Statistik Asas
| CIK | 1835268 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Connect Biopharma Holdings Limited - Depositary Receipt (Common Stock)
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| August 13, 2025 |
Non-Employee Director Compensation Program Exhibit 10.1 CONNECT BIOPHARMA HOLDINGS LIMITED NON-EMPLOYEE DIRECTOR COMPENSATION PROGRAM (As Amended Effective June 24, 2025) Eligible Directors (as defined below) on the Board of Directors (the “Board”) of Connect Biopharma Holdings Limited (the “Company”) shall be eligible to receive cash and equity compensation for their service on the Board as set forth in this Non-Employee Director Compensa |
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| August 13, 2025 |
Exhibit 99.1 Connect Biopharma Reports Second Quarter 2025 Financial Results and Provides Business Update – Initiated Phase 2 Seabreeze STAT asthma and COPD studies evaluating rademikibart as an adjunct treatment for acute exacerbations – – Presented positive data at ATS 2025 and EAACI 2025 supporting the potential of rademikibart to deliver differentiated efficacy and safety in patients with eosi |
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| August 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2025 Connect Biopharma Holdings Limited (Exact name of Registrant as Specified in Its Charter) Cayman Islands 001-40212 Not Applicable (State or Other Jurisdiction of Incor |
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| August 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40212 Con |
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| July 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 22, 2025 Connect Biopharma Holdings Limited (Exact name of Registrant as Specified in Its Charter) Cayman Islands 001-40212 Not Applicable (State or Other Jurisdiction of Incorpo |
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| July 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 18, 2025 Connect Biopharma Holdings Limited (Exact name of Registrant as Specified in Its Charter) Cayman Islands 001-40212 Not Applicable (State or Other Jurisdiction of Incorpo |
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| July 18, 2025 |
As filed with the Securities and Exchange Commission on July 18, 2025 Registration No. |
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| July 18, 2025 |
AMENDMENT TO THE DEPOSIT AGREEMENT AMENDMENT TO THE DEPOSIT AGREEMENT THIS AMENDMENT dated as of July 18, 2025 (hereafter, the “Amendment”) is amending the Deposit Agreement, dated as of March 18, 2021 (the “Deposit Agreement”), by and among (i) Connect Biopharma Holdings Limited, a company incorporated in the Cayman Islands (together with its successors, the “Company”), (ii) Deutsche Bank Trust Company Americas, an indirect wholly owned subsidiary of Deutsche Bank A. |
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| July 17, 2025 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 16, 2025 Connect Biopharma Holdings Limited (Exact name of Registrant as Specified in Its Charter) Cayman Islands 001-40212 Not Applicable (State or Other Jurisdiction of Incorpo |
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| July 9, 2025 |
Exhibit 99.1 Connect Biopharma’s Exclusive Licensee in China, Simcere Pharmaceutical, Announced Submission of its New Drug Application for Rademikibart for the Treatment of Atopic Dermatitis in China SAN DIEGO July 9, 2025, (GLOBE NEWSWIRE) - Connect Biopharma Holdings Limited (Nasdaq: CNTB) (“Connect Biopharma”, “Connect”, or the “Company”), a clinical-stage biopharmaceutical company focused on t |
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| July 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 9, 2025 Connect Biopharma Holdings Limited (Exact name of Registrant as Specified in Its Charter) Cayman Islands 001-40212 Not Applicable (State or Other Jurisdiction of Incorpor |
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| June 24, 2025 |
Connect Biopharma Holdings Limited 3580 Carmel Mountain Road, Suite 200 San Diego, CA 92130 CORRESP Connect Biopharma Holdings Limited 3580 Carmel Mountain Road, Suite 200 San Diego, CA 92130 June 24, 2025 VIA EDGAR Alan Campbell Office of Life Sciences Division of Corporation Finance U. |
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| June 10, 2025 |
As filed with the Securities and Exchange Commission on June 10, 2025 S-8 As filed with the Securities and Exchange Commission on June 10, 2025 Registration No. |
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| June 10, 2025 |
Exhibit 10.1 June 9, 2025 Connect Biopharm LLC 3580 Carmel Mountain Road, Suite 200 San Diego, California 92130 Cantor Fitzgerald & Co. 110 East 59th Street, 6th floor New York, New York 10022, Attention: General Counsel Email: [email protected] with copies to: Latham & Watkins LLP 12670 High Bluff Drive San Diego, California 92130 Attention: Michael E. Sullivan Email: [email protected] D |
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| June 10, 2025 |
As filed with the Securities and Exchange Commission on June 10, 2025 Table of Contents As filed with the Securities and Exchange Commission on June 10, 2025 Registration No. |
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| June 10, 2025 |
Calculation of Filing Fee Table Exhibit 107 CALCULATION OF FILING FEE TABLE Form S-8 (Form Type) Connect Biopharma Holdings Limited (Exact name of registrant as specified in its charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (2) Proposed Maximum Offering Price Per Share Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Ordinary shares, par value US $0. |
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| June 10, 2025 |
Exhibit 107 CALCULATION OF FILING FEE TABLE Registration Statement on Form F-3 (Form Type) Connect Biopharma Holdings Limited (Exact Name of Registrant as Specified in its Charter) Table 1 – Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial Effective Date Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees To Be Paid Equity Ordinary shares, $0. |
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| June 10, 2025 |
Exhibit 4.4 CONNECT BIOPHARMA HOLDINGS LIMITED INDENTURE Dated as of , 20 [] Trustee TABLE OF CONTENTS Page ARTICLE I. DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.1. Definitions 1 Section 1.2. Other Definitions 4 Section 1.3. Incorporation by Reference of Trust Indenture Act 4 Section 1.4. Rules of Construction 5 ARTICLE II. THE SECURITIES 5 Section 2.1. Issuable in Series 5 Section 2.2 |
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| June 10, 2025 |
2024 Employment Inducement Incentive Award Plan Exhibit 10.2 CONNECT BIOPHARMA HOLDINGS LIMITED 2024 EMPLOYMENT INDUCEMENT INCENTIVE AWARD PLAN 1. Purposes of the Plan. The purposes of this Plan are to attract and retain the best available personnel, to provide additional incentives to Eligible Persons and to promote the success of the Company’s business. 2. Definitions. The following definitions shall apply as used herein and in the individual |
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| May 15, 2025 |
Exhibit 99.1 Connect Biopharma Reports First Quarter 2025 Financial Results and Provides Business Update Initiated Phase 2 Seabreeze STAT Asthma and Seabreeze STAT COPD studies evaluating rademikibart as an adjunct treatment for acute exacerbations in Asthma and COPD in May 2025; topline data expected in 1H 2026 Published positive data from its global Phase 2 study supporting potential of rademiki |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40212 Co |
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| May 15, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2025 Connect Biopharma Holdings Limited (Exact name of Registrant as Specified in Its Charter) Cayman Islands 001-40212 Not Applicable (State or Other Jurisdiction of Incorpor |
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| May 14, 2025 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2025 Connect Biopharma Holdings Limited (Exact name of Registrant as Specified in Its Charter) Cayman Islands 001-40212 Not Applicable (State or Other Jurisdiction of Incorpor |
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| May 14, 2025 |
Exhibit 99.1 Connect Biopharma Initiates Phase 2 Seabreeze STAT COPD Study Evaluating Rademikibart for the Treatment of Acute Exacerbations in COPD – Expect to report topline data from the Seabreeze STAT COPD study in 1H 2026 – SAN DIEGO May 14, 2025, (GLOBE NEWSWIRE) - Connect Biopharma Holdings Limited (Nasdaq: CNTB) (Connect Biopharma, Connect or the Company), a clinical-stage biopharmaceutical |
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| May 13, 2025 |
Exhibit 99.1 Connect Biopharma Initiates Phase 2 Seabreeze STAT Asthma Study Evaluating Rademikibart for the Treatment of Acute Exacerbations in Asthma – Expect to report topline data from the Seabreeze STAT Asthma study in 1H 2026 – – On track to initiate similarly-designed Phase 2 study in patients with COPD imminently – SAN DIEGO May 13, 2025, (GLOBE NEWSWIRE) - Connect Biopharma Holdings Limit |
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| May 13, 2025 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2025 Connect Biopharma Holdings Limited (Exact name of Registrant as Specified in Its Charter) Cayman Islands 001-40212 Not Applicable (State or Other Jurisdiction of Incorpor |
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| April 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2025 Connect Biopharma Holdings Limited (Exact name of Registrant as Specified in Its Charter) Cayman Islands 001-40212 Not Applicable (State or Other Jurisdiction of Incorpo |
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| April 1, 2025 |
Exhibit 99.1 Connect Biopharma Announces Positive Type C Meeting with the FDA for Rademikibart – FDA aligned on plan to initiate parallel Phase 2 trials of rademikibart in patients with moderate-to-severe asthma or COPD experiencing an acute exacerbation – – Expect to initiate both trials in Q2 2025 – SAN DIEGO April 1, 2025, (GLOBE NEWSWIRE) - Connect Biopharma Holdings Limited (Nasdaq: CNTB) (Co |
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| March 31, 2025 |
Exhibit 10.18 LEASE BETWEEN GATEWAY TORREY HILLS LLC AND CONNECT BIOPHARM LLC LEASE (Short Form) THIS LEASE is made as of October 25, 2024, by and between GATEWAY TORREY HILLS LLC, a Delaware limited liability company, hereafter called “Landlord,” and CONNECT BIOPHARM LLC, a California limited liability company hereafter called “Tenant.” ARTICLE 1. BASIC LEASE PROVISIONS Each reference in this Lea |
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| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-40 |
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| March 31, 2025 |
Exhibit 10.16 Addendum To Employment Offer Letter For Severance Benefits The provisions of this Addendum to Employment Offer Letter for Severance Benefits (the “Addendum”) are incorporated into, and are made a part of, the employment offer letter (the “Offer Letter”) by and between you, Lisa Peraza, and Connect Biopharm LLC (“Company”), to which this Addendum is attached. Capitalized terms used in |
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| March 31, 2025 |
