (this “Agreement”) with SVB Leerink LLC (“SVB Leerink”), as follows: 1. Issuance and Sale of Shares. The Company agrees that, from time to time during the term of |
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| June 11, 2020 |
Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents As filed with the U. |
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| June 10, 2020 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of Axovant Gene Therapies Ltd. Name of Subsidiary Jurisdiction of Incorporation or Organization Axovant Sciences, Inc. Delaware Axovant Holdings Limited England and Wales Axovant Sciences GmbH Switzerland Axovant Sciences America, Inc. Delaware Axovant Treasury Holdings, Inc. Delaware Axovant Treasury, Inc. Delaware Axovant Sciences Europe Ltd. Ireland 1 |
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| June 10, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 10, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commissio |
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| June 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2020 or o 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 001-37418 Axovant Gene Thera |
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| June 10, 2020 |
Axovant Announces Year-End Financial Results and Expected Key Clinical Milestones in Q4 2020 Exhibit 99.1 Axovant Announces Year-End Financial Results and Expected Key Clinical Milestones in Q4 2020 –Completed enrollment of cohort 2 of SUNRISE-PD Phase 2 study of AXO-Lenti-PD in Parkinson’s disease, with data from this cohort expected in Q4 2020 –Completed enrollment of low-dose cohort of Phase 1/2 clinical study of AXO-AAV-GM1 for GM1 gangliosidosis, with data from this cohort expected i |
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| April 29, 2020 |
Entry into a Material Definitive Agreement, 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 29, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commissi |
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| April 29, 2020 |
Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents Filed pursuant to Rule 424(b)(5) Registration Statement No. |
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| April 29, 2020 |
Exhibit 1.1 AXOVANT GENE THERAPIES LTD. COMMON SHARES SALES AGREEMENT April 29, 2020 SVB Leerink LLC One Federal Street, 37th Floor Boston, MA 02110 Ladies and Gentlemen: Axovant Gene Therapies Ltd. (the “Company”), confirms its agreement (this “Agreement”) with SVB Leerink LLC (“SVB Leerink”), as follows: 1. Issuance and Sale of Shares. The Company agrees that, from time to time during the term o |
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| April 24, 2020 |
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 23, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commissi |
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| April 20, 2020 |
Termination of a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 14, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commissi |
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| March 26, 2020 |
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, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commissi |
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| March 2, 2020 |
Use these links to rapidly review the document TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 28, 2020 |
AXON / Axovant Sciences Ltd. / Roivant Sciences Ltd. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 6)* Under the Securities Exchange Act of 1934 Axovant Gene Therapies Ltd. (Name of Issuer) Common Shares, $0.00001 par value (Title of Class of Securities) G0750W104 (CUSIP Number) Suite 1, 3rd Floor, 11-12 St. James’s Square, London SW1Y 4LB, United Kingdom +44 (117) 918-1293 With copies to: Derek |
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| February 25, 2020 |
AXON / Axovant Sciences Ltd. / SPHERA FUNDS MANAGEMENT LTD. - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 2)* Axovant Gene Therapies Ltd. (Name of Issuer) Common Stock, $0.00001 par value (Title of Class of Securities) G0750W203 (CUSIP Number) February 20, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed |
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| February 21, 2020 |
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): February 19, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commi |
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| February 21, 2020 |
14,031,336 Common Shares Pre-Funded Warrants to Purchase 3,301,998 Common Shares Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents Filed pursuant to Rule 424(b)(5) Registration Statement No. |
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| February 21, 2020 |
Exhibit 1.1 Execution Version 14,031,336 Common Shares Pre-Funded Warrants to Purchase 3,301,998 Common Shares Axovant Gene Therapies Ltd. UNDERWRITING AGREEMENT February 19, 2020 SVB Leerink LLC As Representative of the several Underwriters c/o SVB Leerink LLC One Federal Street, 37th Floor Boston, MA 02110 Ladies and Gentlemen: Introductory. Axovant Gene Therapies Ltd., a company incorporated an |
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| February 21, 2020 |
Form of Pre-funded Warrant to purchase Common Shares Exhibit 4.1 AXOVANT GENE THERAPIES LTD. FORM OF WARRANT TO PURCHASE COMMON SHARES Number of Shares: [ ] (subject to adjustment) Warrant No. CS - [ ] Original Issue Date: February 24, 2020 Axovant Gene Therapies Ltd., an exempted company incorporated and existing under the laws of Bermuda (the “Company”), hereby certifies that, for good and valuable consideration, the receipt and sufficiency of whi |
