| | |
每股
|
| |
總最小值
供品 |
| |
總最大值
供品 |
| |||||||||
公開發行價格
|
| | | $ | 7.50 | | | | | $ | 40,000,000 | | | | | $ | 70,000,000 | | |
承銷佣金(1)(2)
|
| | | $ | 0.36 | | | | | $ | 1,920,000 | | | | | $ | 3,360,000 | | |
在支出前,我們得到的收益(3)
|
| | | $ | 7.14 | | | | | $ | 38,080,000 | | | | | $ | 66,640,000 | | |
|
MDB資本集團
|
| |
Feltl公司
|
|
| | |
頁
|
| |||
招股章程摘要
|
| | | | 1 | | |
祭品
|
| | | | 11 | | |
選定財務信息摘要
|
| | | | 14 | | |
關於前瞻性聲明和本招股説明書所載其他信息的特別説明
|
| | | | 15 | | |
危險因素
|
| | | | 16 | | |
收益的使用
|
| | | | 40 | | |
資本化
|
| | | | 41 | | |
稀釋
|
| | | | 42 | | |
商業
|
| | | | 43 | | |
管理層對財務狀況及經營成果的探討與分析
|
| | | | 66 | | |
董事、執行主任及公司管治
|
| | | | 81 | | |
行政薪酬
|
| | | | 85 | | |
股本説明
|
| | | | 89 | | |
某些受益所有人的擔保所有權和管理
|
| | | | 94 | | |
某些關係和相關交易,以及董事獨立性
|
| | | | 96 | | |
符合未來銷售的股票
|
| | | | 98 | | |
承保(利益衝突)
|
| | | | 100 | | |
法律事項
|
| | | | 104 | | |
專家們
|
| | | | 104 | | |
在那裏你可以找到更多的信息
|
| | | | 104 | | |
披露證監會對證券ACT賠償責任的立場
|
| | | | 104 | | |
| | |
年終
十二月三十一日, |
| |
九個月結束
九月三十日 |
| ||||||||||||||||||
| | |
2016
|
| |
2015
|
| |
2017
|
| |
2016
|
| ||||||||||||
| | | | | | | | | | | | | | |
(未經審計)
|
| |
(未經審計)
|
| ||||||
收入
|
| | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
業務費用: | | | | | | ||||||||||||||||||||
一般和行政
|
| | | | 1,970,488 | | | | | | 425,081 | | | | | | 2,914,452 | | | | | | 1,193,527 | | |
研發
|
| | | | 5,687,847 | | | | | | 1,503,649 | | | | | | 9,880,529 | | | | | | 3,622,409 | | |
業務費用共計
|
| | | | 7,658,335 | | | | | | 1,928,730 | | | | | | 12,794,981 | | | | | | 4,815,936 | | |
業務損失
|
| | | | (7,658,335) | | | | | | (1,928,730) | | | | | | (12,794,981) | | | | | | (4,815,936) | | |
利息收入
|
| | | | 52 | | | | | | — | | | | | | — | | | | | | 52 | | |
淨損失
|
| | | $ | (7,658,283) | | | | | $ | (1,928,730) | | | | | $ | (12,794,981) | | | | | $ | (4,815,884) | | |
普通股淨虧損-基本損失和稀釋損失
|
| | | $ | (1.03) | | | | | $ | (0.34) | | | | | $ | (1.20) | | | | | $ | (0.65) | | |
加權平均普通股已發行-
鹼性稀釋 |
| | | | 7,433,433 | | | | | | 5,658,282 | | | | | | 10,635,684 | | | | | | 7,352,704 | | |
|
| | |
十二月三十一日,
|
| |
九月三十日
2017 |
| ||||||||||||
| | |
2016
|
| |
2015
|
| ||||||||||||
| | | | | | | | | | | | | | |
(未經審計)
|
| |||
現金
|
| | | $ | 14,925,820 | | | | | $ | 6,405,207 | | | | | $ | 3,400,481 | | |
存單
|
| | | | 50,033 | | | | | | 50,000 | | | | | | 50,033 | | |
營運資本
|
| | | | 14,070,638 | | | | | | 6,164,449 | | | | | | 2,215,871 | | |
總資產
|
| | | | 16,278,617 | | | | | | 7,314,626 | | | | | | 6,295.430 | | |
股東權益總額
|
| | | | 15,174,640 | | | | | | 6,938,331 | | | | | | 4,380,690 | | |
| | |
截至2017年月30
|
| |||||||||||||||
| | |
實際
|
| |
親Forma
(最低) |
| |
親Forma
(最高) |
| |||||||||
| | |
(未經審計)
|
| |
(未經審計)
|
| |
(未經審計)
|
| |||||||||
現金
|
| | | $ | 3,400,481 | | | | | $ | 40,319,615 | | | | | $ | 68,744,608 | | |
債務總額
|
| | | $ | — | | | | | $ | — | | | | | $ | — | | |
股東權益: | | | | | |||||||||||||||
優先股,票面價值0.001美元;授權股票10,000,000股;未發行或發行的股票,實際發行或發行的股份;未發行或流通股;未發行或流通股;
|
| | | | — | | | | | | — | | | | | | — | | |
普通股,面值0.001美元;
10 635 684股已發行和實際流通;50 000 000股 正式發行和流通的核定股份和16 640 590股 (最低)和50,000,000股和20,640,589股 已發行和未付的形式(最多) |
| | | | 10,636 | | | | | | 16,641 | | | | | | 20,640 | | |
額外已付資本
|
| | | | 26,752,048 | | | | | | 68,657,838 | | | | | | 97,078,832 | | |
累積赤字
|
| | | | (22,381,994) | | | | | | (27,418,784) | | | | | | (27,418,784) | | |
股東權益總額
|
| | | | 4,380,690 | | | | | | 41,255,695 | | | | | | 69,680,688 | | |
總資本化
|
