美国
证券交易委员会
华盛顿,特区。20549
表格8-K
当前报告
根据1934年证券交易法的第13或第15(d)条
1934年证券交易法的
报告日期(最早事件日期):May 24, 20242024年1月4日
永远 准备好并购公司
(公司章程中指定的准确公司名称)
开曼群岛 | 001-41002 | 无数据 | ||
(成立州或其他管辖区) 成立地点 |
(委员会 文件编号) |
(国
税
号) 识别号码。 |
767 第三大道,38楼
纽约,纽约10017
(总部地址) (邮政编码)
(646) 807-8832
(报告人的电话号码,包括区号)
如果本表8-K的提交同时满足申报人根据下列规定的任何一个申报义务,请在下面适当的方框中打“X”:
☒ | 根据《证券法》第425条规定的书面通信(17 CFR 230.425) |
☐ | 根据《交易所法》第14a-12条规定的招股材料(17 CFR 240.14a-12) |
☐ | 交易所法规14d-2(b)条款(17 CFR 240.14d-2(b))项下的发起前通讯 |
☐ | 交易所法规13e-4(c)条款(17 CFR 240.13e-4(c))项下的发起前通讯 |
根据法案第12(b)节注册的证券:
A类无面值普通投票股 | 交易符号 | 每个交易所的名称 注册的 | ||
单位,每个单位包括一个A类普通股,每股面值0.0001美元,和半个可赎回权证 | LGSTU | 纳斯达克交易所 | ||
作为单位一部分包括的每股面值为$0.0001的A类普通股 | LGST | 纳斯达克交易所 | ||
可赎回权证,每张可行使价格为11.50美元的A类普通股,纳入单位的一部分 | LGSTW | 纳斯达克交易所 |
在勾选标记旁边注明发行人是否是根据1933年证券法规则405条(本章节的§230.405)或1934年证券交易法规则12亿.2条(本章节§2401.2亿.2)定义的新兴成长公司
新兴成长型公司 ☒
如果是新兴成长型企业,请打勾,以表明注册人已选择不使用遵守《证券交易法》第13(a)条所规定的任何新的或修订后的财务会计准则的延长过渡期。 ☐
项目7.01适用法规FD披露。
注册声明的效力。
根据先前披露,2023年6月28日,Semper Paratus Acquisition Corporation,一家开曼群岛豁免公司(“Semper Paratus”),与Semper Paratus、Semper Merger Sub, Inc.(一家德拉华州公司,也是Semper Paratus的全资子公司)(“Merger Sub”),SSVk Associates, LLC,Semper Paratus的发起人,作为购买方代表,Tevogen Bio Inc,一家德拉华州公司(“Tevogen Bio”),以及Ryan Saadi,作为卖方代表,签署了一份《合并协议和计划书》,根据该协议,各方将对Merger Sub与Tevogen Bio进行合并,Tevogen Bio将继续作为存续实体(合并及合并协议规定的其他交易,统称为“交易”)。2024年1月5日,Semper Paratus和Tevogen Bio发布了一份联合新闻稿,宣布SEC已于2024年1月4日生效连接到交易的Form S-4表格注册声明。请见随附的新闻稿附件99.1,据此参照并纳入本第7.01项。
根据SEC的规定,此处附注的第7.01条和附件99.1中的信息是根据证券交易法案修订案的规定提供的,不应被视为提交给1934年证券交易法案第18条的目的,“交易所法”),或以其他方式受该条款的责任,也不应被视为在任何根据经修订的1933年证券法案(“证券法案”)或交易法案的备案中的参考,除非在此类备案中通过具体参考明确说明。
前瞻性声明
本表格8-k的当前报告包含一些并非历史事实的声明,属于联邦证券法中关于Semper Paratus与Tevogen Bio之间交易的前瞻性声明,包括但不限于有关交易预期收益、交易预期时间、隐含的企业价值、Tevogen Bio未来财务状况和绩效以及交易结束后合并公司的预期财务影响、交易的结束条件是否满足、Semper Paratus的公共股东赎回水平以及Tevogen Bio的产品候选者、产品、市场和预期未来绩效与市场机遇等方面的声明。这些前瞻性声明通常通过“相信”、“计划”、“期待”、“预计”、“估计”、“打算”、“认为”、“策略”、“未来”、“机遇”、“潜力”、“计划”、“寻求”、“可能”、“应该”、“将”、“将会”、“将继续”、“可能会导致”等词语来识别,但缺少这些词语并不意味着一则声明并非前瞻性。前瞻性声明是预测、投影和其他关于基于当前期望和假设的未来事件的声明,因此会触及风险和不确定性。
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这些前瞻性陈述仅供说明目的,不应视为担保、保证、预测或明确陈述,并且不得作为事实或概率的依赖。实际事件和情况难以预测或无法预测,并且将与假设有所不同。许多因素可能导致未来实际事件与此通讯中的前瞻性陈述大不相同,包括但不限于:(i)存在Semper Paratus业务组合截止期限内或在任何时间未完成交易的风险,这可能对Semper Paratus证券的价格产生不利影响;(ii)未能满足交易完成的条件,包括Semper Paratus股东批准并同意并购协议,满足收盘时的最低现金要求,包括因Semper Paratus股东提前赎回而导致的;以及获得某些政府、监管机构和第三方批准;(iii)可能导致解除并购协议的任何事件、变化或其他情况;(iv)赎回超过预期水平或未能满足交易完成时的纽交所首次上市标准;(v)交易宣布或正在进行的影响,可能对Tevogen Bio的业务关系、运营结果和业务普遍产生影响;(vi)交易风险干扰Tevogen Bio目前的计划和运营;(vii)对Tevogen Bio或Semper Paratus提出的与并购协议或交易有关的任何法律诉讼的结果;(viii)市场发生变化:Tevogen Bio在竞争环境、技术演进或监管变化方面与之相关;(ix)国内和全球经济状况的变化;(x)Tevogen Bio可能无法执行其增长战略或在管理增长和扩大业务方面遇到困难;(xi)与COVID-19大流行及应对措施相关的风险,包括供应链中断;(xii)Tevogen Bio可能无法制定和维护有效的内部控制的风险;(xiii)与交易有关的成本和未能实现交易预期收益或实现估计的约定情况和基础假设,包括估计股东赎回事宜;(xiv)未能认识到交易预期的好处和实现Tevogen Bio的商业化和发展计划,并确定和实现额外机会,这可能受到竞争、Tevogen Bio增长和经济运营及雇佣和留住关键员工能力的影响等等;(xv)Tevogen Bio可能无法与快速技术发展同步以提供新产品和服务或在不成功的新产品和服务上进行大笔投资的风险;(xvi)与开发、许可或收购新治疗药物相关的风险;(xvii)Tevogen Bio需要筹集额外资本来执行其业务计划的风险,这些资本可能无法按可接受条件或根本不可用;(xviii)与Tevogen Bio业务相关的产品责任或监管诉讼及诉讼;(xix)执行、成本和完成临床前研究和临床试验中的不确定性固有风险;(xx)与监管审查、批准和商业开发有关的风险;(xxi)与知识产权保护有关的风险;(xxii)Tevogen Bio有限的运营历史;(xxiii)在美国证券交易委员会文件中讨论的因素以及有关交易的初步代理声明/交易说明中包含的因素。
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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