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| February 19, 2020 |
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 17, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction (Commission File Number) |
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| February 19, 2020 |
SUBJECT TO COMPLETION, DATED FEBRUARY 19, 2020 Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents Filed pursuant to Rule 424(b)(5) Registration Statement No. |
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| February 19, 2020 |
Our preliminary information statement on Schedule 14C filed with the SEC on February 19, 2020; and Use these links to rapidly review the document TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 13, 2020 |
AXON / Axovant Sciences Ltd. / Flynn James E Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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. |
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| February 11, 2020 |
AXON / Axovant Sciences Ltd. / SPHERA FUNDS MANAGEMENT LTD. - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 1)* Axovant Gene Therapies Ltd. (Name of Issuer) Common Stock, $0.00001 par value (Title of Class of Securities) G0750W104 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed |
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| February 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2019 or o 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 001-37418 Axovant |
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| February 10, 2020 |
Axovant Announces Financial Results for Third Fiscal Quarter and Nine Months Ended December 31, 2019 Exhibit 99.1 Axovant Announces Financial Results for Third Fiscal Quarter and Nine Months Ended December 31, 2019 NEW YORK, NY and BASEL, Switzerland, February 10, 2020 (GLOBE NEWSWIRE) - Axovant Gene Therapies Ltd. (NASDAQ: AXGT), a clinical-stage company developing innovative gene therapies, today provided financial results for its third fiscal quarter ended December 31, 2019. Fiscal Third Quart |
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| February 10, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a1231198-k.htm 8-K 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 10, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction |
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| January 13, 2020 |
Exhibit 99.2 Axovant Announces Positive 12-month Data on AXO-Lenti-PD and Provides Updates across Gene Therapy Pipeline Programs NEW YORK, NY and BASEL, Switzerland, January 13, 2020 (GLOBE NEWSWIRE) - Axovant Gene Therapies Ltd. (NASDAQ: AXGT), a clinical-stage company developing innovative gene therapies for neurological diseases, today announced recent progress in its gene therapy programs, inc |
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| January 13, 2020 |
exhibit991 Exhibit 99.1 Corporate Presentation January 2020 1 Diversified pipeline of gene therapies with CNS focus targeting neurodegeneration Gene therapies designed to tackle the specific biology underlying each disease Team with deep gene therapy expertise from research through commercialization Integrated development capabilities and fully secured manufacturing 2 Leadership team with decades |
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| January 13, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 13, 2020 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commis |
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| January 10, 2020 |
AXGT / Axovant Sciences Ltd. S-3 - - S-3 Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents As filed with the U. |
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| January 10, 2020 |
Form of Preference Share Warrant Agreement and Warrant Certificate EXHIBIT 4.4 AXOVANT GENE THERAPIES LTD. and , AS WARRANT AGENT FORM OF PREFERENCE SHARE WARRANT AGREEMENT DATED AS OF AXOVANT GENE THERAPIES LTD. FORM OF PREFERENCE SHARE WARRANT AGREEMENT PREFERENCE SHARE WARRANT AGREEMENT (this “Agreement”), dated as of between AXOVANT GENE THERAPIES LTD., a Bermuda Exempted Limited Company (the “Company”) and , a [corporation] [national banking association] org |
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| January 10, 2020 |
Form of Debt Securities Warrant Agreement and Warrant Certificate EXHIBIT 4.5 AXOVANT GENE THERAPIES LTD. and , AS WARRANT AGENT FORM OF DEBT SECURITIES WARRANT AGREEMENT DATED AS OF AXOVANT GENE THERAPIES LTD. FORM OF DEBT SECURITIES WARRANT AGREEMENT DEBT SECURITIES WARRANT AGREEMENT (this “Agreement”), dated as of between AXOVANT GENE THERAPIES LTD., a Bermuda Exempted Limited Company (the “Company”) and , a [corporation] [national banking association] organi |
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| January 10, 2020 |
Form of Debt Indenture between the Registrant and one or more trustees to be named. Exhibit 4.1 AXOVANT GENE THERAPIES LTD., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of Debt Securities TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Trustee’s Certificate 8 Section |
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| January 10, 2020 |