Employment Offer Letter, dated August 7, 2024, between Connect Biopharm LLC and Lisa Peraza Exhibit 10.15 August 7, 2024 Lisa Peraza Via Electronic Mail Re: Employment Terms Dear Lisa: Connect Biopharm LLC (the “Company” or “Connect”) is pleased to offer you the position of Vice President, Finance. As applicable, references to Company or Connect also include its affiliated entities. This position reports directly into David Szekeres, the Company’s President. You are expected to be presen |
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| March 31, 2025 |
Exhibit 10.17 FIRST AMENDMENT TO LEASE THIS FIRST AMENDMENT (the “Amendment”) is made and entered into as of October 25, 2024, by and between PASEO DEL MAR LLC, a Delaware limited liability company, hereafter called “Landlord,” and CONNECT BIOPHARM LLC, a California limited liability company, hereafter called “Tenant.” RECITALS A.Landlord and Tenant are parties to that certain lease dated December |
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| March 31, 2025 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of Connect Biopharma Holdings Limited Name of Subsidiary State or Other Jurisdiction of Incorporation or Organization Connect Biopharma HongKong Limited Hong Kong Connect Biopharm LLC California Connect Biopharma Australia PTY LTD Australia Suzhou Connect Biopharma Co., Ltd. People’s Republic of China Connect Biopharma (Beijing) Co., Ltd. People’s Republic of China Connec |
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| March 31, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 31, 2025 Connect Biopharma Holdings Limited (Exact name of Registrant as Specified in Its Charter) Cayman Islands 001-40212 Not Applicable (State or Other Jurisdiction of Incorp |
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| March 31, 2025 |
Exhibit 99.1 Connect Biopharma Reports 2024 Full-Year Financial Results and Provides Business Update Strengthened leadership team with key appointments, including Barry Quart, Pharm.D. as CEO, and David Szekeres as President, bringing deep clinical, regulatory, operational and strategic expertise Unveiled rapid clinical development program for rademikibart initially targeting acute care in asthma |
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| March 31, 2025 |
Insider Trading Compliance Policy Exhibit 19.1 Connect Biopharma Holdings Limited Insider Trading Compliance Policy Contents Page I.Summary 1 II.Statement of Policies Prohibiting Insider Trading 2 III.Explanation of Insider Trading 3 IV.Statement of Procedures to Prevent Insider Trading 7 V.Additional Prohibited Transactions 10 VI.Rule 10b5-1 Trading Plans and Rule 144 12 VII.Execution and Return of Certification of Compliance 14 |
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| March 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2025. Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant’s name into English) 3580 Carmel Mountain Road, Suite 200 San Diego, California 92130 |
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| March 28, 2025 |
Exhibit 99.1 Connect Biopharma Announces Receipt of Nasdaq Deficiency Notice Regarding Minimum Bid Price Requirement SAN DIEGO March 28, 2025, (GLOBE NEWSWIRE) - Connect Biopharma Holdings Limited (Nasdaq: CNTB) (Connect Biopharma or the Company), a clinical-stage biopharmaceutical company focused on transforming acute and chronic care in asthma and chronic obstructive pulmonary disease (COPD), to |
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| December 23, 2024 |
Exhibit 16.1 December 23, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Connect Biopharma Holdings Limited (copy attached), which we understand will be filed with the Securities and Exchange Commission, pursuant to Form 6-K of Connect Biopharma Holdings Limited dated for the month of December 2024. We agree with t |
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| December 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2024. Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant’s name into English) 12265 El Camino Real, Suite 350 San Diego, California 92130, |
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| September 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2024 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130, USA (Add |
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| September 5, 2024 |
Connect Biopharma Holdings Ltd. Condensed Consolidated Income Statement Data EXHIBIT 99.1 Connect Biopharma Reports First Half 2024 Financial Results and Provides Business Update •Announced new U.S.-based leadership with the appointment of Barry Quart, Pharm.D. as Chief Executive Officer (CEO) and David Szekeres as President •Connect’s new management is currently evaluating the future clinical development strategy for rademikibart •As part of Connect’s transformation into |
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| September 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2024 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant’s name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130, USA (Add |
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| August 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2024 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130, USA (Addres |
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| July 1, 2024 |
SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Connect Biopharma Holdings Limited (Name of Issuer) Ordinary Shares (Title of Class of Securities) 207523101** (CUSIP Number) James Huang Panacea Venture No. 5, Lane 1350, Fuxing Middle Road Xuhui District, Shanghai China 200031 (86-21) 6176-110 |
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| June 12, 2024 |
Employment Agreement between Connect Biopharm LLC and its affiliates and Barry Quart EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Connect Biopharm LLC (the “Company”) and its affiliates (the “Company Group”), and Barry Quart (“Executive”), and shall be effective as of June 12, 2024 (the “Effective Date”). |
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| June 12, 2024 |
between Connect Biopharm LLC and its affiliates and EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Connect Biopharm LLC (the “Company”) and its affiliates (the “Company Group”), and David Szekeres (“Executive”), and shall be effective as of June 12, 2024 (the “Effective Date”). |
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| June 12, 2024 |
CONNECT BIOPHARMA HOLDINGS LIMITED 2024 EMPLOYMENT INDUCEMENT INCENTIVE AWARD PLAN 1. |
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| June 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2024 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130, USA (Address |
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| April 16, 2024 |
Connect Biopharma Holdings Limited CONNECT BIOPHARMA HOLDINGS LIMITED POLICY FOR RECOVERY OF ERRONEOUSLY AWARDED COMPENSATION Connect Biopharma Holdings Limited (the “Company”) has adopted this Policy for Recovery of Erroneously Awarded Compensation (the “Policy”), effective as of October 2, 20231 (the “Effective Date”). |
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| April 16, 2024 |
Principal Executive Officer Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. Exhibit 12.1 CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Zheng Wei, certify that: 1.I have reviewed this annual report on Form 20-F of Connect Biopharma Holdings Limited (the "Company"); 2.Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the st |
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| April 16, 2024 |
Connect Biopharma Reports Full Year 2023 Financial Results and Provides Business Update Connect Biopharma Reports Full Year 2023 Financial Results and Provides Business Update •Reported two positive readouts for rademikibart, the Company’s lead asset, from the Global Phase 2b trial in moderate-to-severe persistent asthma and from the China pivotal trial in moderate-to-severe atopic dermatitis (AD) •Type C meeting in AD and End-of-Phase 2 (EoP2) meeting in asthma have been scheduled with the U. |
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| April 16, 2024 |
Non-Employee Director Compensation Program Non-Employee Director Compensation Program CONNECT BIOPHARMA HOLDINGS LIMITED NON-EMPLOYEE DIRECTOR COMPENSATION PROGRAM Eligible Directors (as defined below) on the board of directors (the “Board”) of Connect Biopharma Holdings Limited (the “Company”) shall be eligible to receive cash and equity compensation as set forth in this Non-Employee Director Compensation Program (this “Program”). |
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| April 16, 2024 |
Principal Executive Officer Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. Exhibit 13.1 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the annual report of Connect Biopharma Holdings Limited (the “Company”) on Form 20-F for the year ended December 31, 2023, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Zheng Wei, Chief Executive Officer |
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| April 16, 2024 |
Principal Financial Officer Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. Exhibit 12.2 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Steven Chan, certify that: 1.I have reviewed this annual report on Form 20-F of Connect Biopharma Holdings Limited (the "Company"); 2.Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the |
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| April 16, 2024 |
Consent of PricewaterhouseCoopers Zhong Tian LLP, an independent registered public accounting firm. Exhibit 15.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in the Registration Statements on Form S-8 (No. 333-266006, No. 333-254524) and Form F-3 (No. 333-264340) of Connect Biopharma Holdings Limited of our report dated April 16, 2024 relating to the financial statements, which appears in this Form 20-F. /s/ PricewaterhouseCoopers Z |
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| April 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F o REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURIT |
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| April 16, 2024 |
Principal Financial Officer Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. Exhibit 13.2 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the annual report of Connect Biopharma Holdings Limited (the “Company”) on Form 20-F for the year ended December 31, 2023, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Steven Chan, Chief Financial Office |
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| April 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2024 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130 (Address of p |
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| February 27, 2024 |
SC 13D/A 1 tm247414d1sc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* CONNECT BIOPHARMA HOLDINGS LIMITED (Name of Issuer) Ordinary shares, par value $0.000174 per share (Title of Class of Securities) 207523101** (CUSIP Number) RA Capital Management, L.P. 200 Berkeley Street, 18th Floor Boston, |
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| February 27, 2024 |
SC 13D/A 1 d785358dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Connect Biopharma Holdings Limited (Name of Issuer) Ordinary Shares (Title of Class of Securities) 207523101** (CUSIP Number) James Huang Panacea Venture No. 5, Lane 1350, Fuxing Middle Road Xuhui District, Shanghai |
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| February 13, 2024 |
