美國
證券交易委員會
華盛頓,特區。20549
表格8-K
當前報告
根據1934年證券交易法的第13或第15(d)條
1934年證券交易法的
報告日期(最早事件日期):May 24, 20242024年1月4日
永遠 準備好併購公司
(公司章程中指定的準確公司名稱)
開曼群島 | 001-41002 | 無數據 | ||
(成立州或其他管轄區) 成立地點 |
(委員會 文件編號) |
(國
稅
號) 識別號碼。 |
767 第三大道,38樓
紐約,紐約10017
(總部地址) (郵政編碼)
(646) 807-8832
(報告人的電話號碼,包括區號)
如果本表8-K的提交同時滿足申報人根據下列規定的任何一個申報義務,請在下面適當的方框中打「X」:
☒ | 根據《證券法》第425條規定的書面通信(17 CFR 230.425) |
☐ | 根據《交易所法》第14a-12條規定的招股材料(17 CFR 240.14a-12) |
☐ | 交易所法規14d-2(b)條款(17 CFR 240.14d-2(b))項下的發起前通訊 |
☐ | 交易所法規13e-4(c)條款(17 CFR 240.13e-4(c))項下的發起前通訊 |
根據法案第12(b)節註冊的證券:
A類無面值普通投票股 | 交易符號 | 每個交易所的名稱 註冊的 | ||
單位,每個單位包括一個A類普通股,每股面值0.0001美元,和半個可贖回權證 | LGSTU | 納斯達克交易所 | ||
作爲單位一部分包括的每股面值爲$0.0001的A類普通股 | LGST | 納斯達克交易所 | ||
可贖回權證,每張可行使價格爲11.50美元的A類普通股,納入單位的一部分 | LGSTW | 納斯達克交易所 |
在勾選標記旁邊註明發行人是否是根據1933年證券法規則405條(本章節的§230.405)或1934年證券交易法規則12億.2條(本章節§2401.2億.2)定義的新興成長公司
新興成長型公司 ☒
如果是新興成長型企業,請打勾,以表明註冊人已選擇不使用遵守《證券交易法》第13(a)條所規定的任何新的或修訂後的財務會計準則的延長過渡期。 ☐
項目7.01適用法規FD披露。
註冊聲明的效力。
根據先前披露,2023年6月28日,Semper Paratus Acquisition Corporation,一家開曼群島豁免公司(「Semper Paratus」),與Semper Paratus、Semper Merger Sub, Inc.(一家德拉華州公司,也是Semper Paratus的全資子公司)(「Merger Sub」),SSVk Associates, LLC,Semper Paratus的發起人,作爲購買方代表,Tevogen Bio Inc,一家德拉華州公司(「Tevogen Bio」),以及Ryan Saadi,作爲賣方代表,簽署了一份《合併協議和計劃書》,根據該協議,各方將對Merger Sub與Tevogen Bio進行合併,Tevogen Bio將繼續作爲存續實體(合併及合併協議規定的其他交易,統稱爲「交易」)。2024年1月5日,Semper Paratus和Tevogen Bio發佈了一份聯合新聞稿,宣佈SEC已於2024年1月4日生效連接到交易的Form S-4表格註冊聲明。請見隨附的新聞稿附件99.1,據此參照並納入本第7.01項。
根據SEC的規定,此處附註的第7.01條和附件99.1中的信息是根據證券交易法案修訂案的規定提供的,不應被視爲提交給1934年證券交易法案第18條的目的,「交易所法」),或以其他方式受該條款的責任,也不應被視爲在任何根據經修訂的1933年證券法案(「證券法案」)或交易法案的備案中的參考,除非在此類備案中通過具體參考明確說明。
前瞻性聲明
本表格8-k的當前報告包含一些並非歷史事實的聲明,屬於聯邦證券法中關於Semper Paratus與Tevogen Bio之間交易的前瞻性聲明,包括但不限於有關交易預期收益、交易預期時間、隱含的企業價值、Tevogen Bio未來財務狀況和績效以及交易結束後合併公司的預期財務影響、交易的結束條件是否滿足、Semper Paratus的公共股東贖回水平以及Tevogen Bio的產品候選者、產品、市場和預期未來績效與市場機遇等方面的聲明。這些前瞻性聲明通常通過「相信」、「計劃」、「期待」、「預計」、「估計」、「打算」、「認爲」、「策略」、「未來」、「機遇」、「潛力」、「計劃」、「尋求」、「可能」、「應該」、「將」、「將會」、「將繼續」、「可能會導致」等詞語來識別,但缺少這些詞語並不意味着一則聲明並非前瞻性。前瞻性聲明是預測、投影和其他關於基於當前期望和假設的未來事件的聲明,因此會觸及風險和不確定性。
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這些前瞻性陳述僅供說明目的,不應視爲擔保、保證、預測或明確陳述,並且不得作爲事實或概率的依賴。實際事件和情況難以預測或無法預測,並且將與假設有所不同。許多因素可能導致未來實際事件與此通訊中的前瞻性陳述大不相同,包括但不限於:(i)存在Semper Paratus業務組合截止期限內或在任何時間未完成交易的風險,這可能對Semper Paratus證券的價格產生不利影響;(ii)未能滿足交易完成的條件,包括Semper Paratus股東批准並同意併購協議,滿足收盤時的最低現金要求,包括因Semper Paratus股東提前贖回而導致的;以及獲得某些政府、監管機構和第三方批准;(iii)可能導致解除併購協議的任何事件、變化或其他情況;(iv)贖回超過預期水平或未能滿足交易完成時的紐交所首次上市標準;(v)交易宣佈或正在進行的影響,可能對Tevogen Bio的業務關係、運營結果和業務普遍產生影響;(vi)交易風險干擾Tevogen Bio目前的計劃和運營;(vii)對Tevogen Bio或Semper Paratus提出的與併購協議或交易有關的任何法律訴訟的結果;(viii)市場發生變化:Tevogen Bio在競爭環境、技術演進或監管變化方面與之相關;(ix)國內和全球經濟狀況的變化;(x)Tevogen Bio可能無法執行其增長戰略或在管理增長和擴大業務方面遇到困難;(xi)與COVID-19大流行及應對措施相關的風險,包括供應鏈中斷;(xii)Tevogen Bio可能無法制定和維護有效的內部控制的風險;(xiii)與交易有關的成本和未能實現交易預期收益或實現估計的約定情況和基礎假設,包括估計股東贖回事宜;(xiv)未能認識到交易預期的好處和實現Tevogen Bio的商業化和發展計劃,並確定和實現額外機會,這可能受到競爭、Tevogen Bio增長和經濟運營及僱傭和留住關鍵員工能力的影響等等;(xv)Tevogen Bio可能無法與快速技術發展同步以提供新產品和服務或在不成功的新產品和服務上進行大筆投資的風險;(xvi)與開發、許可或收購新治療藥物相關的風險;(xvii)Tevogen Bio需要籌集額外資本來執行其業務計劃的風險,這些資本可能無法按可接受條件或根本不可用;(xviii)與Tevogen Bio業務相關的產品責任或監管訴訟及訴訟;(xix)執行、成本和完成臨床前研究和臨床試驗中的不確定性固有風險;(xx)與監管審查、批准和商業開發有關的風險;(xxi)與知識產權保護有關的風險;(xxii)Tevogen Bio有限的運營歷史;(xxiii)在美國證券交易委員會文件中討論的因素以及有關交易的初步代理聲明/交易說明中包含的因素。
The foregoing list of factors is not exhaustive. You should carefully consider the foregoing factors and the other risks and uncertainties that are or will be described in the “Risk Factors” section of the preliminary proxy statement/prospectus and the amendments thereto, the definitive proxy statement/prospectus, and other documents to be filed by Semper Paratus from time to time with the SEC. These filings identify and address other important risks and uncertainties that could cause actual events and results to differ materially from those contained in the forward-looking statements. Forward-looking statements speak only as of the date they are made. Readers are cautioned not to put undue reliance on forward-looking statements, and while Tevogen Bio and Semper Paratus may elect to update these forward-looking statements at some point in the future, they assume no obligation to update or revise these forward-looking statements, whether as a result of new information, future events or otherwise, except as required by applicable law. Neither of Tevogen Bio or Semper Paratus gives any assurance that Tevogen Bio or Semper Paratus, or the combined company, will achieve its expectations. These forward-looking statements should not be relied upon as representing Semper Paratus’ or Tevogen Bio’s assessments as of any date subsequent to the date of this Current Report.
Additional Information and Where to Find It
In connection with the Merger Agreement and the Transaction, Semper Paratus has filed relevant materials with the SEC, including a registration statement on Form S-4 (the “Form S-4”), which includes a preliminary proxy statement/prospectus of Semper Paratus, and will file other documents regarding the Transaction with the SEC. This communication is not intended to be, and is not, a substitute for the proxy statement/prospectus or any other document that Semper Paratus has filed or may file with the SEC in connection with the Transaction. Semper Paratus shareholders and other interested persons are advised to read the Form S-4, the preliminary proxy statement/prospectus and the amendments thereto, the definitive proxy statement/prospectus, when it becomes available, and documents incorporated by reference therein filed in connection with the proposed Transaction, as these materials contain or will contain important information about Semper Paratus, Tevogen Bio, the merger agreement, and the proposed Transaction. When available, the definitive proxy statement and other relevant materials for the Transaction will be mailed to shareholders of Semper Paratus as of a record date to be established for voting on the Transaction. Before making any voting or investment decision, investors and shareholders of Semper Paratus are urged to carefully read, when they become available, the entire registration statement, the proxy statement/prospectus, and any other relevant documents filed with the SEC, as well as any amendments or supplements to these documents, and the documents incorporated by reference therein, because they will contain important information about Semper Paratus, Tevogen Bio, and the Transaction. Semper Paratus’ investors and shareholders and other interested persons will also be able to obtain copies of the registration statement, the preliminary proxy statement/prospectus, the definitive proxy statement/prospectus, other documents filed with the SEC that will be incorporated by reference therein, once available, at the SEC’s website at www.sec.gov, or by directing a request to: Semper Paratus Acquisition Corporation, 767 Third Avenue, 38th Floor, New York, NY 10017, Attention: Mr. Suren Ajjarapu.
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Participants in the Solicitation
Semper Paratus, Tevogen Bio, and their respective directors, executive officers, other members of management and employees may be deemed participants in the solicitation of proxies from Semper Paratus’ shareholders with respect to the Transaction. Investors and security holders may obtain more detailed information regarding the names and interests in the Transaction of Semper Paratus’ directors and officers in Semper Paratus’ filings with the SEC, including the Form S-4, the preliminary proxy statement/prospectus, when filed with the SEC, the definitive proxy statement/prospectus, amendments and supplements thereto, and other documents filed with the SEC.
No Offer or Solicitation
This Current Report on Form 8-K is not a solicitation of a proxy, consent, or authorization with respect to any securities or in respect of the Transaction and will not constitute an offer to sell or the solicitation of an offer to buy any securities, nor will there be any sale of securities in any states or jurisdictions in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such jurisdiction. No offer of securities shall be made except by means of a prospectus meeting the requirements of the Securities Act of 1933, as amended.
Item 9.01. Financial Statements and Exhibits.
The following exhibits are being filed herewith:
Exhibit No. | Description | |
99.1 | Press Release, dated January 5, 2024 | |
104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Company has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
SEMPER PARATUS ACQUISITION CORP. | ||
Date: January 5, 2024 | By: | /s/ Surendra Ajjarapu |
Name: | Surendra Ajjarapu | |
Title: | Chief Executive Officer |
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