Form of Common Share Warrant Agreement and Warrant Certificate EXHIBIT 4.3 AXOVANT GENE THERAPIES LTD. and , AS WARRANT AGENT FORM OF COMMON SHARE WARRANT AGREEMENT DATED AS OF AXOVANT GENE THERAPIES LTD. FORM OF COMMON SHARE WARRANT AGREEMENT COMMON SHARE WARRANT AGREEMENT (this “Agreement”), dated as of between AXOVANT GENE THERAPIES LTD., a Bermuda Exempted Limited Company (the “Company”) and , a [corporation] [national banking association] organized and e |
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| December 31, 2019 |
AXON / Axovant Sciences Ltd. / Roivant Sciences Ltd. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 5)* (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 240.13d-2(a) Under the Securities Exchange Act of 1934 Axovant Gene Therapies Ltd. (Name of Issuer) Common Shares, $0.00001 par value per share (Title of Class of Sec |
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| December 31, 2019 |
Exhibit 7.07 EXECUTION VERSION RIGHT OF FIRST REFUSAL AND NOTICE AGREEMENT This RIGHT OF FIRST REFUSAL AND NOTICE AGREEMENT (the “ROFR Agreement”), dated as of December 27, 2019, is made and entered into by and among Sumitomo Dainippon Pharma Co., Ltd., a company organized under the laws of Japan (“Sumitomo”), and Roivant Sciences Ltd., a Bermuda exempted company limited by shares (“Roivant”). Cap |
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| December 3, 2019 |
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 27, 2019 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commi |
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| December 3, 2019 |
Exhibit 10.1 THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT (this "Amendment"), dated as of November 27, 2019 (the "Amendment Signing Date"), is entered into by and among Axovant Gene Therapies Ltd. (f/k/a Axovant Sciences Ltd.), an exempted company organized under the laws of Bermuda ("Parent"), Axovant Holdings Limited, a private limited compan |
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| December 3, 2019 |
Axovant Announces Amendment to Credit Facility with Hercules Capital Exhibit 99.1 Axovant Announces Amendment to Credit Facility with Hercules Capital • New loan amendment reduces loan obligation by 50% without penalty, eliminates minimum cash covenant, and extends interest-only period for 9 months • Debt service burden reduced by approximately $2.0 million per month during interest-only period NEW YORK, NY and BASEL, Switzerland, December 3, 2019 (GLOBE NEWSWIRE) |
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| November 8, 2019 |
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 4, 2019 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commis |
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| November 8, 2019 |
Exhibit 10.3 AXOVANT SCIENCES, INC. EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is entered into as of November 4, 2019, by and between Gavin Corcoran (the “Executive”) and Axovant Sciences, Inc. (the “Company”). RECITALS A. The Company desires the association and services of Executive and Executive’s skills, abilities, background and knowledge, and is willing to engage Executi |
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| November 8, 2019 |
Employment Agreement, dated November 4, 2019, by and between David Nassif and Axovant Sciences, Inc. Exhibit 10.2 AXOVANT SCIENCES, INC. EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is entered into as of November 4, 2019, by and between David Nassif (the “Executive”) and Axovant Sciences, Inc. (the “Company”). RECITALS A. The Company desires the association and services of Executive and Executive’s skills, abilities, background and knowledge, and is willing to engage Executive |
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| November 8, 2019 |
Exhibit 10.1 AXOVANT SCIENCES, INC. EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is entered into as of November 4, 2019, by and between Pavan Cheruvu (the “Executive”) and Axovant Sciences, Inc. (the “Company”). RECITALS A. The Company desires the association and services of Executive and Executive’s skills, abilities, background and knowledge, and is willing to engage Executiv |
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| November 8, 2019 |
Exhibit 99.1 Axovant Announces Corporate Updates and Financial Results for Second Fiscal Quarter Ended September 30, 2019 • First evidence of clinical stabilization in two children with Tay-Sachs disease that received AXO-AAV-GM2 presented at ESGCT in October 2019 • Continued enrollment of patients in AXO-AAV-GM1 registrational study, with 6-month data from Part A of the registrational study expec |
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| November 8, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2019 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commis |
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| November 8, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 or o 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 001-37418 Axovan |
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| October 23, 2019 |
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 23, 2019 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commis |
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| October 23, 2019 |
Exhibit 99.1 Axovant Presents First Evidence of Clinical Stabilization in Tay-Sachs Disease at the European Society of Gene and Cell Therapy 27th Annual Congress • Initial data with AXO-AAV-GM2 suggests stabilization of disease course, attainment of normal developmental milestones, and improvement in myelination on brain MRI • AXO-AAV-GM2 generally safe and well-tolerated to date • Additional data |
