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EX-5.1 - EX-5.1 - PLx Pharma Inc.a14-8042_1ex5d1.htm
EX-23.1 - EX-23.1 - PLx Pharma Inc.a14-8042_1ex23d1.htm

 

As filed with the Securities and Exchange Commission on March 12, 2014

Registration Number 333-       

 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM S-1

 

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933

 

DIPEXIUM PHARMACEUTICALS, INC.

(Exact Name of Registrant as Specified in its Charter)

 

Delaware
(State or other jurisdiction of
incorporation or organization)

 

2834
(Primary Standard Industrial
Classification Code Number)

 

46-4995704
(I.R.S. Employer
Identification No.)

 

74 Broad Street
New York, New York 10004
Phone: (
212) 422 5717

Fax: (212) 269 6441
(Address, Including Zip Code, and Telephone Number,
Including Area Code, of Registrant’s Principal Executive Offices)

 

David P. Luci, Esq.
President and Chief Executive Officer
74 Broad Street
New York, New York 10004
Phone: (
212) 422 5717

Fax: (212) 269 6441
(Name, Address, Including Zip Code, and Telephone Number,
Including Area Code, of Agent for Service)

with copies to:

 

Lawrence A. Rosenbloom, Esq.

Ellenoff Grossman & Schole LLP

1345 Avenue of the Americas, 11th Floor

New York, NY 10105

Phone: (212) 370-1300

Fax: (212) 370-7889

 

Ivan K. Blumenthal, Esq.

Mintz Levin Cohn Ferris Glovsky and Popeo, P.C.

Chrysler Center, 666 Third Avenue

New York, NY 10017

Phone: (212) 935-3000
Fax: (212) 983-3115

 

Approximate date of commencement of proposed sale to public: As soon as practicable after the effective date hereof.

 

If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act, check the following box. o

 

If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. x  File No. 333-193780

 

If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration number of the earlier effective registration statement for the same offering. o

 

If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration number of the earlier effective registration statement for the same offering. o

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company.  See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.  (Check one):

 

Larger accelerated filer ¨

 

Accelerated filer ¨

Non-accelerated filer ¨

 

Smaller reporting company x

 

CALCULATION OF REGISTRATION FEE

 

 

 

 

 

 

Title of Each Class of Securities to be
Registered

 

Proposed Maximum
Aggregate Offering Price
(1)(2)

 

Amount of
Registration Fee (2)

 

Common stock, $0.001 par value per share

 

$

3,450,000

 

$

444.36

 

(1)                           Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457(o) under the Securities Act of 1933, as amended.  Includes shares of our common stock that the underwriters have the option to purchase to cover overallotments, if any.

(2)                           The registration fee is calculated pursuant to Rule 457(o) under the Securities Act.  The $3,450,000 proposed maximum aggregate offering price is in addition to the $34,500,000 proposed maximum aggregate offering price registered pursuant to the Registrant’s Registration Statement on Form S-1 (File No. 333-193780).  A registration fee was previously paid in connection with that Registration Statement.

 

This registration statement shall become effective upon filing with the Securities and Exchange Commission in accordance with Rule 462(b) under the Securities Act of 1933, as amended.

 

 

 



 

EXPLANATORY NOTE

 

This registration statement is being filed pursuant to Rule 462(b) under the Securities Act of 1933, as amended (“Rule 462(b)”), and includes the registration statement facing page, this page, the signature page, the exhibit index and exhibits. Pursuant to Rule 462(b), the contents of the registration statement on Form S-1 (File No. 333-193780) of Dipexium Pharmaceuticals, LLC (now known as Dipexium Pharmaceuticals, Inc., the “Registrant”), including the exhibits thereto, are incorporated by reference into this registration statement.

 

The Registrant hereby certifies that it (i) has instructed its agent to transmit to the Securities and Exchange Commission (the “Commission”) the filing fee set forth on the cover page of this Registration Statement by a wire transfer of such amount to the Commission’s account as soon as practicable (but no later than the close of business on March 13, 2014), (ii) will not revoke such instructions, (iii) has sufficient funds in the relevant account to cover the amount of such filing fee and (iv) will confirm receipt of such instructions by its agent during such agent’s regular business hours no later than March 13, 2014.

 

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SIGNATURES

 

Pursuant to the requirements of the Securities Act, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in New York, New York on March 12, 2014.

 

 

DIPEXIUM PHARMACEUTICALS, INC.

 

 

 

By:

/s/ David P. Luci

 

 

Name:

David P. Luci

 

 

Title:

President, Chief Executive Officer and Secretary

 

Pursuant to the requirements of the Securities Act, this registration statement has been signed below by the following persons in the capacities and on the dates indicated.

 

Person

 

Capacity

 

Date

 

 

 

 

 

/s/ Robert J. DeLuccia*

 

Executive Chairman and Director

 

March 12, 2014

Robert J. DeLuccia

 

 

 

 

 

 

 

 

 

 

 

 

 

 

/s/ David P. Luci

 

President, Chief Executive Officer, Secretary and Director

(Principal Executive, Financial and Accounting Officer)

 

March 12, 2014

David P. Luci, Esq.

 

 

 

 

 

 

 

 

 

 

 

/s/ Christopher Coughlin*

 

Director

 

March 12, 2014

Christopher Coughlin

 

 

 

 

 

 

 

 

 

 

 

 

 

 

/s/ Dr. Jack H. Dean*

 

Director

 

March 12, 2014

Dr. Jack H. Dean

 

 

 

 

 

 

 

 

 

 

 

/s/ Michael Duffy*

 

Director

 

March 12, 2014

Michael Duffy, Esq.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

/s/ Thomas Harrison*

 

Director

 

March 12, 2014

Thomas Harrison

 

 

 

 

 

 

 

 

 

 

 

/s/ William J. McSherry*

 

Director

 

March 12, 2014

William J. McSherry, Jr., Esq.

 

 

 

*By:

/s/ David P. Luci

 

 

David P. Luci, Esq.

 

 

Attorney-in-Fact

 

 

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EXHIBIT INDEX

 

Exhibit No.

 

Description

5.1

 

Opinion of Ellenoff Grossman & Schole LLP*

23.1

 

Consent of CohnReznick LLP*

23.2

 

Consent of Ellenoff Grossman & Schole LLP (included in Exhibit 5.1).

24.1

 

Power of Attorney (incorporated by reference to signature page on Registration Statement on Form S-1 (File No. 333-193780))

 


*  Filed herewith.

 

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