EX-99.1 2 d785507dex991.htm EX-99.1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13D. Each of them is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of t |
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| February 13, 2024 |
EX-99 2 biofortune13ga20231231-fin.htm EX-99 Exhibit 99 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13G. Each of them is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and acc |
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| February 13, 2024 |
Securities and Exchange Commission Washington, D.C. 20549 —————————————— Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* —————————————— Connect Biopharma Holdings Limited (Name of Issuer) Ordinary shares, par value $0.0 |
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| February 13, 2024 |
SC 13G/A 1 zhengwei13ga20231231-final.htm SC 13G/A Securities and Exchange Commission Washington, D.C. 20549 —————————————— Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* —————————————— Connect Biopharma Holdings Limit |
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| February 13, 2024 |
SC 13D 1 d785507dsc13d.htm SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Connect Biopharma Holdings Limited (Name of Issuer) Ordinary Shares (Title of Class of Securities) 207523101** (CUSIP Number) James Huang Panacea Venture No. 5, Lane 1350, Fuxing Middle Road Xuhui District, Shanghai China |
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| February 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of February 2024 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130, USA (Addr |
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| December 20, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* CONNECT BIOPHARMA HOLDINGS LIMITED (Name of Issuer) Ordinary shares, par value $0.000174 per share (Title of Class of Securities) 207523101** (CUSIP Number) RA Capital Management, L.P. 200 Berkeley Street, 18th Floor Boston, MA 02116 Attn: Peter Kolchinsky Telephone |
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| December 14, 2023 |
SC 13D/A 1 tm2332921d1sc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* CONNECT BIOPHARMA HOLDINGS LIMITED (Name of Issuer) Ordinary shares, par value $0.000174 per share (Title of Class of Securities) 207523101** (CUSIP Number) RA Capital Management, L.P. 200 Berkeley Street, 18th Floor Boston, |
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| December 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2023 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130, USA (Addr |
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| December 12, 2023 |
Full Analysis Set (primary endpoint) Connect Biopharma Announces Positive Rademikibart Global Phase 2b Topline Results in Adult Patients with Moderate-to-Severe Persistent Asthma • The global trial met its primary endpoint showing both doses of rademikibart treatment significantly improved lung function at Week 12 • The significant improvement in lung function was observed as early as Week 1 and was sustained through Week 24 with both doses of rademikibart • Significant improvement in asthma control occurred early and was sustained through Week 24 for both doses of rademikibart • Safety results suggest rademikibart was generally well tolerated • A conference call and webcast presentation to discuss the data will be held today at 8:30 a. |
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| December 4, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* CONNECT BIOPHARMA HOLDINGS LIMITED (Name of Issuer) Ordinary shares, par value $0.000174 per share (Title of Class of Securities) 207523101** (CUSIP Number) RA Capital Management, L.P. 200 Berkeley Street, 18th Floor Boston, MA 02116 Attn: Peter Kolchinsky Telephone |
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| November 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2023 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130, USA (Addr |
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| November 21, 2023 |
Exhibit 99.1 EXCLUSIVE LICENSE AND COLLABORATION AGREEMENT by and between Connect Biopharma HongKong Limited and Simcere Pharmaceutical Co., Ltd. Table of Contents 1. DEFINITIONS 3 2. LICENSE 12 3. GOVERNANCE 15 4. DEVELOPMENT AND REGULATORY MATTERS 18 5. COMMERCIALIZATION 23 6. MANUFACTURE AND SUPPLY 25 7. PAYMENTS 26 8. COMPLIANCE WITH LAWS 30 9. INTELLECTUAL PROPERTY 32 10. CONFIDENTIALITY 37 1 |
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| November 21, 2023 |
Rademikibart Week 52 Results In patients that achieved IGA 0/1 or EASI-75 at Week 16 Exhibit 99.2 Connect Biopharma Announces Positive Long-Term Data from the China Pivotal Trial of Rademikibart in Patients with Moderate-to-Severe Atopic Dermatitis • Clinical response (IGA 0/1 and EASI-75) achieved at Week 16 with rademikibart treatment was maintained through Week 52 with both every two weeks (Q2W) and every four weeks (Q4W) dosing regimens o Approximately 90% of patients on Q4W d |
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| November 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2023 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130 (Address o |
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| October 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2023 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130, USA (Addre |
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| October 4, 2023 |
CNTB / Connect Biopharma Holdings Ltd - ADR / Huang James - SC 13G/A Passive Investment SC 13G/A Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* Connect Biopharma Holdings Limited (Name of Issuer) Ordinary Shares (Title of Class of Securities) 20752 |
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| October 4, 2023 |
EX-99 Exhibit 99 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13G. |
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| September 12, 2023 |
Connect Biopharma Holdings Ltd. EXHIBIT 99.1 Connect Biopharma Reports First Half 2023 Financial Results and Provides Business Update • Key data readouts with Company’s lead drug candidate rademikibart expected in the fourth quarter of 2023 o Topline results from Stage 2 of the China pivotal trial in atopic dermatitis o Topline results from Global Phase 2 trial in asthma • Cash balance of $131.6 million expected to support plann |
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| September 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2023 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant’s name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130, USA (Add |
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| September 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2023 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130, USA (Add |
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| July 24, 2023 |
12670 High Bluff Drive San Diego, California 92130 Tel: +1.858.523.5400 Fax: +1.858.523.5450 www.lw.com FIRM / AFFILIATE OFFICES Austin Milan Beijing Munich Boston New York Brussels Orange County Century City Paris July 24, 2023 Chicago Riyadh Dubai San Diego Düsseldorf San Francisco Frankfurt Seoul Hamburg Shanghai Hong Kong Silicon Valley VIA EDGAR Houston Singapore London Tel Aviv Los Angeles T |
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| July 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2023 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130, USA (Address |
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| June 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2023 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130, USA (Address |
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| June 23, 2023 |
Exhibit 99.1 House Lease Contract Lessor: Taicang Science and Technology Venture Park Co., Ltd. (hereinafter referred to as “Party A”) Lessee: Suzhou Connect Biopharmaceuticals, Ltd. (hereinafter referred to as “Party B”) In accordance with the Civil Code of the People’s Republic of China and other relevant provisions, Party A and Party B (individually a “Party” and collectively the “Parties”) hav |
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| June 5, 2023 |
Corporate Presentation June 2023 | NASDAQ: CNTB Developing next-generation therapeutics for T cell-driven inflammatory diseases Forward-looking statements This presentation regarding Connect Biopharma Holdings Limited ("Connect," "we," "us" or "our") has been prepared solely for informational purposes. |
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| June 5, 2023 |
6-K 1 cntb6k20230605.htm 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2023 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San D |
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| June 1, 2023 |
Connect Biopharma Announces Positive Long-Term Data from the Maintenance Period Through Exhibit 99.1 Connect Biopharma Announces Positive Long-Term Data from the Maintenance Period Through Week 48 of CN002 Phase 2 Icanbelimod Trial in Patients with Moderate-to-Severe Ulcerative Colitis • Icanbelimod demonstrated sustained clinical remission, a regulatory relevant efficacy endpoint, through Week 48 in 80% of patients who achieved clinical remission at Week 12 of the induction period. |
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| June 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2023 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130, USA (Address |
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| April 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT O |
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| April 11, 2023 |
Consent of PricewaterhouseCoopers Zhong Tian LLP, an independent registered public accounting firm. Exhibit 15.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in the Registration Statements on Form S-8 (No. 333-266006, No. 333-254524) and Form F-3 (No. 333-264340) of Connect Biopharma Holdings Limited of our report dated April 11, 2023 relating to the financial statements, which appears in this Form 20-F. /s/ PricewaterhouseCoopers Z |
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| April 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2023 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130, USA (Address |
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| April 11, 2023 |
Principal Financial Officer Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. Exhibit 12.2 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Steven Chan, certify that: 1. I have reviewed this annual report on Form 20-F of Connect Biopharma Holdings Limited (the "Company"); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make th |
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| April 11, 2023 |
Connect Biopharma Reports Full Year 2022 Financial Results and Provides Business Update CDE’s Pre-NDA Feedback Confirms CBP-201 for Atopic Dermatitis on Track for NDA Submission in China by End of First Quarter 2024 SAN DIEGO and TAICANG, SUZHOU, China – April 11, 2023 – Connect Biopharma Holdings Limited (Nasdaq: CNTB) (Connect Biopharma or the Company), a global clinical-stage biopharmaceutical company developing T cell-driven therapies to treat inflammatory diseases, today announced financial results for the year ended December 31, 2022 and recent corporate highlights. |
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| April 11, 2023 |