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| September 24, 2019 |
Exhibit 10.1 AXOVANT GENE THERAPIES LTD. RESTRICTED STOCK UNIT GRANT NOTICE (2015 EQUITY INCENTIVE PLAN) Axovant Gene Therapies Ltd. (the “Company”), pursuant to its 2015 Equity Incentive Plan (the “Plan”), hereby awards to Participant a Restricted Stock Unit Award for the number of shares of the Company’s Common Stock (“Restricted Stock Units” or “RSUs”) set forth below (the “Award”). The Award i |
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| September 24, 2019 |
8-K 1 axovant0924198k.htm 8-K 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 21, 2019 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisd |
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| September 6, 2019 |
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 6, 2019 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commi |
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| September 6, 2019 |
MEMORANDUM OF UNDERSTANDING FOR STRATEGIC ALLIANCE Exhibit 7.06 MEMORANDUM OF UNDERSTANDING FOR STRATEGIC ALLIANCE This non-binding memorandum of understanding (“MoU”), dated September 6, 2019, is entered into between Sumitomo Dainippon Pharma Co., Ltd. (“Sumitomo”) and Roivant Sciences Ltd. (“Roivant” and, together with Sumitomo, each a “Party” and together the “Parties”) to summarize certain material terms for the preparation of one or more defi |
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| September 6, 2019 |
AXON / Axovant Sciences Ltd. / Roivant Sciences Ltd. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 4)* (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 240.13d-2(a) Under the Securities Exchange Act of 1934 Axovant Gene Therapies Ltd. (Name of Issuer) Common Shares, $0.00001 par value per share (Title of Class of Sec |
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| August 16, 2019 |
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): August 16, 2019 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commiss |
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| August 9, 2019 |
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 9, 2019 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commissi |
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| August 9, 2019 |
Exhibit 99.1 Axovant Announces Corporate Updates and Financial Results for First Fiscal Quarter Ended June 30, 2019 • SUNRISE-PD Phase 2 trial of AXO-LENTI-PD for Parkinson's disease continues to enroll patients in second dose cohort with data expected in the fourth quarter of calendar 2019 • Data from patients dosed with AXO-AAV-GM1 and AXO-AAV-GM2 expected in fourth quarter of calendar 2019 • Ne |
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| August 9, 2019 |
Exhibit 10.1 June 28, 2019 Gregory Weinhoff 5 Maple Way Armonk, NY 10504 RE: Separation Agreement, Consulting Arrangement and General Release Dear Greg, You have resigned your employment with Axovant Sciences, Inc. effective June 30, 2019 (the "Termination Date"). This Separation Agreement, Consulting Agreement and General Release (this "Agreement") sets forth the terms and conditions under which |
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| August 9, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 or o 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 001-37418 Axovant Gen |
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| August 9, 2019 |
Exhibit 10.2 July 29, 2019 Mathew Bazley RE: Separation Agreement and General Release Dear Mat, You have resigned your employment with Axovant Sciences, Inc. effective September 1, 2019 (the "Termination Date"). This Separation Agreement and General Release (this "Agreement") sets forth the terms and conditions under which Axovant Sciences, Inc. is offering you additional consideration in exchange |
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| July 29, 2019 |
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, 2019 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commissio |
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| July 17, 2019 |
AXON / Axovant Sciences Ltd. / Lo Andrew - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* Axovant Gene Therapies Ltd. (Name of Issuer) Common Shares, $0.00001 par value per share (Title of Class of Securities) G0750W203 (CUSIP Number) Dr. Andrew Lo c/o Roivant Sciences Ltd. Suite 1, 3rd Floor, 11-12 St. James’s Square, London SW1Y 4LB, Unit |
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| July 16, 2019 |
definitive proxy statement on Schedule 14A, filed with the SEC on July 16, 2019 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý 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)) ý Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Pursuant to § 240. |
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| July 16, 2019 |
proxycard VOTE BY INTERNET - www.proxyvote.com Use the Internet to transmit your voting instructions and for electronic delivery of information up until 11:59 p.m. Eastern Time on August 15, 2019. Have your AXOVANT GENE THERAPIES LTD. proxy card in hand when you access the web site and follow the instructions to obtain your records and to create an electronic voting instruction form. SUITE 1, 3RD |
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| July 16, 2019 |