| | | $ | 4,380,690 | | | | | $ | 41,255,695 | | | | | $ | 69,680,688 | | |
| | |
最低限度
|
| |
最大
|
| ||||||
公開發行價格
|
| | | $ | 7.50 | | | | | $ | 7.50 | | |
截至#date0#9月30日每股有形帳面淨值
|
| | | | 0.40 | | | | | | 0.40 | | |
可歸因於發行給愛因斯坦的股票的減少
|
| | | | (0.03) | | | | | | (0.03) | | |
出售前的有形帳面淨值
|
| | | | 0.37 | | | | | | 0.37 | | |
可歸因於此次發行的每股增加額
|
| | | | 2.10 | | | | | | 3.00 | | |
此次發行後每股的實際賬面價值
|
| | | | 2.47 | | | | | | 3.37 | | |
在本次發行中向新投資者稀釋每股股份
|
| | | $ | 5.03 | | | | | $ | 4.13 | | |
|
| | |
終結年數
十二月三十一日, |
| |||||||||
| | |
2016
|
| |
2015
|
| ||||||
收入
|
| | | $ | — | | | | | $ | — | | |
業務費用: | | | | ||||||||||
一般和行政
|
| | | | 1,970,488 | | | | | | 425,081 | | |
研發
|
| | | | 5,687,847 | | | | | | 1,503,649 | | |
業務費用共計
|
| | | | 7,658,335 | | | | | | 1,928,730 | | |
業務損失
|
| | | | (7,658,335) | | | | | | (1,928,730) | | |
利息收入
|
| | | | 52 | | | | | | — | | |
淨損失
|
| | | $ | (7,658,283) | | | | | $ | (1,928,730) | | |
|
| | |
九個月
9月1日結束 |
| |||||||||
| | |
2017
|
| |
2016
|
| ||||||
收入
|
| | | $ | — | | | | | $ | — | | |
業務費用: | | | | ||||||||||
一般和行政
|
| | | | 2,914,452 | | | | | | 1,193,527 | | |
研發
|
| | | | 9,880,529 | | | | | | 3,622,409 | | |
業務費用共計
|
| | | | 12,794,981 | | | | | | 4,815,936 | | |
業務損失
|
| | | | (12,794,981) | | | | | | (4,815,936) | | |
利息收入
|
| | | | — | | | | | | 52 | | |
淨損失
|
| | | $ | (12,794,981) | | | | | $ | (4,815,884) | | |
|
截至12月31日的年份,
|
| | |||||
2017
|
| | | $ | 676,500 | | |
2018
|
| | | | 854,000 | | |
共計
|
| | | $ | 1,530,500 | | |
|
姓名
|
| |
年齡
|
| |
位置
|
|
丹尼爾·帕塞裏 | | |
57
|
| | 首席執行官、總裁和主任 | |
加里·舒曼 | | |
50
|
| | 臨時財務主任 | |
肯·皮恩塔 | | |
57
|
| | 首席醫務官 | |
羅納德·塞德爾三世 | | |
41
|
| | 執行副總裁,研發主管 | |
魯道夫·查帕羅 | | |
45
|
| | 執行副總裁,免疫學主管 | |
科林·桑德科克 | | |
60
|
| | 高級副總裁、總法律顧問和祕書 | |
彼得·基納 | | |
65
|
| | 主席 | |
安東尼·迪吉安多梅尼科 | | |
51
|
| | 導演 | |
卡梅隆·格雷 | | |
47
|
| | 導演 | |
克里斯托弗·馬利特 | | |
53
|
| | 導演 | |
史蒂文·麥克奈特 | | |
68
|
| | 導演 | |
巴里·西蒙 | | |
52
|
| | 導演 | |
史蒂文·阿爾莫 | | |
57
|
| | 科學和臨牀諮詢委員會主席 | |
名稱和位置
|
| |
財政年度
|
| |
薪金($)
|
| |
獎金($)
|
| |
期權
獎勵(美元)(1) |
| |
共計(美元)
|
| |||||||||||||||
丹尼爾·帕塞裏
首席執行官 |
| | | | 2016(2) | | | | | | 112,027 | | | | | | 57,500 | | | | | | 2,289,178 | | | | | | 2,458,705 | | |
魯道夫·查帕羅
執行副總裁,免疫學主管 |
| | | | 2016 | | | | | | 203,333 | | | | | | 50,000 | | | | | | 504,135 | | | | | | 757,468 | | |
| | | 2015 | | | | | | 90,000 | | | | | | 30,000(3) | | | | | | — | | | | | | 120,000 | | | ||
羅納德·D·塞德爾
執行副總裁,研發主管 |
| | | | 2016 | | | | | | 203,333 | | | | | | 50,000 | | | | | | 504,135 | | | | | | 757,468 | | |
| | | 2015 | | | | | | 90,000 | | | | | | 30,000(3) | | | | | | — | | | | | | 120,000 | | |
姓名及主要職位
|
| |
數目
證券 底層 未行使 備選方案 可鍛鍊 (#) |
| |
數目
證券 底層 未行使 備選方案 不可動 (#) |
| |
期權練習
價格(美元) |
| |
期權
過期 日期 |
| ||||||||||||
丹尼爾·帕塞裏
首席執行官 |
| | | | — | | | | | | 544,732(1) | | | | | $ | 2.86 | | | | | | 08/29/2023 | | |
魯道夫·查帕羅
執行副總裁,免疫學主管 |
| | | | — | | | | | | 120,000(2) | | | | | $ | 2.86 | | | | | | 09/07/2023 | | |
塞德爾
執行副總裁,研發主管 |
| | | | — | | | | | | 120,000(2) | | | | | $ | 2.86 | | | | | | 09/07/2023 | | |
姓名
|
| |
所賺取的費用或
以現金支付 ($) |
| |
期權
獎勵(美元)(1) |
| |
所有其他
補償 ($) |
| |
共計(美元)
|
| ||||||||||||
彼得·基納
|
| | | | 23,250 | | | | | | 535,182 | | | | | | — | | | | | | 558,432 | | |
史蒂文·麥克奈特
|
| | | | 23,250 | | | | | | 535,182 | | | | | | — | | | | | | 558,432 | | |
巴里·西蒙
|
| | | | 23,250 | | | | | | 535,182 | | | | | | — | | | | | | 558,432 | | |
姓名
|
| |
須受以下規限的股份
未發行股票 期權獎勵(#) |
| |||
彼得·基納
|
| | | | 125,920 | | |
史蒂文·麥克奈特