Principal Executive Officer Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. Exhibit 13.1 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the annual report of Connect Biopharma Holdings Limited (the “Company”) on Form 20-F for the year ended December 31, 2022, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Zheng Wei, Chief Executive Officer |
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| April 11, 2023 |
Principal Executive Officer Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. Exhibit 12.1 CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Zheng Wei, certify that: 1. I have reviewed this annual report on Form 20-F of Connect Biopharma Holdings Limited (the "Company"); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the |
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| April 11, 2023 |
Principal Financial Officer Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. Exhibit 13.2 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the annual report of Connect Biopharma Holdings Limited (the “Company”) on Form 20-F for the year ended December 31, 2022, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Steven Chan, Chief Financial Office |
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| April 11, 2023 |
Exhibit 15.2 April 11, 2023 VIA EDGAR Division of Corporation Finance U.S. Securities & Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Connect Biopharma Holdings Limited Submission under the Item 16I(a) of Form 20-F Attn: Division of Corporation Finance Office of Life Sciences To the addressees set forth above: In compliance with the Holding Foreign Companies Accountable Act, Conn |
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| March 21, 2023 |
Late-Breaking Abstract and Oral Presentation at American Academy of Dermatology Annual Meeting Exhibit 99.2 Connect Biopharma CBP-201 Atopic Dermatitis China Pivotal Study Showed Rapid Relief of Patient Symptoms March 18, 2023 Late-Breaking Abstract and Oral Presentation at American Academy of Dermatology Annual Meeting • Stage 1 of ongoing 52-week China pivotal AD trial met primary and secondary endpoints • No efficacy plateau at Week 16 SAN DIEGO & TAICANG, China & SUZHOU, China-(BUSINESS |
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| March 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2023 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130 (Address of p |
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| March 21, 2023 |
ePoster and Oral Presentation at American Academy of Dermatology Annual Meeting Exhibit 99.1 Connect Biopharma CBP-201 Atopic Dermatitis Global Phase 2b Data Showed Rapid and Sustained Improvement Across all Body Regions March 17, 2023 ePoster and Oral Presentation at American Academy of Dermatology Annual Meeting SAN DIEGO & TAICANG, China & SUZHOU, China-(BUSINESS WIRE)-March 17, 2023 – Connect Biopharma Holdings Limited (Nasdaq: CNTB) (Connect Biopharma or the Company), a |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 1)* Under the Securities Exchange Act of 1934 Connect Biopharma Holdings Limited (Name of Issuer) Ordinary shares, par value US$0.000174 per share (Title of Class of Securities) 207523101** (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropria |
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| February 13, 2023 |
SC 13G 1 minhui13g20221231.htm SC 13G Securities and Exchange Commission Washington, D.C. 20549 —————————————— Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* —————————————— Connect Biopharma Holdings Limited (Name of Is |
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| February 13, 2023 |
CNTB / Connect Biopharma Holdings Limited / Wei Zheng - SC 13G/A Passive Investment SC 13G/A 1 zhengwei13ga20221231.htm SC 13G/A Securities and Exchange Commission Washington, D.C. 20549 —————————————— Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* —————————————— Connect Biopharma Holdings Limited (Na |
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| February 13, 2023 |
CNTB / Connect Biopharma Holdings Limited / BioFortune Inc - SC 13G/A Passive Investment SC 13G/A 1 biofortune13ga20221231.htm SC 13G/A Securities and Exchange Commission Washington, D.C. 20549 —————————————— Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* —————————————— Connect Biopharma Holdings Limited ( |
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| February 13, 2023 |
EX-99 2 cntb-ex9999.htm EX-99.99 Exhibit 99 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13G. Each of them is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of the |
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| February 13, 2023 |
EX-99 2 cntb-ex9999.htm EX-99.99 Exhibit 99 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13G. Each of them is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of the |
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| February 9, 2023 |
Connect Biopharma Reports CBP-201 Global Phase 2 Asthma Trial Achieves Full Enrollment Exhibit 99.1 Connect Biopharma Reports CBP-201 Global Phase 2 Asthma Trial Achieves Full Enrollment SAN DIEGO and TAICANG, SUZHOU, China – February 9, 2023 – Connect Biopharma Holdings Limited (Nasdaq: CNTB) (Connect Biopharma or the Company), a global clinical-stage biopharmaceutical company developing T cell-driven therapies to treat inflammatory diseases, today announced that its CBP-201 Phase |
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| February 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of February 2023 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130 (Address o |
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| February 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of February 2023 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant's name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130 (Address o |
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| January 3, 2023 |
EX-99 2 d422740dex99.htm EX-99 Exhibit 99 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13G. Each of them is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of the i |
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| January 3, 2023 |
CNTB / Connect Biopharma Holdings Limited / Huang James - SC 13G Passive Investment SC 13G 1 d422740dsc13g.htm SC 13G Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Connect Biopharma Holdings Limited (Name of Issuer) Ordinary Shares (Title of Cl |
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| December 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130(Address of |
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| December 30, 2022 |
Exhibit 99.1 Connect Biopharma Provides Business and Clinical Development Program Update Cash runway now expected to extend into at least 2025 as a result of revised timeline of global Phase 3 program of CBP-201 in atopic dermatitis (AD); Longer cash runway permits continued evaluation of potential partnership opportunities to advance the global AD Phase 3 program Progress of China pivotal AD tria |
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| December 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130 (Address o |
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| October 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130 (Address of |
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| September 13, 2022 |
EXHIBIT 99.1 Connect Biopharma Reports First Half 2022 Financial Results and Provides Business Update ? Company expects to report top-line data from China pivotal trial for lead drug candidate CBP-201 in atopic dermatitis in October 2022? ? Company to Host Conference Call Today at 4:30 p.m. ET ? SAN DIEGO and TAICANG, SUZHOU, China ? September 13, 2022 ? Connect Biopharma Holdings Limited (Nasdaq: |
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| September 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130 (Address |
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| August 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130 (Address of |
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| August 19, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130 (Address of |
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| July 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) 12265 El Camino Real, Suite 350 San Diego, CA 92130 (Address of pr |
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| July 1, 2022 |
As filed with the Securities and Exchange Commission on July 1, 2022 As filed with the Securities and Exchange Commission on July 1, 2022 Registration No. |
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| July 1, 2022 |
Connect Biopharma Holdings Limited Science and Technology Park East R&D Building, 3rd Floor 6 Beijing West Road, Taicang Jiangsu Province, China 215400 July 1, 2022 VIA EDGAR Ms. |
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| July 1, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Connect Biopharma Holdings Limited (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title(1) Fee Calculation or Carry Forward Rule Amount Registered(2) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial effective date Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to be paid Equity Ordinary shares, par value US$0. |
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| June 17, 2022 |
CORRESP 1 filename1.htm 12670 High Bluff Drive San Diego, California 92130 Tel: +1.858.523.5400 Fax: +1.858.523.5450 www.lw.com FIRM / AFFILIATE OFFICES Austin Moscow Beijing Munich Boston New York Brussels Orange County Century City Paris June 17, 2022 Chicago Riyadh Dubai San Diego Düsseldorf San Francisco Frankfurt Seoul VIA EDGAR Hamburg Shanghai Hong Kong Silicon Valley Ms. Jane Park Houston |
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| June 17, 2022 |
As filed with the Securities and Exchange Commission on June 17, 2022 Table of Contents As filed with the Securities and Exchange Commission on June 17, 2022 Registration No. |
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| June 17, 2022 |
6-K 1 d474156d6k.htm 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant’s name into English) Science and Technology Park East R&D Buil |
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| June 10, 2022 |
Jefferies Conference Presentation ? June 10, 2022 NASDAQ: CNTB DEVELOPING NEXT- GENERATION THERAPEUTICS FOR T CELL DRIVEN INFLAMMATORY DISEASES Exhibit 99. |
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| June 10, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) Science and Technology Park East R&D Building, 3 |
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| May 23, 2022 |
As filed with the Securities and Exchange Commission on May 20, 2022 Table of Contents As filed with the Securities and Exchange Commission on May 20, 2022 Registration No. |
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| May 20, 2022 |
12670 High Bluff Drive San Diego, California 92130 Tel: +1.858.523.5400 Fax: +1.858.523.5450 www.lw.com FIRM / AFFILIATE OFFICES Austin Moscow Beijing Munich Boston New York Brussels Orange County Century City Paris May 20, 2022 Chicago Riyadh Dubai San Diego Düsseldorf San Francisco Frankfurt Seoul VIA EDGAR Hamburg Shanghai Hong Kong Silicon Valley Houston Singapore Ms. Jane Park London Tel Aviv |
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| May 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) Science and Technology Park East R&D Building, 3rd Floor 6 Beijing |