AXON / Axovant Sciences Ltd. / Roivant Sciences Ltd. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 3)* (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 240.13d-2(a) Under the Securities Exchange Act of 1934 Axovant Gene Therapies Ltd. (Name of Issuer) Common Shares, $0.00001 par value per share (Title of Class of Sec |
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| July 16, 2019 |
AXON / Axovant Sciences Ltd. / Machado Patrick - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 4)* Under the Securities Exchange Act of 1934 Axovant Gene Therapies Ltd. (Name of Issuer) Common Shares, $0.00001 par value per share (Title of Class of Securities) G0750W104 (CUSIP Number) Patrick Machado c/o Roivant Sciences Ltd. Suite 1, 3rd Floor, 11-12 St. James’s Square, London SW1Y 4LB, Un |
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| July 12, 2019 |
Amendment No. 4 to Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 4) Under the Securities Exchange Act of 1934 Axovant Gene Therapies Ltd. (Name of Issuer) Common Shares, $0.00001 par value (Title of Class of Securities) G0750W203 (CUSIP Number) Eleazer Klein, Esq. Schulte Roth & Zabel LLP 919 Third Avenue, New York, NY 10022 (212) |
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| July 12, 2019 |
AXON / Axovant Sciences Ltd. / Svf Investments (uk) Ltd - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. |
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| July 12, 2019 |
AXON / Axovant Sciences Ltd. / Viking Global Investors LP Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 AMENDMENT NO. 7* Axovant Sciences Ltd. (Name of Issuer) Common Shares, $0.00001 par value per share (Title of Class of Securities) G0750W104 (CUSIP Number) Andrew Genser General Counsel 55 Railroad Avenue Greenwich, Connecticut 06830 203-863-7050 (Name, Address and Telepho |
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| July 12, 2019 |
AXON / Axovant Sciences Ltd. / Dexxon Holdings Ltd. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. |
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| July 1, 2019 |
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 27, 2019 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commissio |
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| June 11, 2019 |
Exhibit 99.1 Axovant Announces Financial Results and Corporate Updates for Fourth Quarter and Fiscal Year Ended March 31, 2019 – Established diversified pipeline of three clinical-stage gene therapy programs for serious neurological disorders including Parkinson’s disease, GM1 gangliosidosis, and Tay-Sachs – SUNRISE-PD Phase 2 trial of AXO-Lenti-PD for Parkinson's disease continues to enroll patie |
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| June 11, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2019 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commissio |
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| June 11, 2019 |
Exhibit 10.22 AMENDED AND RESTATED SERVICES AGREEMENT This Amended and Restated Services Agreement (the “Agreement”) is entered into effective as of June 10, 2019, by and among Roivant Sciences GmbH, a company with limited liability organized under the laws of the country of Switzerland (“Service Provider”) and Axovant Sciences GmbH, a company with limited liability organized under the laws of the |
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| June 11, 2019 |
Exhibit 10.20 Revised February 15, 2019 February 12, 2019 Mark Altmeyer 660 Petty Brook Road Princeton, NJ 08540 RE: Agreement and General Release Dear Mark, You have resigned your employment with Axovant Sciences, Inc. effective February 15, 2019 (the “Termination Date”). This Agreement and General Release (this “Agreement”) sets forth the terms and conditions under which Axovant Sciences, Inc. i |
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| June 11, 2019 |
Exhibit 10.21 AMENDED AND RESTATED SERVICES AGREEMENT This Amended and Restated Services Agreement (the “Agreement”) is entered into effective as of June 10, 2019, by and among Roivant Sciences, Inc., a corporation organized under the laws of the State of Delaware (the “Service Provider”), Axovant Sciences GmbH, a company with limited liability organized under the laws of Switzerland (“ASG”), Axov |
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| June 11, 2019 |
Subsidiaries of the Registrant. Exhibit 21.1 Subsidiaries of Axovant Gene Therapies Ltd. Name of Subsidiary Jurisdiction of Incorporation or Organization Axovant Sciences, Inc. Delaware Axovant Holdings Ltd. England and Wales Axovant Sciences GmbH Switzerland Axovant Sciences America, Inc. Delaware Axovant Treasury Holdings, Inc. Delaware Axovant Treasury, Inc. Delaware Axovant Sciences Europe Ltd. Ireland 1 |
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| June 11, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2019 or o 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 001-37418 Axovant Gene Thera |
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| June 6, 2019 |
Termination of a Material Definitive Agreement 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 5, 2019 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commission |
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| April 18, 2019 |
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 13, 2019 Axovant Gene Therapies Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commissi |
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| April 15, 2019 |