|
| | | | 125,920 | | |
巴里·西蒙
|
| | | | 125,920 | | |
| | |
股份
共同 股票 |
| |
股份
底層 備選方案 |
| |
股份
底層 認股權證(2) |
| |
數目
股份 受益 擁有(3) |
| |
百分比
擁有優先權 到 供品 |
| |
百分比
擁有後 祭品 (最低)(4) |
| |
百分比
擁有後 祭品 (最高)(4) |
| |||||||||||||||||||||
董事和執行幹事(1)
|
| | | | | | | | |||||||||||||||||||||||||||||||||||
丹尼爾·帕塞裏
|
| | | | 40,000 | | | | | | 136,183 | | | | | | — | | | | | | 176,183 | | | | | | 1.6% | | | | | | 1.1% | | | | | | * | | |
加里·舒曼
|
| | | | 66,750 | | | | | | — | | | | | | 11,111 | | | | | | 77,861 | | | | | | * | | | | | | * | | | | | | * | | |
肯·皮恩塔
|
| | | | — | | | | | | 20,000 | | | | | | — | | | | | | 20,000 | | | | | | * | | | | | | * | | | | | | * | | |
羅納德·D·塞德爾
|
| | | | 445,000 | | | | | | 30,000 | | | | | | — | | | | | | 475,000 | | | | | | 4.5% | | | | | | 2.8% | | | | | | 2.3% | | |
魯道夫·查帕羅
|
| | | | 445,000 | | | | | | 30,000 | | | | | | — | | | | | | 475,000 | | | | | | 4.5% | | | | | | 2.8% | | | | | | 2.3% | | |
科林·桑德科克
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | * | | | | | | * | | | | | | * | | |
彼得·基納
|
| | | | — | | | | | | 25,184 | | | | | | — | | | | | | 25,184 | | | | | | * | | | | | | * | | | | | | * | | |
安東尼·迪吉安多梅尼科(5)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | * | | | | | | * | | | | | | * | | |
卡梅隆·格雷
|
| | | | 667,500 | | | | | | — | | | | | | 61,111 | | | | | | 728,611 | | | | | | 6.8% | | | | | | 4.4% | | | | | | 3.5% | | |
克里斯托弗·馬利特(6)
|
| | | | 1,017,973 | | | | | | — | | | | | | 185,185 | | | | | | 1,203,158 | | | | | | 11.1% | | | | | | 7.2% | | | | | | 5.8% | | |
史蒂文·麥克奈特
|
| | | | — | | | | | | 25,184 | | | | | | — | | | | | | 25,184 | | | | | | * | | | | | | * | | | | | | * | | |
巴里·西蒙
|
| | | | — | | | | | | 25,184 | | | | | | — | | | | | | 25,184 | | | | | | * | | | | | | * | | | | | | * | | |
董事和執行幹事
作為一個整體(12人) |
| | | | 2,682,223 | | | | | | 291,735 | | | | | | 257,407 | | | | | | 3,231,365 | | | | | | 28.9% | | | | | | 18.8% | | | | | | 15.2% | | |
百分之五的股東 | | | | | | | | | |||||||||||||||||||||||||||||||||||
MDB資本集團(7)
|
| | | | 1,017,973 | | | | | | — | | | | | | 185,185 | | | | | | 1,203,158 | | | | | | 11.1% | | | | | | 7.2% | | | | | | 5.8% | | |
愛因斯坦學院
藥業(8) |
| | | | 671,572 | | | | | | — | | | | | | — | | | | | | 671,572 | | | | | | 6.3% | | | | | | 4.0% | | | | | | 3.3% | | |
史蒂文·阿爾莫(9)
|
| | | | 534,000 | | | | | | 40,122 | | | | | | — | | | | | | 574,122 | | | | | | 5.4% | | | | | | 3.4% | | | | | | 2.8% | | |
馬克·斯特羅姆(10)
|
| | | | 615,556(11) | | | | | | — | | | | | | — | | | | | | 615,556 | | | | | | 5.8% | | | | | | 3.7% | | | | | | 3.0% | | |
彼得·阿佩爾(12)
|
| | | | 655,556 | | | | | | — | | | | | | — | | | | | | 655,556 | | | | | | 6.2% | | | | | | 3.9% | | | | | | 3.2% | | |
姓名
|
| |
股份
普通股 |
| |
與我們的關係
|
| |||
MDB資本集團 | | | | | 1,045,750 | | | | 5%股東 | |
卡梅隆·格雷 | | | | | 667,500 | | | | 導演 | |
史蒂文·阿爾莫 | | | | | 534,000 | | | | 5%股東兼科學和臨牀諮詢委員會主席 | |
羅納德·D·塞德爾 | | | | | 445,000 | | | | 軍官 | |
魯道夫·查帕羅 | | | | | 445,000 | | | | 軍官 | |
加里·舒曼 | | | | | 66,750 | | | | 軍官 | |
姓名
|
| |
股份
普通股 實際擁有 在提供之前 |
| |||
MDB資本集團
|
| | | | 1,017,973 | | |
卡梅隆·格雷
|
| | | | 667,500 | | |
王恩美
|
| | | | 333,750 | | |
加里·舒曼
|
| | | | 66,750 | | |
喬治·布蘭登
|
| | | | 63,625 | | |
凱文·科特
|
| | | | 55,625 | | |
埃德加多·雷奧
|
| | | | 9,259 | | |
伊文·博達斯
|
| | | | 9,259 | | |
卡洛斯·埃雷拉
|
| | | | 9,259 | | |
共計
|
| | | | 2,233,000 | | |
|
| | |
總最小值
供品 |
| |
總最大值
供品 |
| ||||||
公開發行價格
|
| | | $ | 40,000,000 | | | | | $ | 70,000,000 | | |