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| May 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) Science and Technology Park East R&D Building, 3rd Floor 6 Beijing |
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| May 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) Science and Technology Park East R&D Building, 3rd Floor 6 Beijing |
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| May 3, 2022 |
CBP-307 Top-line Phase 2 Results in Ulcerative Colitis Exhibit 99.2 Forward-Looking Statements This presentation regarding Connect Biopharma Holdings Limited ("Connect," "we," "us" or "our") has been prepared solely for informational purposes. Certain information contained in this presentation relates to, or is based on, studies, publications, surveys and other data obtained from third-party sourc |
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| May 3, 2022 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Connect Biopharma Announces Week 12 Top-Line Results from Phase 2 CBP-307 Trial in Patients with Moderate-to-Severe Ulcerative Colitis ? Primary endpoint of change from baseline on adapted Mayo Score for CBP-307 0.2 mg once-daily, orally administered dose showed a numerical improvement, but did not achieve statistical significance ? Clinical Remission on adapted |
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| April 15, 2022 |
Powers of Attorney (included on signature page to the registration statement) Table of Contents As filed with the Securities and Exchange Commission on April 15, 2022 Registration No. |
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| April 15, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form F-3 (Form Type) Connect Biopharma Holdings Limited (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial effective date Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward Fees to be paid Equity Ordinary shares, par value US$0. |
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| April 15, 2022 |
Exhibit 1.2 Connect Biopharma Holdings Limited $150,000,000 of American Depositary Shares Each Representing One Ordinary Share (Par Value $0.000174 Per Share) SALES AGREEMENT April 15, 2022 SVB SECURITIES LLC 1301 Avenue of the Americas, 12th Floor New York, New York 10019 CANTOR FITZGERALD & CO. 499 Park Avenue New York, NY 10022 Ladies and Gentlemen: Connect Biopharma Holdings Limited, an exempt |
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| March 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) Science and Technology Park East R&D Building, 3rd Floor 6 Beijin |
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| March 31, 2022 |
Consent of PricewaterhouseCoopers Zhong Tian LLP, an independent registered public accounting firm. Exhibit 15.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in the Registration Statement on Form S-8 (No. 333-254524) of Connect Biopharma Holdings Limited of our report dated March 31, 2022 relating to the financial statements, which appears in this Form 20-F. /s/ PricewaterhouseCoopers Zhong Tian LLP Beijing, the People?s Republic of |
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| March 31, 2022 |
Principal Financial Officer Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. Exhibit 13.2 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the annual report of Connect Biopharma Holdings Limited (the “Company”) on Form 20-F for the year ended December 31, 2021, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Steven Chan, Chief Financial Office |
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| March 31, 2022 |
Principal Executive Officer Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. Exhibit 13.1 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the annual report of Connect Biopharma Holdings Limited (the “Company”) on Form 20-F for the year ended December 31, 2021, as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Zheng Wei, Chief Executive Officer |
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| March 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F ? REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT O |
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| March 31, 2022 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Connect Biopharma Reports Full Year 2021 Financial Results and Provides Business Update - Global Phase 3 Trial of CBP-201 in Moderate-to-Severe Atopic Dermatitis Expected to Commence in H2 2022 - - Topline Phase 2 CBP-307 Results in Moderate-to-Severe Ulcerative Colitis (UC) Expected to Be Reported in H1 2022 - - Cash Balance of RMB 1,706.9 million (USD 267.7 mil |
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| March 31, 2022 |
Non-Employee Director Compensation Program Exhibit 4.5 connect biopharma holdings limited NON-EMPLOYEE DIRECTOR COMPENSATION PROGRAM Eligible Directors (as defined below) on the board of directors (the ?Board?) of Connect Biopharma Holdings Limited (the ?Company?) shall be eligible to receive cash and equity compensation as set forth in this Non-Employee Director Compensation Program (this ?Program?). The cash and equity compensation descr |
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| March 31, 2022 |
Fifth Amended and Restated Memorandum and Articles of Association, as currently in effect Exhibit 1.1 THE COMPANIES ACT (AS REVISED) OF THE CAYMAN ISLANDS COMPANY LIMITED BY SHARES FIFTH AMENDED AND RESTATED MEMORANDUM OF ASSOCIATION OF CONNECT BIOPHARMA HOLDINGS LIMITED (adopted by a Special Resolution passed on March 12, 2021 and effective immediately prior to the completion of the initial public offering of the Company?s American Depositary Shares representing its Ordinary Shares) 1 |
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| March 31, 2022 |
Exhibit 4.12 House Lease Contract Lessor: Taicang Science and Technology Venture Park Co., Ltd. (hereinafter referred to as ?Party A?) Lessee: Suzhou Connect Biopharmaceuticals, Ltd. (hereinafter referred to as ?Party B?) In accordance with the ?Civil Code of the People's Republic of China? and relevant provisions, in order to define the rights and obligations of the Lessor and the Lessee, Party A |
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| March 31, 2022 |
Exhibit 4.13 LEASE BETWEEN PASEO DEL MAR LLC AND CONNECT BIOPHARM LLC LEASE (Short Form) THIS LEASE is made as of December 22, 2021 , by and between PASEO DEL MAR LLC, a Delaware limited liability company, hereafter called ?Landlord,? and CONNECT BIOPHARM LLC, a California limited liability company hereafter called ?Tenant.? ARTICLE 1. BASIC LEASE PROVISIONS Each reference in this Lease to the ?Ba |
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| March 31, 2022 |
Principal Executive Officer Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. Exhibit 12.1 CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Zheng Wei, certify that: 1. I have reviewed this annual report on Form 20-F of Connect Biopharma Holdings Limited; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, |
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| March 31, 2022 |
Principal Financial Officer Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. Exhibit 12.2 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Steven Chan, certify that: 1. I have reviewed this annual report on Form 20-F of Connect Biopharma Holdings Limited; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements mad |
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| March 31, 2022 |
Exhibit 2.5 Description of rights of securities registered under Section 12 of the Securities Exchange Act of 1934 (the ?Exchange Act?) American Depositary Shares (?ADSs?), each of which represents one ordinary share of Connect Biopharma Holdings Limited (?we,? ?us,? ?our company,? or ?our?), are listed and traded on the on the Nasdaq Global Market and, in connection with this listing (but not for |
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| March 31, 2022 |
Employment Letter, dated October 13, 2021, between Connect Biopharm LLC and Steven Chan Exhibit 4.10 October 13, 2021 Steven Chan Via Electronic Mail Re: Employment Terms Dear Steven: Connect Biopharm LLC (the ?Company? or ?Connect?) is pleased to offer you the position of Chief Financial Officer of the Company and its affiliates, on the following terms. As applicable, references to Company or Connect also include its affiliated entities. You will be responsible for fully contributin |
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| March 31, 2022 |
Employment Letter, dated November 2, 2021, between Connect Biopharm LLC and Chin Lee, M.D. Exhibit 4.11 November 2, 2021 Chin Lee Via Electronic Mail Re: Employment Terms Dear Chin: Connect Biopharm LLC (the ?Company? or ?Connect?) is pleased to offer you the position of Chief Medical Officer of the Company and its affiliates, on the following terms. As applicable, references to Company or Connect also include its affiliated entities. You will be responsible for providing medical and tr |
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| March 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) Science and Technology Park East R&D Building, 3rd Floor 6 Beijin |
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| February 25, 2022 |
CNTB / Connect Biopharma Holdings Limited / Wei Zheng - SC 13G Passive Investment Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to ? 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to ? 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Connect Biopharma Holdings Limited (Name of Issuer) Ordinary shares, par value $0.000174 per share (Title of Class |
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| February 25, 2022 |
CNTB / Connect Biopharma Holdings Limited / BioFortune Inc - SC 13G Passive Investment Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to ? 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to ? 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Connect Biopharma Holdings Limited (Name of Issuer) Ordinary shares, par value $0.000174 per share (Title of Class |
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| February 25, 2022 |
EX-99 2 d300001dex99.htm EX-99 Exhibit 99 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13G. Each of them is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of the i |
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| February 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of February 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) Science and Technology Park East R&D Building, 3rd Floor 6 Bei |
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| February 16, 2022 |
Leerink Conference Presentation ? February 2022 NASDAQ: CNTB DEVELOPING NEXT-GENERATION THERAPEUTICS FOR T CELL DRIVEN INFLAMMATORY DISEASES Exhibit 99. |
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| February 15, 2022 |
CNTB / Connect Biopharma Holdings Limited / Advantech Capital II L.P. - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* CONNECT BIOPHARMA HOLDINGS LIMITED (Name of Issuer) Ordinary shares, par value US$0.000174 per share (Title of Class of Securities) 207523101** (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| February 15, 2022 |
EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the ordinary shares of Connect Biopharma Holdings Ltd. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G. Each of the undersigned acknowledges that each shall be responsible for the timely fili |
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| February 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* Connect Biopharma Holdings Limited (Name of Issuer) Ordinary shares, par value US$0.000174 per share (Title of Class of Securities) 207523101** (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate |
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| January 5, 2022 |
Exhibit 99.2 C B P - 2 0 1 -WW001 G l o b a l P h a s e 2 b T r i a l i n A t o p i c D e r m a t i t i s T o p l i n e R e s u l t s NEXT-GENERATION THERAPEUTICS FOR T CELL-DRIVEN INFLAMMATORY DISEASES th Conference Call - 5 January 2022 2 2 Forward-Looking Statements ? This presentation regarding Connect Biopharma Holdings Limited ( Connect, we, us or our ) has been prepared solely for informati |
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| January 5, 2022 |
Exhibit 99.1 Connect Biopharma Reports Detailed Positive Dataset from the Global Phase 2b Trial of CBP-201 in Adult Patients with Moderate-to-Severe Atopic Dermatitis ?Phase 2b trial previously reported achievement of both primary and key secondary end points, demonstrating significant improvements in skin clearance, disease severity, and itch compared to placebo? ?Additional analyses demonstrate |
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| January 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2022 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) Science and Technology Park East R&D Building, 3rd Floor 6 Beij |
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| November 22, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2021 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) Science and Technology Park East R&D Building, 3rd Floor 6 Bei |
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| November 19, 2021 |
Exhibit 99.1 Connect Biopharma Completes Enrollment of CBP-307 Global Phase 2 Clinical Trial in Moderate-to-Severe Ulcerative Colitis SAN DIEGO, CA and TAICANG, SUZHOU, China, Nov. 19, 2021 ? Connect Biopharma Holdings Limited (Nasdaq: CNTB) (?Connect Biopharma? or the ?Company?), a global clinical-stage biopharmaceutical company dedicated to improving the lives of patients with chronic inflammato |
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| November 19, 2021 |
6-K 1 d66201d6k.htm 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2021 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant’s name into English) Science and Technology Park East R&D B |
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| November 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2021 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) Science and Technology Park East R&D Building, 3rd Floor 6 Bei |
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| November 19, 2021 |
Exhibit 99.1 Connect Biopharma Reports Positive Top-Line Results from the Global Phase 2 Clinical Trial of CBP-201 in Patients with Moderate-to-Severe Atopic Dermatitis Primary endpoint met with all three CBP-201 arms achieving significant improvements Significant improvements also reported for key secondary endpoints including other measures of skin clearance and itch with CBP-201 300mg every two |
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| September 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2021 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant’s name into English) Science and Technology Park East R&D Building, 3rd Floor 6 Be |
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| September 8, 2021 |
Exhibit 99.1 Connect Biopharma Announces First Subject Dosed in Phase 2 Trial Evaluating CBP-201 in Adult Patients with Chronic Rhinosinusitis with Nasal Polyps SAN DIEGO, CA and TAICANG, SUZHOU, China ? September 8th 2021 ? Connect Biopharma Holdings Limited (Nasdaq: CNTB) (?Connect Biopharma? or the ?Company?), a global clinical-stage biopharmaceutical company dedicated to improving the lives of |
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| September 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2021 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) Science and Technology Park East R&D Building, 3rd Floor 6 Be |
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| September 2, 2021 |
Exhibit 99.1 Connect Biopharma Announces First Patient Dosed in China Pivotal Trial Evaluating CBP-201 in Adults with Moderate-to-Severe Atopic Dermatitis SAN DIEGO, CA and TAICANG, SUZHOU, China ? September 2nd 2021 ? Connect Biopharma Holdings Limited (Nasdaq: CNTB) (?Connect Biopharma? or the ?Company?), a global clinical-stage biopharmaceutical company dedicated to improving the lives of patie |
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| August 31, 2021 |
MANAGEMENT’S DISCUSSIONS AND ANALYSIS OF FINANCIAL CONDITIONS AND RESULTS OF OPERATIONS Exhibit 99.2 MANAGEMENT?S DISCUSSIONS AND ANALYSIS OF FINANCIAL CONDITIONS AND RESULTS OF OPERATIONS You should read the following discussion and analysis of our financial condition and results of operations in conjunction with our unaudited interim condensed consolidated financial statements, including the notes thereto, included with this report and our audited financial statements included in o |
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| August 31, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2021 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) Science and Technology Park East R&D Building, 3rd Floor 6 Beiji |
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| August 31, 2021 |
Exhibit 99.1 CONNECT BIOPHARMA HOLDINGS LIMITED INDEX TO THE UNAUDITED INTERIM CONDENSED CONSOLIDATED FINANCIAL STATEMENTS Page Unaudited Interim Condensed Consolidated Statements of Loss for the six months ended June 30, 2020 and 2021 2 Unaudited Interim Condensed Consolidated Statements of Comprehensive Loss for the six months ended June 30, 2020 and 2021 3 Unaudited Interim Condensed Consolidat |
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| August 31, 2021 |
Exhibit 99.3 Connect Biopharma Provides Business Update and Reports First Half 2021 Financial Results - On Track to Report CBP-201 Phase 2B Top-Line Data Evaluating Moderate-to-Severe Atopic Dermatitis (AD) in Q4 of 2021 - - Cash Balance of RMB 2,025.0 Million (USD 313.5 Million) at June 30, 2021 - SAN DIEGO, CA and TAICANG, SUZHOU, China ? August 31, 2021 ? Connect Biopharma Holdings Limited (Nas |
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| August 27, 2021 |
6-K 1 d206243d6k.htm 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2021 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant’s name into English) Science and Technology Park East R&D Bu |
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| June 16, 2021 |
6-K 1 d194451d6k.htm 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2021 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant’s name into English) Science and Technology Park East R&D Buil |
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| June 7, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* CONNECT BIOPHARMA HOLDINGS LIMITED (Name of Issuer) Ordinary shares, par value $0.000174 per share (Title of Class of Securities) 207523101** (CUSIP Number) RA Capital Management, L.P. 200 Berkeley Street, 18th Floor Boston, MA 02116 Attn: Peter Kolchinsky Telephone: |
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| June 3, 2021 |
Exhibit 99.1 Connect Biopharma Announces First Subject Dosed in Phase I Trial Evaluating Safety, Tolerability and Pharmacokinetic Profile of CBP-174 in Healthy Adult Subjects Development program exploring the potential of CBP-174 in the treatment of chronic inflammatory pruritus SAN DIEGO and TAICANG, SUZHOU, China, May 25, 2021 (GLOBE NEWSWIRE) ? Connect Biopharma Holdings Limited (Nasdaq: CNTB) |
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| June 3, 2021 |
Exhibit 99.2 DEVELOPING NEXT-GENERATION THERAPEUTICS FOR T CELL DRIVEN INFLAMMATORY DISEASES Corporate Presentation - June 2021 NASDAQ: CNTBExhibit 99.2 DEVELOPING NEXT-GENERATION THERAPEUTICS FOR T CELL DRIVEN INFLAMMATORY DISEASES Corporate Presentation - June 2021 NASDAQ: CNTB 2 Forward-Looking Statements ? Certain information contained in this presentation relates to, or is based on, studies, |
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| June 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2021 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) Science and Technology Park East R&D Building, 3rd Floor 6 Beijing |
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| May 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2021 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant?s name into English) Science and Technology Park East R&D Building, 3rd Floor 6 Beijing |
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| May 17, 2021 |
Connect Biopharma Announces First Exhibit 99.1 Connect Biopharma Announces First Patient Dosed in Phase 2 Trial Evaluating CBP-201 in Adults with Moderate-to-Severe Persistent Asthma SAN DIEGO and TAICANG, China, May 12, 2021 (GLOBE NEWSWIRE) ? Connect Biopharma Holdings Limited (Nasdaq: CNTB) (?Connect Biopharma? or the ?Company?), a global clinical-stage biopharmaceutical company dedicated to improving the lives of patients with |
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| May 11, 2021 |
Current Report of Foreign Issuer - 6-K 6-K 1 d507119d6k.htm 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2021 Commission File Number: 001-40212 Connect Biopharma Holdings Limited (Translation of registrant’s name into English) Science and Technology Park East R&D Build |
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| March 29, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment )* CONNECT BIOPHARMA HOLDINGS LIMITED (Name of Issuer) Ordinary shares, par value $0.000174 per share (Title of Class of Securities) 207523101** (CUSIP Number) RA Capital Management, L.P. 200 Berkeley Street, 18th Floor Boston, MA 02116 Attn: Peter Kolchinsky Telephone: 617.7 |
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| March 29, 2021 |
Exhibit 1 JOINT FILING AGREEMENT This Joint Filing Agreement, dated as of March 29, 2021, is by and among RA Capital Management, L. |
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| March 19, 2021 |
As filed with the Securities and Exchange Commission on March 19, 2021 Registration No. |
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| March 19, 2021 |
Exhibit 4.3 DEPOSIT AGREEMENT by and among CONNECT BIOPHARMA HOLDINGS LIMITED as Issuer, DEUTSCHE BANK TRUST COMPANY AMERICAS as Depositary, AND THE HOLDERS AND BENEFICIAL OWNERS OF AMERICAN DEPOSITARY SHARES EVIDENCED BY AMERICAN DEPOSITARY RECEIPTS ISSUED HEREUNDER Dated as of March 18, 2021 DEPOSIT AGREEMENT DEPOSIT AGREEMENT, dated as of March 18, 2021, by and among (i) Connect Biopharma Holdi |
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| March 19, 2021 |
11,250,000 American Depositary Shares Representing 11,250,000 Ordinary Shares Table of Contents Filed Pursuant to Rule 424(b)(4) Registration No. 333-253631 Registration No. 333-254476 PROSPECTUS 11,250,000 American Depositary Shares Representing 11,250,000 Ordinary Shares This is an initial public offering of American Depositary Shares, or ADSs, of Connect Biopharma Holdings Limited. We are selling 11,250,000 ADSs, representing 11,250,000 ordinary shares. Each ADS represen |
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| March 18, 2021 |
Opinion of Latham & Watkins LLP regarding certain US tax matters Exhibit 8.3 355 South Grand Avenue, Suite 100 Los Angeles, California 90071-1560 Tel: +1.213.485.1234 Fax: +1.213.891.8763 www.lw.com FIRM / AFFILIATE OFFICES Beijing Moscow Boston Munich Brussels New York Century City Orange County Chicago Paris Dubai Riyadh D?sseldorf San Diego Frankfurt San Francisco Hamburg Seoul Hong Kong Shanghai Houston Silicon Valley London Singapore Los Angeles Tokyo Madr |
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| March 18, 2021 |
Table of Contents As filed with the Securities and Exchange Commission on March 18, 2021 Registration No. |
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| March 18, 2021 |
As filed with the Securities and Exchange Commission on March 18, 2021 Registration No. |
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| March 17, 2021 |
EX-10.3 4 d295873dex103.htm EX-10.3 Exhibit 10.3 CONNECT BIOPHARMA HOLDINGS LIMITED 2021 STOCK INCENTIVE PLAN 1. Purposes of the Plan. The purposes of this Plan are to attract and retain the best available personnel, to provide additional incentives to Employees, Directors and Consultants and to promote the success of the Company’s business. 2. Definitions. The following definitions shall apply as |
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| March 17, 2021 |
March 17, 2021 VIA EDGAR Ms. Ada D. Sarmento Office of Life Sciences Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 12670 High Bluff Drive San Diego, California 92130 Tel: +1.858.523.5400 Fax: +1.858.523.5450 www.lw.com FIRM / AFFILIATE OFFICES Beijing Moscow Boston Munich Brussels New York Century City Orange County Chicago Paris D |
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| March 17, 2021 |
Opinion of Han Kun Law Offices regarding certain PRC tax matters (included in Exhibit 99.2) Exhibit 99.2 33/F, HKRI Centre Two, HKRI Taikoo Hui, 288 Shimen Road (No. 1), Jing?an District Shanghai 200041, PRC Tel: +86 21 6080 0909 Fax: +86 21 6080 0999 Beijing ? Shanghai ? Shenzhen ? Hong Kong www.hankunlaw.com March 17, 2021 To: Connect Biopharma Holdings Limited (the ?Company?) Science and Technology Park, East R&D Building, 3rd Floor 6 Beijing West Road, Taicang, Jiangsu Province, Chin |
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| March 17, 2021 |
Opinion of Latham & Watkins LLP regarding certain US tax matters Exhibit 8.3 355 South Grand Avenue, Suite 100 Los Angeles, California 90071-1560 Tel: +1.213.485.1234 Fax: +1.213.891.8763 www.lw.com FIRM / AFFILIATE OFFICES Beijing Moscow Boston Munich Brussels New York Century City Orange County Chicago Paris Dubai Riyadh D?sseldorf San Diego Frankfurt San Francisco Hamburg Seoul Hong Kong Shanghai Houston Silicon Valley London Singapore Los Angeles Tokyo Madr |
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| March 17, 2021 |
As filed with the Securities and Exchange Commission on March 17, 2021 Registration No. |
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| March 16, 2021 |
Connect Biopharma Holdings Limited Science and Technology Park East R&D Building, 3rd Floor 6 Beijing West Road, Taicang Jiangsu Province, China 215400 March 16, 2021 VIA EDGAR Ms. |
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| March 16, 2021 |
Jefferies LLC 520 Madison Avenue New York, New York 10022 SVB Leerink LLC 255 California Street, 12th Floor San Francisco, California 94111 Piper Sandler & Co. |
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| March 12, 2021 |
Opinion of Han Kun Law Offices regarding certain PRC tax matters (included in Exhibit 99.2) Exhibit 99.2 March 12, 2021 To: Connect Biopharma Holdings Limited (the ?Company?) Science and Technology Park, East R&D Building, 3rd Floor 6 Beijing West Road, Taicang, Jiangsu Province, China Dear Sirs or Madams: We are lawyers qualified in the People?s Republic of China (the ?PRC? or ?China?, which, for purposes of this opinion only, does not include the Hong Kong Special Administrative Region |
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| March 12, 2021 |
Exhibit 4.2 DEPOSIT AGREEMENT by and among CONNECT BIOPHARMA HOLDINGS LIMITED as Issuer, DEUTSCHE BANK TRUST COMPANY AMERICAS as Depositary, AND THE HOLDERS AND BENEFICIAL OWNERS OF AMERICAN DEPOSITARY SHARES EVIDENCED BY AMERICAN DEPOSITARY RECEIPTS ISSUED HEREUNDER Dated as of March [?], 2021 DEPOSIT AGREEMENT DEPOSIT AGREEMENT, dated as of March [?], 2021, by and among (i) Connect Biopharma Hol |
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| March 12, 2021 |
Specimen Certificate for Ordinary Shares Exhibit 4.1 Connect Biopharma Holdings Limited - Ordinary Shares (Incorporated under the laws of the Cayman Islands) Number Shares Share Capital is US$76,560 divided into (i) 400,000,000 Ordinary Shares of a nominal or par value of US$0.000174 each (ii) 40,000,000 Preferred Shares of a nominal or par value of US$0.000174 each THIS IS TO CERTIFY THAT is the registered holder of Ordinary Shares in t |
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| March 12, 2021 |
2021 Employee Share Purchase Plan Exhibit 10.4 CONNECT BIOPHARMA HOLDINGS LIMITED 2021 EMPLOYEE SHARE PURCHASE PLAN ARTICLE I. PURPOSE The purpose of this Plan is to assist Eligible Employees of the Company and its Designated Subsidiaries in acquiring a share ownership interest in the Company. The Plan consists of two components: (i) the Section 423 Component and (ii) the Non-Section 423 Component. The Section 423 Component is int |
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| March 12, 2021 |
Form of Indemnification Agreement, between the Registrant and its directors and executive officers Exhibit 10.2 FORM OF INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (the ?Agreement?) is made and entered into this , 2021, between Connect Biopharma Holdings Limited, a Cayman Islands company (the ?Company?), and (the ?Indemnitee?). A. The Company and the Indemnitee recognize the continued difficulty in obtaining liability insurance for corporate directors, officers, employees, controll |
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| March 12, 2021 |
EX-4 2 a21-12ex-4.htm EX. (A) FORM OF DEPOSIT AGREEMENT DEPOSIT AGREEMENT by and among CONNECT BIOPHARMA HOLDINGS LIMITED as Issuer, DEUTSCHE BANK TRUST COMPANY AMERICAS as Depositary, AND THE HOLDERS AND BENEFICIAL OWNERS OF AMERICAN DEPOSITARY SHARES EVIDENCED BY AMERICAN DEPOSITARY RECEIPTS ISSUED HEREUNDER Dated as of March [●], 2021 DEPOSIT AGREEMENT DEPOSIT AGREEMENT, dated as of March [●], |
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| March 12, 2021 |
Code of Business Conduct and Ethics of the Registrant Exhibit 99.1 CONNECT BIOPHARMA HOLDINGS LIMITED CODE OF BUSINESS CONDUCT AND ETHICS I. INTRODUCTION A. Purpose This Code of Business Conduct and Ethics (the ?Code?) contains general guidelines for conducting the business of Connect Biopharma Holdings Limited (the ?Company? or ?we?) consistent with the highest standards of business ethics. To the extent this Code requires a higher standard than req |
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| March 12, 2021 |
Table of Contents As filed with the Securities and Exchange Commission on March 12, 2021 Registration No. |
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| March 12, 2021 |
Exhibit 3.2 THE COMPANIES ACT (AS REVISED) OF THE CAYMAN ISLANDS COMPANY LIMITED BY SHARES FIFTH AMENDED AND RESTATED MEMORANDUM OF ASSOCIATION OF CONNECT BIOPHARMA HOLDINGS LIMITED (adopted by a Special Resolution passed on 2021 and effective immediately prior to the completion of the initial public offering of the Company?s American Depositary Shares representing its Ordinary Shares) 1. The name |
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| March 12, 2021 |
Form of Underwriting Agreement EX-1.1 2 d295873dex11.htm EX-1.1 Exhibit 1.1 Connect Biopharma Holdings Limited [•] American Depositary Shares Representing [•] Ordinary Shares (Par Value $0.000174 Per Share) UNDERWRITING AGREEMENT [•], 2021 JEFFERIES LLC SVB LEERINK LLC PIPER SANDLER & CO. CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED As Representatives of the several Underwriters c/o JEFFERIES LLC 520 Mad |
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| March 12, 2021 |
8-A12B 1 d154885d8a12b.htm 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 CONNECT BIOPHARMA HOLDINGS LIMITED (Exact name of registrant as specified in its charter) Cayman Islands Not Applicable (State or other jurisdiction of incorporati |
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| March 12, 2021 |
Exhibit 10.3 CONNECT BIOPHARMA HOLDINGS LIMITED 2021 STOCK INCENTIVE PLAN 1. Purposes of the Plan. The purposes of this Plan are to attract and retain the best available personnel, to provide additional incentives to Employees, Directors and Consultants and to promote the success of the Company?s business. 2. Definitions. The following definitions shall apply as used herein and in the individual A |
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| March 12, 2021 |
As filed with the Securities and Exchange Commission on March 12, 2021 Registration No. |
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| March 9, 2021 |
12670 High Bluff Drive San Diego, California 92130 Tel: +1.858.523.5400 Fax: +1.858.523.5450 www.lw.com FIRM / AFFILIATE OFFICES March 9, 2021 VIA EDGAR Ms. Ada D. Sarmento Office of Life Sciences Division of Corporation Finance U.S. Securities and Exchange Commission Beijing Boston Brussels Century City Chicago Dubai D?sseldorf Frankfurt Hamburg Hong Kong Houston London Los Angeles Madrid Milan M |
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| March 8, 2021 |
FOIA Confidential Treatment Requested Under 17 C.F.R. § 200.83 140 Scott Drive Menlo Park, California 94025 Tel: +1.650.328.4600 Fax: +1.650.463.2600 www.lw.com FIRM / AFFILIATE OFFICES Abu Dhabi Milan Barcelona Moscow Beijing Munich Boston New Jersey Brussels New York Century City Orange County Chicago Paris March 8, 2021 Dubai Riyadh D?sseldorf Rome Frankfurt San Diego Hamburg San Francisco Hong Kong Shanghai Houston Silicon Valley London Singapore Los Ange |
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| February 26, 2021 |
Exhibit 10.12 EXECUTION VERSION February 26, 2021 CONNECT BIOPHARMA HONGKONG LIMITED and WUBIN PAN EXECUTIVE EMPLOYMENT AGREEMENT CONTENTS Clause Page 1. DEFINITIONS 1 2. DATE OF COMMENCEMENT AND DURATION 4 3. APPOINTMENT AND DUTIES 5 4. MOBILITY 5 5. REMUNERATION AND OTHER BENEFITS 5 6. CONFIDENTIAL INFORMATION 8 7. RECEIPT OF PAYMENTS AND BENEFITS FROM THIRD PARTIES 9 8. EARLY TERMINATION OF APP |
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| February 26, 2021 |
Exhibit 4.4 SECOND AMENDED AND RESTATED SHAREHOLDERS AGREEMENT This SECOND AMENDED AND RESTATED SHAREHOLDERS AGREEMENT (this ?Agreement?) is entered into on December 1, 2020 by and among: 1. Connect Biopharma Holdings Limited, an exempted company incorporated under the laws of the Cayman Islands (the ?Company?); 2. Connect Biopharma Hong Kong Limited, a limited liability company incorporated under |
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| February 26, 2021 |
Exhibit 10.14 January 19, 2021 Selwyn Ho Via electronic delivery Re: Employment Terms Dear Selwyn: Connect Biopharm LLC (the ?Company?), a wholly-owned subsidiary of Connect Biopharma Holdings Limited (?Parent?), is pleased to offer you the position of Senior Vice President of Corporate Development and Chief Business Officer, on the following terms. The Company will work with you to file an applic |
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| February 26, 2021 |
Exhibit 10.10 House Lease Contract Lessor: Taicang Science and Technology Venture Park Co., Ltd. (hereinafter referred to as ?Party A?) Lessee: Suzhou Connect Biopharmaceuticals, Ltd. (hereinafter referred to as ?Party B?) In accordance with the ? Contract Law of the People?s Republic of China? and relevant provisions, in order to define the rights and obligations of the Lessor and the Lessee, Par |
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| February 26, 2021 |
EX-21.1 17 d295873dex211.htm EX-21.1 Exhibit 21.1 List of Principal Subsidiaries of the Registrant Wholly Owned Subsidiary Place of Incorporation Connect Biopharma HongKong Limited Hong Kong Connect Biopharm LLC United States Connect Biopharma Australia PTY LTD Australia Suzhou Connect Biopharma Co., Ltd. People’s Republic of China Connect Biopharma (Beijing), Ltd People’s Republic of China Connec |
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| February 26, 2021 |
Opinion of Han Kun Law Offices regarding certain PRC tax matters (included in Exhibit 99.2) Exhibit 99.2 February 26, 2021 To: Connect Biopharma Holdings Limited (the ?Company?) Science and Technology Park, East R&D Building, 3rd Floor 6 Beijing West Road, Taicang, Jiangsu Province, China Dear Sirs or Madams: We are lawyers qualified in the People?s Republic of China (the ?PRC? or ?China?, which, for purposes of this opinion only, does not include the Hong Kong Special Administrative Reg |
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| February 26, 2021 |
Exhibit 10.13 Employment Contract (Full-time) Name of Party A (Employer): Suzhou Connect Biopharmaceuticals, Ltd. Address: No. 6 West Beijing Road, Taicang Economic Development Area Legal Representative (or Main Person in Charge): WUBIN PAN Name of Party B (Employee): Lei Sun Gender: Male [seal:] Suzhou Connect Biopharmaceuticals, Ltd. 3205851966705 Prepared and Printed by Taicang Municipal Labor |
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| February 26, 2021 |
Connect Biopharma Holdings Limited 2019 Stock Incentive Plan Exhibit 10.1 Connect Biopharma Holdings Limited 2019 STOCK INCENTIVE PLAN 1. Purposes of the Plan. The purposes of this Plan are to attract and retain the best available personnel, to provide additional incentives to Employees, Directors and Consultants and to promote the success of the Company?s business. 2. Definitions. The following definitions shall apply as used herein and in the individual A |
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| February 26, 2021 |
Exhibit 10.7 [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and would likely cause competitive harm to the registrant if publicly disclosed. AMENDMENT #2 TO EXCLUSIVE LICENSE AGREEMENT This Amendment #2 (this ?Amendment?) is entered into as of February 23, 2018 (the ?Amendment Effective Date?) by a |
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| February 26, 2021 |
Exhibit 10.8 [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and would likely cause competitive harm to the registrant if publicly disclosed AMENDMENT #3 TO EXCLUSIVE LICENSE AGREEMENT This Amendment #3 (this ?Amendment?) is entered into as of November 19, 2020 (the ?Amendment Effective Date?), by a |
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| February 26, 2021 |
Exhibit 10.9 House Lease Contract Lessor: Taicang Science and Technology Venture Park Co., Ltd. (hereinafter referred to as ?Party A?) Lessee: Suzhou Connect Biopharmaceuticals, Ltd. (hereinafter referred to as ?Party B?) In accordance with the ?Contract Law of the People?s Republic of China? and relevant provisions, in order to define the rights and obligations of the Lessor and the Lessee, Party |
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| February 26, 2021 |
Exhibit 10.6 [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and would likely cause competitive harm to the registrant if publicly disclosed. October 15, 2015 Dr. Zheng Wei Connect Biopharm LLC 4128 Via Candidiz, Suite 145 San Diego CA 92130 Re: Notice of Intention to Cease Prosecution of All Nation |
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| February 26, 2021 |
Fourth Amended and Restated Memorandum and Articles of Association, as currently in effect Exhibit 3.1 THE COMPANIES LAW (AS AMENDED) OF THE CAYMAN ISLANDS COMPANY LIMITED BY SHARES FOURTH AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION OF Connect Biopharma Holdings Limited (adopted by a special resolution passed on December 1, 2020) THE COMPANIES LAW (AS AMENDED) OF THE CAYMAN ISLANDS COMPANY LIMITED BY SHARES FOURTH AMENDED AND RESTATED MEMORANDUM OF ASSOCIATION OF Connect |
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| February 26, 2021 |
Powers of Attorney (included on signature page to the registration statement) Table of Contents As filed with the Securities and Exchange Commission on February 26, 2021 Registration No. |
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| February 26, 2021 |
Exhibit 10.5 [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and would likely cause competitive harm to the registrant if publicly disclosed. EXCLUSIVE LICENSE AGREEMENT THIS EXCLUSIVE LICENSE AGREEMENT (the ?Agreement?) is entered into as of June 19, 2012 (the ?Effective Date?) by and between ARENA |
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| February 26, 2021 |
EX-10.11 12 d295873dex1011.htm EX-10.11 Exhibit 10.11 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Connect Biopharm LLC (the “Company”) and its affiliates (the “Company Group”), and Dr. Zheng Wei (“Executive”), and shall be effective as of January 1, 2021 (the “Effective Date”). WHEREAS, the Company desires to employ Executive, and Executive desi |
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| February 26, 2021 |
Exhibit 10.15 CONTRACT OF EMPLOYMENT This statement provides details of the terms and conditions of employment with Globalization Partners Limited (the ?Company?) and Selwyn Ho (?you? or ?your?). In this statement the terms ?Group Companies? means the Company and any holding company or any parent company or any subsidiary or subsidiary undertaking of the Company or such companies, as such terms ar |
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| February 16, 2021 |
Table of Contents As confidentially submitted to the Securities and Exchange Commission on February 16, 2021 as Amendment No. |
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| February 16, 2021 |
12670 High Bluff Drive San Diego, California 92130 Tel: +1.858.523.5400 Fax: +1.858.523.5450 www.lw.com FIRM / AFFILIATE OFFICES Beijing Moscow Boston Munich Brussels New York Century City Orange County Chicago Paris Dubai Riyadh February 16, 2021 D?sseldorf San Diego VIA EDGAR Ms. Ada D. Sarmento Office of Life Sciences Division of Corporation Finance U.S. Securities and Exchange Commission 100 F |
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| January 26, 2021 |
Exhibit 10.8 [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and would likely cause competitive harm to the registrant if publicly disclosed AMENDMENT #3 TO EXCLUSIVE LICENSE AGREEMENT This Amendment #3 (this ?Amendment?) is entered into as of November 19, 2020 (the ?Amendment Effective Date?), by a |
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| January 26, 2021 |
Exhibit 10.5 [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and would likely cause competitive harm to the registrant if publicly disclosed. EXCLUSIVE LICENSE AGREEMENT THIS EXCLUSIVE LICENSE AGREEMENT (the ?Agreement?) is entered into as of June 19, 2012 (the ?Effective Date?) by and between ARENA |
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| January 26, 2021 |
12670 High Bluff Drive San Diego, California 92130 Tel: +1.858.523.5400 Fax: +1.858.523.5450 www.lw.com FIRM / AFFILIATE OFFICES January 26, 2021 VIA EDGAR Ms. Ada D. Sarmento Office of Life Sciences Division of Corporation Finance U.S. Securities and Exchange Commission Beijing Boston Brussels Century City Chicago Dubai D?sseldorf Frankfurt Hamburg Hong Kong Houston London Los Angeles Madrid Mila |
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| January 26, 2021 |
Exhibit 10.6 [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and would likely cause competitive harm to the registrant if publicly disclosed. October 15, 2015 Dr. Zheng Wei Connect Biopharm LLC 4128 Via Candidiz, Suite 145 San Diego CA 92130 Re: Notice of Intention to Cease Prosecution of All Nation |
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| January 26, 2021 |
Table of Contents As confidentially submitted to the Securities and Exchange Commission on January 26, 2021 as Amendment No. |
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| January 26, 2021 |
Exhibit 10.7 [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and would likely cause competitive harm to the registrant if publicly disclosed. AMENDMENT #2 TO EXCLUSIVE LICENSE AGREEMENT This Amendment #2 (this ?Amendment?) is entered into as of February 23, 2018 (the ?Amendment Effective Date?) by a |
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| December 17, 2020 |
Exhibit 10.7 House Lease Contract Lessor: Taicang Science and Technology Venture Park Co., Ltd. (hereinafter referred to as ?Party A?) Lessee: Suzhou Connect Biopharmaceuticals, Ltd. (hereinafter referred to as ?Party B?) In accordance with the ? Contract Law of the People?s Republic of China? and relevant provisions, in order to define the rights and obligations of the Lessor and the Lessee, Part |
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| December 17, 2020 |
Table of Contents As confidentially submitted to the Securities and Exchange Commission on December 17, 2020 Registration No. |
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| December 17, 2020 |
Exhibit 10.6 House Lease Contract Lessor: Taicang Science and Technology Venture Park Co., Ltd. (hereinafter referred to as ?Party A?) Lessee: Suzhou Connect Biopharmaceuticals, Ltd. (hereinafter referred to as ?Party B?) In accordance with the ?Contract Law of the People?s Republic of China? and relevant provisions, in order to define the rights and obligations of the Lessor and the Lessee, Party |
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| December 17, 2020 |
Exhibit 3.1 THE COMPANIES LAW (AS AMENDED) OF THE CAYMAN ISLANDS COMPANY LIMITED BY SHARES FOURTH AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION OF Connect Biopharma Holdings Limited (adopted by a special resolution passed on December 1, 2020) THE COMPANIES LAW (AS AMENDED) OF THE CAYMAN ISLANDS COMPANY LIMITED BY SHARES FOURTH AMENDED AND RESTATED MEMORANDUM OF ASSOCIATION OF Connect |
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| December 17, 2020 |
SECOND AMENDED AND RESTATED SHAREHOLDERS AGREEMENT Exhibit 4.4 SECOND AMENDED AND RESTATED SHAREHOLDERS AGREEMENT This SECOND AMENDED AND RESTATED SHAREHOLDERS AGREEMENT (this ?Agreement?) is entered into on December 1, 2020 by and among: 1. Connect Biopharma Holdings Limited, an exempted company incorporated under the laws of the Cayman Islands (the ?Company?); 2. Connect Biopharma Hong Kong Limited, a limited liability company incorporated under |
