Amended Securities Registration (section 12(b)) (8-a12b/a)
14 Novembre 2022 - 11:02PM
Edgar (US Regulatory)
United
States
Securities
and Exchange Commission
Washington,
DC 20549
Form
8-A/A
(Amendment
No. 1)
For
Registration of Certain Classes of Securities
Pursuant
to Section 12(b) or 12(g) of The
Securities
Exchange Act of 1934
AIM IMMUNOTECH INC.
(Exact
Name of Registrant as Specified in Charter)
Delaware |
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52-0845822 |
(State
or Other Jurisdiction
of Incorporation)
|
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(IRS
Employer
Identification No.)
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2117 SW Highway 484, Ocala FL 34473
(Address
of principal executive offices) (Zip code)
Securities
to be registered pursuant to Section 12(b) of the Act:
Title
of each class |
|
Trading
Symbol |
|
Name
of each exchange on which registered |
|
|
|
|
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Rights
to Purchase Series A |
|
|
|
NYSE
American |
Junior
Participating Preferred Stock |
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If this form relates to the registration of a class of securities
pursuant to Section 12(b) of the Exchange Act and is effective
pursuant to General Instruction A.(c) or (e), check the following
box. ☒
If
this form relates to the registration of a class of securities
pursuant to Section 12(g) of the Exchange Act and is effective
pursuant to General Instruction A.(d) or (e), check the following
box. ☐
If
this form relates to the registration of a class of securities
concurrently with a Regulation A offering, check the following box.
☐
Securities
Act registration statement or Regulation A offering statement file
number to which this form relates: Not Applicable
Securities
to be registered pursuant to Section 12(g) of the Act:
None.
This
Amendment No. 1 to Form 8-A is being filed by AIM ImmunoTech Inc.,
a Delaware corporation (the “Company”), to update the disclosure in
the Company’s Registration Statement on Form 8-A filed with the
Securities and Exchange Commission (the “SEC”) on November 14, 2017
(the “Original 8-A”).
ITEM
1. Description of Registrant’s Securities to be
Registered.
This
amends the Original 8-A relating to the rights (the “Rights”)
issued under the Rights Agreement, dated as of November 19, 2002,
between the Company and Continental Stock Transfer & Trust
Company (“CST”), as the rights agent (the “Original Agreement”), as
amended by the Amended and Restated Rights Agreement, dated as of
November 2, 2012 (the “2012 Amendment”) and, following American
Stock Transfer & Trust Company, LLC (the “Rights Agent”)
replacing CST as the rights agent, the Second Amended and Restated
Rights Agreement, dated as of November 14, 2017 (the “2017
Amendment” and, together with the Original Agreement and the 2012
Amendment, the “Rights Agreement”). The Rights Agreement, which is
intended to enable the Company’s stockholders to realize the
long-term value of their investment, was scheduled to expire at the
close of business on November 14, 2022.
On
November 9, 2022, the Company and the Rights Agent, entered into an
amendment to the Rights Agreement (as amended, the “Amended Rights
Agreement”), which was unanimously approved by our Board of
Directors and which extends the expiration date of the Rights
Agreement from November 14, 2022 to February 14, 2023 in order to
provide the Board of Director additional time to evaluate whether
and for what duration and on what terms to further extend the
Amended Rights Agreement in connection with its overall assessment
of the Company’s preparedness to respond to threats to corporate
control and to ensure that the interests of stockholders are
protected.
The
Rights and the Rights Agreement are described in the Original 8-A,
and such descriptions, as amended hereby, are incorporated by
reference herein. The Original Agreement is included as an exhibit
to the Company’s Registration Statement on Form 8-A12G (File No.
000-27072) filed with the SEC on November 20, 2002, the 2012
Amendment is included as an exhibit to the Company’s Registration
Statement on Form 8-A12G/A (File No. 000-27072) filed with the SEC
on November 2, 2012, and the 2017 Amendment is included as an
exhibit to the Company’s Registration Statement on Form 8-A12B
(File No. 001-27072) filed with the SEC on November 14, 2017.
All of the foregoing are incorporated by reference
herein.
ITEM
2. Exhibits.
Exhibit
No. |
|
Description |
4.1 |
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Rights
Agreement, dated as of November 19, 2002 between AIM ImmunoTech
Inc. (formerly, Hemispherx Biopharma, Inc.) and Continental Stock
Transfer & Trust Company. The Original Agreement includes the
form of Certificate of Designation, Preferences and Rights of the
Series A Junior Participating Preferred Stock and the Form of
Rights Certificate (incorporated by reference to Exhibit 1 to the
Company’s Registration Statement on Form 8-A12G (File No.
000-27072) filed with the SEC on November 20,
2002). |
|
|
|
4.2 |
|
Amended
and Restated Rights Agreement, dated as of November 2, 2012,
between AIM ImmunoTech Inc. (formerly, Hemispherx Biopharma, Inc.)
and Continental Stock Transfer & Trust Company. The 2012
Amendment includes the Form of Certificate of Designation,
Preferences and Rights of the Series A Junior Participating
Preferred Stock and the Form of Rights Certificate (incorporated by
reference to Exhibit 1 to the Company’s Registration Statement
on Form 8-A12G/A (File No. 000-27072) filed with the SEC on
November 2, 2012). |
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4.3 |
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Second
Amended and Restated Rights Agreement, dated as of November 14,
2017, between AIM ImmunoTech Inc. (formerly, Hemispherx Biopharma,
Inc.) and American Stock Transfer & Trust Company, LLC. The
2017 Amendment includes the Form of Amendment to the Amended and
Restated Certificate of Designation, Preferences and Rights of the
Series A Junior Participating Preferred Stock and the Form of
Rights Certificate (incorporated by reference to Exhibit 1 to
the Company’s Registration Statement on Form 8-A12B (File
No. 001-27072) filed with the SEC on November 14,
2017). |
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4.4 |
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Amendment
to the Second Amended and Restated Rights Agreement, dated as of
November 9, 2022, between AIM ImmunoTech Inc. (formerly, Hemispherx
Biopharma, Inc.) and American Stock Transfer & Trust Company,
LLC (incorporated by reference to Exhibit 4.1 to the Company’s
Quarterly Report on Form 10-Q for the period ended September 30,
2022 (File No. 001-27072) filed with the SEC on November 14,
2022). |
SIGNATURE
Pursuant
to the requirements of Section 12 of the Securities Exchange Act of
1934, the registrant has duly caused this amendment to the
registration statement to be signed on its behalf by the
undersigned, thereto duly authorized.
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AIM
ImmunoTech Inc. |
|
|
|
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By: |
/s/
Thomas K. Equels |
|
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Thomas
K. Equels, |
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President
and Chief |
|
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Executive
Officer |
Dated
as of: November 14, 2022
AIM ImmunoTech (AMEX:AIM)
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