AXGT / Axovant Sciences Ltd. DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: o Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c‑5(d)(2)) x Definitive Information Statement AXOVANT GENE THERAPIES |
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| April 5, 2019 |
AXGT / Axovant Sciences Ltd. PRE 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: x Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c‑5(d)(2)) o Definitive Information Statement AXOVANT GENE THERAPIES |
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| March 21, 2019 |
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 16, 2019 Axovant Sciences Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commission Fil |
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| March 19, 2019 |
AXON / Axovant Sciences Ltd. / Machado Patrick - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 3)* (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 240.13d-2(a) Under the Securities Exchange Act of 1934 Axovant Sciences Ltd. (Name of Issuer) Common Shares, $0.00001 par value per share (Title of Class of Securitie |
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| March 19, 2019 |
Amendment No. 3 to Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 3) Under the Securities Exchange Act of 1934 Axovant Sciences Ltd. (Name of Issuer) Common Shares, $0.00001 par value (Title of Class of Securities) G0750W104 (CUSIP Number) Eleazer Klein, Esq. Schulte Roth & Zabel LLP 919 Third Avenue, New York, NY 10022 (212) 756-20 |
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| March 19, 2019 |
AXON / Axovant Sciences Ltd. / Dexxon Holdings Ltd. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. |
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| March 19, 2019 |
AXON / Axovant Sciences Ltd. / Lo Andrew - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D (Amendment No. |
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| March 19, 2019 |
AXON / Axovant Sciences Ltd. / Svf Investments (uk) Ltd - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. |
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| March 19, 2019 |
AXON / Axovant Sciences Ltd. / Viking Global Investors LP Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 AMENDMENT NO. 6* Axovant Sciences Ltd. (Name of Issuer) Common Shares, $0.00001 par value per share (Title of Class of Securities) G0750W104 (CUSIP Number) Andrew Genser General Counsel 55 Railroad Avenue Greenwich, Connecticut 06830 203-863-7050 (Name, Address and Telepho |
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| March 19, 2019 |
AXON / Axovant Sciences Ltd. / Roivant Sciences Ltd. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 2)* (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 240.13d-2(a) Under the Securities Exchange Act of 1934 Axovant Sciences Ltd. (Name of Issuer) Common Shares, $0.00001 par value per share (Title of Class of Securitie |
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| March 14, 2019 |
Underwriting Agreement, dated March 13, 2019. Exhibit 1.1 26,666,667 Common Shares Axovant Sciences Ltd. UNDERWRITING AGREEMENT March 13, 2019 JEFFERIES LLC GUGGENHEIM SECURITIES, LLC As Representatives of the several Underwriters c/o Jefferies LLC 520 Madison Avenue New York, New York 10022 Guggenheim Securities, LLC 330 Madison Avenue New York, New York 10017 Ladies and Gentlemen: Introductory. Axovant Sciences Ltd., a company incorporated |
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| March 14, 2019 |
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 13, 2019 Axovant Sciences Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commission Fil |
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| March 14, 2019 |
26,666,667 Shares Common Shares Table of Contents Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-215387 PROSPECTUS SUPPLEMENT (to Prospectus dated January 13, 2017) 26,666,667 Shares Common Shares We are offering 26,666,667 common shares. Our common shares are traded on The Nasdaq Global Select Market under the symbol "AXGT." On March 13, 2019, the last reported sale price of our common shares on The Nasdaq Glob |
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| March 13, 2019 |
Table of Contents Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-215387 The information contained in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an |
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| March 4, 2019 |
AXON / Axovant Sciences Ltd. DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: o Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c‑5(d)(2)) x Definitive Information Statement AXOVANT SCIENCES LTD. ( |
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| February 21, 2019 |
AXON / Axovant Sciences Ltd. PRE 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: x Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c‑5(d)(2)) o Definitive Information Statement AXOVANT SCIENCES LTD. ( |
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| February 20, 2019 |
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 13, 2019 Axovant Sciences Ltd. (Exact name of registrant as specified in its charter) Bermuda 001-37418 98-1333697 (State or other jurisdiction of incorporation) (Commission |
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| February 12, 2019 |
AXON / Axovant Sciences Ltd. / Flynn James E Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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. |