向承銷商支付的承保佣金
|
| | | $ | 1,920,000 | | | | | $ | 3,360,000 | | |
合格獨立承銷商費
|
| | | $ | 275,000 | | | | | $ | 275,000 | | |
淨收益,扣除其他公司開支
|
| | | $ | 37,805,000 | | | | | $ | 66,365,000 | | |
| | |
頁
數 |
| |||
獨立註冊會計師事務所報告
|
| | | | F-2 | | |
資產負債表-十二月三十一日、2016及2015
|
| | | | F-3 | | |
業務報表---截至12月31日、2016和2015的年度
|
| | | | F-4 | | |
股東權益表-截至12月31日、2016及2015年月日
|
| | | | F-5 | | |
現金流量表---截至12月31日、2016和2015的年度
|
| | | | F-6 | | |
財務報表附註---截至12月31日、2016和2015的年度
|
| | | | F-7 | | |
| | |
十二月三十一日,
|
| |||||||||
| | |
2016
|
| |
2015
|
| ||||||
資產 | | | | ||||||||||
流動資產: | | | | ||||||||||
現金
|
| | | $ | 14,925,820 | | | | | $ | 6,405,207 | | |
存單
|
| | | | 50,033 | | | | | | 50,000 | | |
預付費用和其他流動資產
|
| | | | 162,398 | | | | | | 51,447 | | |
流動資產總額
|
| | | | 15,138,251 | | | | | | 6,506,654 | | |
財產和設備,淨額
|
| | | | 1,023,366 | | | | | | 709,472 | | |
存款
|
| | | | 117,000 | | | | | | 98,500 | | |
總資產
|
| | | $ | 16,278,617 | | | | | $ | 7,314,626 | | |
負債和股東權益 | | | | ||||||||||
流動負債:
|
| | | ||||||||||
應付帳款和應計費用
|
| | | $ | 549,963 | | | | | $ | 177,815 | | |
應計補償及有關開支
|
| | | | 408,559 | | | | | | 118,935 | | |
遞延租金的當期部分
|
| | | | 109,091 | | | | | | 45,455 | | |
流動負債總額
|
| | | | 1,067,613 | | | | | | 342,205 | | |
遞延租金,扣除當期部分
|
| | | | 36,364 | | | | | | 34,090 | | |
負債總額
|
| | | | 1,103,977 | | | | | | 376,295 | | |
承付款和意外開支 | | | | ||||||||||
股東權益: | | | | ||||||||||
優先股,面值0.001美元,授權-10,000,000股;發行和發行-無
|
| | | | — | | | | | | — | | |
普通股,面值0.001美元;授權-5,000萬股;發行和
截至2016年月31,已發行股票-10,635,684股及7,352,704股 和2015 |
| | | | 10,636 | | | | | | 7,353 | | |
額外已付資本
|
| | | | 24,751,017 | | | | | | 8,859,708 | | |
累積赤字
|
| | | | (9,587,013) | | | | | | (1,928,730) | | |
股東權益總額
|
| | | | 15,174,640 | | | | | | 6,938,331 | | |
負債和股東權益共計
|
| | | $ | 16,278,617 | | | | | $ | 7,314,626 | | |
|
| | |
截至12月31日的年份,
|
| |||||||||
| | |
2016
|
| |
2015
|
| ||||||
收入
|
| | | $ | — | | | | | $ | — | | |
業務費用: | | | | ||||||||||
一般和行政
|
| | | | 1,970,488 | | | | | | 425,081 | | |
研發
|
| | | | 5,687,847 | | | | | | 1,503,649 | | |
業務費用共計
|
| | | | 7,658,335 | | | | | | 1,928,730 | | |
業務損失
|
| | | | (7,658,335) | | | | | | (1,928,730) | | |
利息收入
|
| | | | 52 | | | | | | — | | |
淨損失
|
| | | $ | (7,658,283) | | | | | $ | (1,928,730) | | |
普通股淨虧損-基本損失和稀釋損失
|
| | | $ | (1.03) | | | | | $ | (0.34) | | |
加權平均普通股已發行-基本和稀釋
|
| | | | 7,433,433 | | | | | | 5,658,282 | | |
|
| | |
普通股
|
| |
額外
已付 資本 |
| |
累積
赤字 |
| |
共計
股東‘ 權益 |
| ||||||||||||||||||
| | |
股份
|
| |
面值
|
| ||||||||||||||||||||||||
發行給創始人的普通股
|
| | | | 3,649,000 | | | | | $ | 3,649 | | | | | $ | — | | | | | $ | — | | | | | $ | 3,649 | | |
以私募方式發行的普通股
|
| | | | 3,703,704 | | | | | | 3,704 | | | | | | 9,996,296 | | | | | | — | | | | | | 10,000,000 | | |
與普通股的私人配售有關的費用
|
| | | | — | | | | | | — | | | | | | (1,911,529) | | | | | | — | | | | | | (1,911,529) | | |
出售配售代理人認股權證所得收益
|
| | | | — | | | | | | — | | | | | | 1,000 | | | | | | — | | | | | | 1,000 | | |
與普通股私人發行有關的認股權證的公允價值
|
| | | | — | | | | | | — | | | | | | 773,941 | | | | | | — | | | | | | 773,941 | | |
淨損失
|
| | | | — | | | | | | — | | | | | | — | | | | | | (1,928,730) | | | | | | (1,928,730) | | |
2015年月31
|
| | | | 7,352,704 | | | | | | 7,353 | | | | | | 8,859,708 | | | | | | (1,928,730) | | | | | | 6,938,331 | | |
以私募方式發行的普通股
|
| | | | 3,282,980 | | | | | | 3,283 | | | | | | 16,411,617 | | | | | | — | | | | | | 16,414,900 | | |
與普通股的私人配售有關的費用
|
