UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 20-F/A
Amendment No. 1
(Mark One)
☐ | 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, 2020
OR
☐ | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
for the transition period from to
OR
☐ | SHELL COMPANY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
Date of event requiring this shell company report
Commission file number 001-38475
ASLAN Pharmaceuticals Limited
(Exact name of Registrant as specified in its charter)
Not Applicable
(Translation of Registrants name into English)
Cayman Islands
(Jurisdiction of incorporation)
83 Clemenceau Avenue #12-03 UE Square
Singapore 239920
(address of principal executive offices)
Carl Firth
Chief Executive Officer
ASLAN Pharmaceuticals Limited
83 Clemenceau Avenue #12-03 UE Square
Singapore 239920
E-mail: investor@aslanpharma.com
(Name, Telephone, E-mail and/or Facsimile number and Address of Company Contact Person)
Securities registered or to be registered, pursuant to Section 12(b) of the Act:
Title of each class |
Trading Symbol |
Name of each exchange on which registered | ||
American Depositary Shares (ADSs), each representing five ordinary shares, par value $0.01 per ordinary share | ASLN | The Nasdaq Global Market | ||
Ordinary shares, par value $0.01 per share * | The Nasdaq Global Market * |
* | Not for trading, but only in connection with the registration of the American Depositary Shares. |
Securities registered or to be registered pursuant to Section 12(g) of the Act: None
Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act: None
Indicate the number of outstanding shares of each of the issuers classes of capital stock or common stock as of the close of business covered by the annual report.
Ordinary shares, par value $0.01 per share: 237,663,300 ordinary shares as of December 31, 2020, comprised of (i) 209,675,470 ordinary shares that are fully paid, issued and outstanding and (ii) 27,987,830 ordinary shares that are outstanding and have been issued to JPMorgan Chase Bank, N.A., as depositary, for future sales and issuances of ADSs, if any, as further described in this annual report.
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ☐ No ☒
If this report is an annual or transition report, indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934. Yes ☐ No ☒
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☒ No ☐
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes ☒ No ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or an emerging growth company. See the definitions of large accelerated filer, accelerated filer, and emerging growth company in Rule 12b-2 of the Exchange Act.
Large accelerated filer | ☐ | Accelerated filer | ☐ | |||
Non-accelerated filer | ☒ | Emerging growth company | ☒ |
If an emerging growth company that prepares its financial statements in accordance with U.S. GAAP, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
| The term new or revised financial accounting standard refers to any update issued by the Financial Accounting Standards Board to its Accounting Standards Codification after April 5, 2012. |
Indicate by check mark whether the registrant has filed a report on and attestation to its managements assessment of the effectiveness of its internal control over financial reporting under Section 404 (b) of the Sarbanes-Oxley Act (15. U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report. ☐ Yes ☒ No
Indicate by check mark which basis of accounting the registrant has used to prepare the financial statements included in this filing:
U.S. GAAP ☐ | International Financial Reporting Standards as issued by the International Accounting Standards Board ☒ |
Other ☐ |
If Other has been checked in response to the previous question indicate by check mark which financial statement item the registrant has elected to follow. Item 17 ☐ Item 18 ☐
If this is an annual report, indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ☐ No ☒
EXPLANATORY NOTE
On April 23, 2021, ASLAN Pharmaceuticals Limited (the Company) filed its Annual Report on Form 20-F for the fiscal year ended December 31, 2020 (the Original Form 20-F). This Amendment No. 1 (the Amendment) amends the Original Form 20-F solely to revise the consents of our independent accounting firms, Deloitte & Touche LLP, Singapore (Deloitte Singapore) and Deloitte & Touche, Taipei, Taiwan, Republic of China (Deloitte Taiwan), filed originally as Exhibits 15.1 and 15.2, respectively. The consents included in the Original Form 20-F inadvertently omitted the incorporation by reference into the Companys Registration Statement on Form F-3 (File No. 333-234405), