股权与发行 - 公司拟公开发售6,935,579股普通股[7] - 出售股东将转售多种情形下普通股，系列E、F权证分别可发行2,050,000股，行使价1.13美元/股[8] - Ladenburg在公开发行配售交易中获221,893股普通股，行使价2.1125美元/股[8] - Ladenburg在公开发行及私募配售交易中获102,500股普通股，行使价1.25美元/股[8] - 系列D权证可发行1,069,800股普通股，行使价1.52美元/股[8] - 向Dr. Ronald Rigor发行698,812股普通股[8] - 本次发行前公司普通股流通股数为20,647,255股，发行后预计为27,582,834股[50] - 行使已发行认股权证最多可发行3484258股普通股，加权平均行使价格为每股1.76美元[56] - 行使已发行股票期权最多可发行908735股普通股，加权平均行使价格为每股18.84美元[56] - 2023年股权奖励计划预留最多118692股普通股以供未来发行[56] - 行使公开认股权证最多可发行115万股普通股，行使价格为每股115美元[56] - 行使私募认股权证最多可发行191217股普通股，行使价格为每股115美元[56] - 根据远期购买协议最多可发行66000股普通股[56] 财务状况 - 2024年12月9日，公司普通股在NYSE American LLC的最后报告售价为1.93美元/股[11] - 截至2024年9月30日和2023年12月31日，公司累计亏损分别约为1.176亿美元和9960万美元[54] - 2023年和2022年，公司净亏损分别约为2920万美元和2540万美元[54] - 2024年第三季度和前九个月，公司净亏损分别约为510万美元和1810万美元[54] 未来展望 - 公司未来需筹集大量额外资金，否则可能影响产品开发或停止运营[34][66] - 公司预计可预见未来将持续亏损，且无产品获批商业销售，未从产品销售获得任何收入[39] 产品研发与风险 - 公司业务高度依赖CLD - 101、CLD - 201和CLD - 400，无法获批和商业化将严重损害业务[35][76] - CLD - 101（新诊断HGG）处于开发早期，仅在一期医师发起的临床试验中对有限患者使用，结果可能无法预测后续试验结果[76] - 产品候选药物开发面临临床失败、审批困难、市场接受度低等多种风险[78][101] 市场与竞争 - 公司面临来自大型药企、生物技术公司等多方面竞争，部分竞争对手有相似科学方法，且很多对手资源和专业知识更丰富[105] 其他风险 - 公司作为新兴成长公司，可享受多项报告要求豁免，至特定条件满足时结束[46][48] - 大量股票出售、可转换本票强制转换等可能使股价大幅下跌[42][43] - 公司市场交易清淡、股价可能波动，若不遵守纽交所持续上市标准，普通股可能被摘牌[44][45] - 公司业务受医疗改革、法规政策、数据安全等多方面因素影响，存在合规风险[144][172] - 公司未来成功依赖关键高管和合格人员的吸引、保留和激励，失去他们会阻碍业务目标实现[182][184] - 公司内部计算机系统或第三方系统可能故障或遭安全漏洞，导致产品开发计划中断和成本增加[187] - 公司可能面临产品责任索赔，若无法成功辩护，将承担巨额赔偿或限制产品商业化[200]

As filed with the Securities and Exchange Commission on April 15, 2024. Registration No. 333-276741 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 5TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Calidi Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) (State or other jurisdiction of incorporation or organization) (Primary Standard Industrial Delaware 2834 86-2967193 (I.R.S. Employer Identification No.) 4475 Executive Driv ...

As filed with the Securities and Exchange Commission on January 29, 2024. Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Calidi Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) (State or other jurisdiction of incorporation or organization) (Primary Standard Industrial Classification Code Number) Delaware 2834 86-2967193 4475 Executive Drive, Suite 200, (I.R.S. Employer Ident ...

As filed with the Securities and Exchange Commission on January 16, 2024. Registration No. 333-274885 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 3 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Calidi Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) (State or other jurisdiction of incorporation or organization) Delaware 2834 86-2967193 (Primary Standard Industrial Classification Code Number) (I.R.S. Employer Identifi ...

As filed with the Securities and Exchange Commission on January 8, 2024. Registration No. 333-274885 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Calidi Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) (State or other jurisdiction of incorporation or organization) Delaware 2834 86-2967193 (Primary Standard Industrial Classification Code Number) (I.R.S. Employer Identific ...

As filed with the Securities and Exchange Commission on October 6, 2023. Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Calidi Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) (State or other jurisdiction of incorporation or organization) (Primary Standard Industrial Classification Code Number) Delaware 2834 86-2967193 (I.R.S. Employer Identification No.) 4475 Executive Driv ...

Table of Contents As filed with the Securities and Exchange Commission on January 9, 2023. Registration No. 333-265828 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 6 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Genelux Corporation (Exact name of registrant as specified in its charter) (State or other jurisdiction of incorporation or organization) Delaware 2834 77-0583529 (Primary Standard Industrial Classification Code Number) (I.R.S. Employer ...