| | | | — | | | | | | — | | | | | | (1,409,864) | | | | | | — | | | | | | (1,409,864) | | |
股票補償
|
| | | | — | | | | | | — | | | | | | 889,556 | | | | | | — | | | | | | 889,556 | | |
淨損失
|
| | | | — | | | | | | — | | | | | | — | | | | | | (7,658,283) | | | | | | (7,658,283) | | |
2016年月31
|
| | | | 10,635,684 | | | | | $ | 10,636 | | | | | $ | 24,751,017 | | | | | $ | (9,587,013) | | | | | $ | 15,174,640 | | |
|
| | |
截至12月31日的年份,
|
| |||||||||
| | |
2016
|
| |
2015
|
| ||||||
業務活動現金流量: | | | | ||||||||||
淨損失
|
| | | $ | (7,658,283) | | | | | $ | (1,928,730) | | |
調整數,將淨損失與用於業務活動的現金淨額對賬: | | | | ||||||||||
折舊和攤銷
|
| | | | 202,085 | | | | | | 44,815 | | |
遞延租金
|
| | | | 65,910 | | | | | | 79,545 | | |
股票補償
|
| | | | 889,556 | | | | | | — | | |
經營資產和負債的變化: | | | | ||||||||||
(增加) 減少- | | | | ||||||||||
預付費用和其他流動資產
|
| | | | (110,951) | | | | | | (51,447) | | |
存款
|
| | | | (18,500) | | | | | | (98,500) | | |
增加(減少)- | | | | ||||||||||
應付帳款和應計費用
|
| | | | 372,148 | | | | | | 177,815 | | |
應計補償及有關開支
|
| | | | 289,624 | | | | | | 118,935 | | |
用於業務活動的現金淨額
|
| | | | (5,968,411) | | | | | | (1,657,567) | | |
投資活動的現金流量: | | | | ||||||||||
存款證增加
|
| | | | (33) | | | | | | (50,000) | | |
購置財產和設備
|
| | | | (515,979) | | | | | | (754,287) | | |
用於投資活動的現金淨額
|
| | | | (516,012) | | | | | | (804,287) | | |
來自籌資活動的現金流量: | | | | ||||||||||
向創始人發行普通股所得收益
|
| | | | — | | | | | | 3,649 | | |
私募普通股收益
|
| | | | 16,414,900 | | | | | | 10,000,000 | | |
出售配售代理人認股權證所得收益
|
| | | | — | | | | | | 1,000 | | |
現金支付與出售普通股有關的費用
|
| | | | (1,409,864) | | | | | | (1,137,588) | | |
籌資活動提供的現金淨額
|
| | | | 15,005,036 | | | | | | 8,867,061 | | |
現金: | | | | ||||||||||
淨增加額
|
| | | | 8,520,613 | | | | | | 6,405,207 | | |
年初餘額
|
| | | | 6,405,207 | | | | | | — | | |
年底結餘
|
| | | $ | 14,925,820 | | | | | $ | 6,405,207 | | |
現金流動信息補充披露: | | | | ||||||||||
為 支付的現金- | | | | ||||||||||
利息
|
| | | $ | — | | | | | $ | — | | |
所得税
|
| | | $ | — | | | | | $ | — | | |
非現金融資活動: | | | | ||||||||||
與普通股私人發行有關的認股權證的公允價值
|
| | | $ | — | | | | | $ | 773,941 | | |
|
|
實驗室設備
|
| |
5年
|
|
|
計算機設備
|
| |
3年
|
|
|
傢俱和固定裝置
|
| |
3年
|
|
| | |
十二月三十一日,
|
| |||||||||
| | |
2016
|
| |
2015
|
| ||||||
普通股認股權證
|
| | | | 370,370 | | | | | | 370,370 | | |
普通股期權
|
| | | | 1,663,221 | | | | | | — | | |
共計
|
| | | | 2,033,591 | | | | | | 370,370 | | |
|
| | |
十二月三十一日,
|
| |||||||||
| | |
2016
|
| |
2015
|
| ||||||
實驗室設備
|
| | | $ | 1,194,473 | | | | | $ | 735,013 | | |
傢俱和固定裝置
|
| | | | 1,832 | | | | | | 1,832 | | |
計算機設備
|
| | | | 44,166 | | | | | | 17,442 | | |
租賃改良
|
| | | | 29,795 | | | | | | — | | |
| | | | | 1,270,266 | | | | | | 754,287 | | |
減去累計折舊和攤銷
|
| | | | (246,900) | | | | | | (44,815) | | |
淨資產和設備
|
| | | $ | 1,023,366 | | | | | $ | 709,472 | | |
|
| | |
截至12月31日的年份,
|
| |||||||||
| | |
2016
|
| |
2015
|
| ||||||
一般和行政
|
| | | $ | 4,630 | | | | | $ | 1,238 | | |
研發
|
| | | | 197,455 | | | | | | 43,577 | | |
共計
|
| | | $ | 202,085 | | | | | $ | 44,815 | | |
|
批出日期
|
| |
數目
股份 下 期權 |
| |
壽命
期權 |
| |
歸屬
期間 |
| |
批出日期的公允價值
|
| ||||||||||||
|
共計
|
| |
每股
|
| ||||||||||||||||||||
2016年月23
|
| | | | 240,729 | | | |
5年
|
| |
3年
|
| | | $ | 1,023,791 | | | | | $ | 4.25 | | |
2016年月23
|
| | | | 377,760 | | | |
7年
|
| |
5年
|
| | | | 1,605,546 | | | | | $ | 4.25 | | |
2016年月29
|
| | | | 544,732 | | | |
7年
|
| |
4年
|
| | | | 2,289,178 | | | | | $ | 4.20 | | |
2016年月七日
|
| | | | 440,000 | | | |
7年
|
| |
4年
|
| | | | 1,848,496 | | | | | $ | 4.20 | | |
2016年月16
|
| | | | 60,000 | | | |
7年
|
| |
1年
|
| | | | 265,367 | | | | | $ | 4.42 | | |
| | | | | 1,663,221 | | | | | | | | | | | $ | 7,032,378 | | | | | | | | |
|
|
無風險利率
|
| |
1.07%-2.25%
|
|
|
預期股利收益率
|
| |
0%
|
|
|
預期波動率
|
| |
104%-112%
|
|
|
預期壽命
|
| |
4.25至7年
|
|
|
每股股價
|
| |
$5.00
|
|
| | |
數目
股份 |
| |
加權
平均 運動 價格 |
| |
加權
平均 剩餘 契約性 生命 (以年份計) |
| |||||||||
獲批
|
| | | | — | | | | | ||||||||||
行使
|
| | | | — | | | | | ||||||||||
過期
|
| | | | — | | | | | ||||||||||
2015年月三十一日未償還股票期權
|
| | | | — | | | | | | — | | | | | | — | | |
獲批
|
| | | | 1,663,221 | | | | | $ | 2.86 | | | | |||||
行使
|
| | | | — | | | | | | — | | | | |||||
過期
|
| | | | — | | | | | | — | | | | |||||
2016年月三十一日未償還股票期權
|
| | | | 1,663,221 | | | | | $ | 2.86 | | | | | | 6.22 | | |
股票期權可於2016年月31行使
|
| | | | 60,183 | | | | | $ | 2.86 | | | | | | 4.21 | | |
|
|
一般和行政
|
| | | $ | 439,366 | | |
|
研發
|
| | | | 450,190 | | |
|
共計
|
| | | $ | 889,556 | | |
|
| | |
數目
股份 |
| |
加權
平均 運動 價格 |
| |
加權
平均 剩餘 契約性 生活(以年數計) |
| |||||||||
發
|
| | | | 370,370 | | | | | $ | 2.70 | | | | |||||
行使
|
| | | | — | | | | | | — | | | | |||||
過期
|
| | | | — | | | | | | — | | | | |||||
2015年月31未交的認股權證
|
| | | | 370,370 | | | | | $ | 2.70 | | | | |||||
發
|
| | | | — | | | | | | — | | | | |||||
行使
|
| | | | — | | | | | | — | | | | |||||
過期
|
| | | | — | | | | | | — | | | | |||||
2016年月31未交的認股權證
|
| | | | 370,370 | | | | | $ | 2.70 | | | | | | 5.46 | | |
認股權證可於2016年月31行使
|
| | | | 370,370 | | | | | $ | 2.70 | | | | | | 5.46 | | |
|
| | |
十二月三十一日,
|
| |||||||||
| | |
2016
|
| |
2015
|
| ||||||
遞延税款資產: | | | | ||||||||||
淨營運虧損結轉
|
| | | $ | 3,607,000 | | | | | $ | 816,000 | | |
研究和其他學分
|
| | | | 364,000 | | | | | | 54,000 | | |
準備金和應計項目
|
| | | | 315,000 | | | | | | 39,000 | | |
其他無形資產
|
| | | | 9,000 | | | | | | 9,000 | | |
遞延税款資產總額
|
| | | | 4,295,000 | | | | | | 918,000 | | |
減去估價津貼
|
| | | | (4,190,000) | | | | | | (873,000) | | |
遞延税款資產共計
|
| | | | 105,000 | | | | | | 45,000 | | |
遞延税款負債: | | | | ||||||||||
折舊
|
| | | | (105,000) | | | | | | (45,000) | | |
遞延税款資產淨額
|
| | | $ | — | | | | | $ | — | | |
|
| | |
截至12月31日的年份,
|
| |||||||||
| | |
2016
|
| |
2015
|
| ||||||
美國聯邦法定税率
|
| | | | (35)% | | | | | | (35)% | | |
估價津貼的變動
|
| | | | 36% | | | | | | 37% | | |
税收抵免
|
| | | | (3)% | | | | | | (3)% | | |
其他
|
| | | | 2% | | | | | | 1% | | |
有效税率
|
| | | | 0.0% | | | | | | 0.0% | | |
|
截至12月31日的年份,
|
| | |||||
2017
|
| | | $ | 2,650,000 | | |
2018
|
| | | | 854,000 | | |
共計
|
| | | $ | 3,504,000 | | |
|
| | |
截至12月31日的年份,
|
| |||||||||
| | |
2016
|
| |
2015
|
| ||||||
一般和行政
|
| | | $ | 117,691 | | | | | $ | 42,455 | | |
研發
|
| | | | 846,818 | | | | | | 319,091 | | |
共計
|
| | | $ | 964,509 | | | | | $ | 361,546 | | |
|
| | |
頁
數 |
| |||
壓縮資產負債表 - 2017(未經審計)和12月31日(2016)
|
| | | | F-26 | | |
- 截至9月30日、2017和2016的9個月
|
| | | | F-27 | | |
股東權益(未經審計) - 簡明報表,截至2017年月30
|
| | | | F-28 | | |
現金流量表(未經審計) - 截至9月30日、2017和2016的9個月
|
| | | | F-29 | | |
精減財務報表附註(未審計) - 截至9月30日止的9個月,
2017和2016 |
| | | | F-30 | | |
| | |
九月三十日
2017 |
| |
十二月三十一日,
2016 |
| ||||||
| | |
(未經審計)
|
| | ||||||||
資產 | | | | ||||||||||
流動資產: | | | | ||||||||||
現金
|
| | | $ | 3,400,481 | | | | | $ | 14,925,820 | | |
存單
|
| | | | 50,033 | | | | | | 50,033 | | |
研發合同預付款
|
| | | | 294,206 | | | | | | — | | |
預付費用和其他流動資產
|
| | | | 145,068 | | | | | | 162,398 | | |
遞延發行成本
|
| | | | 240,823 | | | | | | — | | |
流動資產總額
|
| | | | 4,130,611 | | | | | | 15,138,251 | | |
財產和設備,淨額
|
| | | | 1,741,037 | | | | | | 1,023,366 | | |
商標
|
| | | | 175,000 | | | | | | — | | |
長期服務合約
|
| | | | 23,282 | | | | | | — | | |
存款
|
| | | | 225,500 | | | | | | 117,000 | | |
總資產
|
| | | $ | 6,295,430 | | | | | $ | 16,278,617 | | |
負債和股東權益 | | | | ||||||||||
流動負債: | | | | ||||||||||
應付帳款和應計費用
|
| | | $ | 772,245 | | | | | $ | 549,963 | | |
應計補償及有關開支
|
| | | | 725,196 | | | | | | 408,559 | | |
應計遞延發行費用
|
| | | | 196,694 | | | | | | — | | |
研發合同負債
|
| | | | 156,969 | | | | | | — | | |
遞延租金的當期部分
|
| | | | 63,636 | | | | | | 109,091 | | |
流動負債總額
|
| | | | 1,914,740 | | | | | | 1,067,613 | | |
遞延租金,扣除當期部分
|
| | | | — | | | | | | 36,364 | | |
負債總額
|
| | | | 1,914,740 | | | | | | 1,103,977 | | |
承付款和意外開支 | | | | ||||||||||
股東權益: | | | | ||||||||||
優先股,面值0.001美元,授權-10,000,000股;已發行和
未付---無 |
| | | | — | | | | | | — | | |
普通股,面值0.001美元;授權-5,000萬股;發行和
已發行股票-10,635,684股 |
| | | | 10,636 | | | | | | 10,636 | | |
額外已付資本
|
| | | | 26,752,048 | | | | | | 24,751,017 | | |
累積赤字
|
| | | | (22,381,994) | | | | | | (9,587,013) | | |
股東權益總額
|
| | | | 4,380,690 | | | | | | 15,174,640 | | |
負債和股東權益共計
|
| | | $ | 6,295,430 | | | | | $ | 16,278,617 | | |
|
| | |
九個月結束
九月三十日 |
| |||||||||
| | |
2017
|
| |
2016
|
| ||||||
收入
|
| | | $ | — | | | | | $ | — | | |
業務費用: | | | | ||||||||||
一般和行政
|
| | | | 2,914,452 | | | | | | 1,193,527 | | |
研發
|
| | | | 9,880,529 | | | | | | 3,622,409 | | |
業務費用共計
|
| | | | 12,794,981 | | | | | | 4,815,936 | | |
業務損失
|
| | | | (12,794,981) | | | | | | (4,815,936) | | |
利息收入
|
| | | | — | | | | | | 52 | | |
淨損失
|
| | | $ | (12,794,981) | | | | | $ | (4,815,884) | | |
普通股淨虧損-基本損失和稀釋損失
|
| | | $ | (1.20) | | | | | $ | (0.65) | | |
加權平均普通股已發行-基本和稀釋
|
| | | | 10,635,684 | | | | | | 7,352,704 | | |
|
| | |
普通股
|
| |
額外
已付 資本 |
| |
累積
赤字 |
| |
共計
股東‘ 權益 |
| ||||||||||||||||||
| | |
股份
|
| |
標準桿
價值 |
| ||||||||||||||||||||||||
2016年月31
|
| | | | 10,635,684 | | | | | $ | 10,636 | | | | | $ | 24,751,017 | | | | | $ | (9,587,013) | | | | | $ | 15,174,640 | | |
股票補償
|
| | | | — | | | | | | — | | | | | | 2,001,031 | | | | | | — | | | | | | 2,001,031 | | |
淨損失
|
| | | | — | | | | | | — | | | | | | — | | | | | | (12,794,981) | | | | | | (12,794,981) | | |
2017.9月30日
|
| | | | 10,635,684 | | | | | $ | 10,636 | | | | | $ | 26,752,048 | | | | | $ | (22,381,994) | | | | | $ | 4,380,690 | | |
|
| | |
九個月結束
九月三十日 |
| |||||||||
| | |
2017
|
| |
2016
|
| ||||||
業務活動現金流量: | | | | ||||||||||
淨損失
|
| | | $ | (12,794,981) | | | | | $ | (4,815,884) | | |
調整數,將淨損失與用於業務活動的現金淨額對賬: | | | | ||||||||||
折舊和攤銷
|
| | | | 293,034 | | | | | | 139,541 | | |
遞延租金
|
| | | | (81,819) | | | | | | 93,183 | | |
股票補償
|
| | | | 2,001,031 | | | | | | 435,982 | | |
經營資產和負債的變化: | | | | ||||||||||
(增加)減少- | | | | ||||||||||
研發合同預付款
|
| | | | (294,206) | | | | | | — | | |
預付費用和其他流動資產
|
| | | | (5,952) | | | | | | (110,891) | | |
存款
|
| | | | (108,500) | | | | | | (9,283) | | |
增加(減少)在- | | | | ||||||||||
應付帳款和應計費用
|
| | | | 222,281 | | | | | | 117,327 | | |
應計補償及有關開支
|
| | | | 316,637 | | | | | | 189,212 | | |
研發合同負債
|
| | | | 156,969 | | | | | | — | | |
用於業務活動的現金淨額
|
| | | | (10,295,506) | | | | | | (3,960,813) | | |
投資活動的現金流量: | | | | ||||||||||
商標取得
|
| | | | (175,000) | | | | | | — | | |
購置財產和設備
|
| | | | (1,010,705) | | | | | | (421,141) | | |
用於投資活動的現金淨額
|
| | | | (1,185,705) | | | | | | (421,141) | | |
融資活動的現金流量: | | | | ||||||||||
遞延發行費用的支付
|
| | | | (44,128) | | | | | | — | | |
延遲私人出售普通股的付款
|
| | | | — | | | | | | (7,685) | | |
用於籌資活動的現金淨額:
|
| | | | (44,128) | | | | | | (7,685) | | |
現金: | | | | ||||||||||
淨減少
|
| | | | (11,525,339) | | | | | | (4,389,639) | | |
期初餘額
|
| | | | 14,925,820 | | | | | | 6,405,207 | | |
期末餘額
|
| | | $ | 3,400,481 | | | | | $ | 2,015,568 | | |
現金流動信息補充披露: | | | | ||||||||||
現金支付- | | | | ||||||||||
利息
|
| | | $ | — | | | | | $ | — | | |
所得税
|
| | | $ | — | | | | | $ | — | | |
非現金融資活動: | | | | ||||||||||
遞延提供費用的應計
|
| | | $ | 196,694 | | | | | | — | | |
|
|
實驗室設備
|
| |
5年
|
|
|
計算機設備
|
| |
3年
|
|
|
傢俱和固定裝置
|
| |
3年
|
|
| | |
九月三十日
|
| |||||||||
| | |
2017
|
| |
2016
|
| ||||||
普通股認股權證
|
| | | | 370,370 | | | | | | 370,370 | | |
普通股期權
|
| | | | 2,366,221 | | | | | | 1,603,221 | | |
共計
|
| | | | 2,736,591 | | | | | | 1,973,591 | | |
|
| | |
九月三十日
2017 |
| |
十二月三十一日,
2016 |
| ||||||
實驗室設備
|
| | | $ | 2,147,152 | | | | | $ | 1,194,473 | | |
傢俱和固定裝置
|
| | | | 9,606 | | | | | | 1,832 | | |
計算機設備
|
| | | | 70,496 | | | | | | 44,166 | | |
租賃改良
|
| | | | 53,717 | | | | | | 29,795 | | |
| | | | | 2,280,971 | | | | | | 1,270,266 | | |
減去累計折舊和攤銷
|
| | | | (539,934) | | | | | | (246,900) | | |
淨資產和設備
|
| | | $ | 1,741,037 | | | | | $ | 1,023,366 | | |
|
| | |
九個月結束
九月三十日 |
| |||||||||
| | |
2017
|
| |
2016
|
| ||||||
一般和行政
|
| | | $ | 10,466 | | | | | $ | 2,945 | | |
研發
|
| | | | 282,568 | | | | | | 136,596 | | |
共計
|
| | | $ | 293,034 | | | | | $ | 139,541 | | |
|
|
無風險利率
|
| |
1.48%-2.17%
|
|
|
預期股利收益率
|
| |
0%
|
|
|
預期波動率
|
| |
佔80.90%~82.97%
|
|
|
預期壽命
|
| |
3.46至7年
|
|
|
每股股價
|
| |
$7.00
|
|
|
無風險利率
|
| |
1.01%至1.50%
|
|
|
預期股利收益率
|
| |
0%
|
|
|
預期波動率
|
| |
112.36%
|
|
|
預期壽命
|
| |
4.46至5年
|
|
|
每股股價
|
| |
$5.00
|
|
| | |
數目
股份 |
| |
加權
平均 運動 價格 |
| |
加權
平均 剩餘 契約性 生命 (以年份計) |
| |||||||||
2016年月三十一日未償還股票期權
|
| | | | 1,663,221 | | | | | $ | 2.86 | | | | |||||
獲批
|
| | | | 703,000 | | | | | $ | 5.00 | | | | |||||
行使
|
| | | | — | | | | | | — | | | | |||||
過期
|
| | | | — | | | | | | — | | | | |||||
2017年月30日未發行股票期權
|
| | | | 2,366,221 | | | | | $ | 3.50 | | | | | | 5.81 | | |
股票期權可於2016年月31行使
|
| | | | 60,183 | | | | | $ | 2.86 | | | | |||||
股票期權可於2017年月30行使
|
| | | | 463,726 | | | | | $ | 2.96 | | | | | | 5.24 | | |
|
鍛鍊價格
|
| |
備選方案
突出 (股份) |
| |
備選方案
可鍛鍊 (股份) |
| ||||||
$2.86
|
| | | | 1,663,221 | | | | | | 442,101 | | |
$5.00
|
| | | | 703,000 | | | | | | — | | |
| | | | | 2,366,221 | | | | | | 463,726 | | |
|
| | |
九個月結束
九月三十日 |
| |||||||||
| | |
2017
|
| |
2016
|
| ||||||
一般和行政
|
| | | $ | 737,119 | | | | | $ | 216,015 | | |
研發
|
| | | | 1,263,912 | | | | | | 219,967 | | |
共計
|
| | | $ | 2,001,031 | | | | | $ | 435,982 | | |
|
| | |
數目
股份 |
| |
加權
平均 運動 價格 |
| |
加權
平均 剩餘 契約性 生活(以年數計) |
| |||||||||
2016年月31未交的認股權證
|
| | | | 370,370 | | | | | $ | 2.70 | | | | |||||
發
|
| | | | — | | | | | | — | | | | |||||
行使
|
| | | | — | | | | | | — | | | | |||||
過期
|
| | | | — | | | | | | — | | | | |||||
2017年月30日未交認股權證
|
| | | | 370,370 | | | | | $ | 2.70 | | | | | | 4.71 | | |
認股權證可於2016年月31行使
|
| | | | 370,370 | | | | | $ | 2.70 | | | | |||||
認股權證可於2017年月30行使
|
| | | | 370,370 | | | | | $ | 2.70 | | | | | | 4.71 | | |
|
截至12月31日的年份,
|
| | |||||
2017
|
| | | $ | 676,500 | | |
2018
|
| | | | 854,000 | | |
共計
|
| | | $ | 1,530,500 | | |
|
| | |
九個月結束
九月三十日 |
| |||||||||
| | |
2017
|
| |
2016
|
| ||||||
一般和行政
|
| | | $ | 172,773 | | | | | $ | 63,818 | | |
研發
|
| | | | 1,297,909 | | | | | | 574,364 | | |
共計
|
| | | $ | 1,470,682 | | | | | $ | 638,182 | | |
|
|
MDB資本集團
|
| |
Feltl公司
|
|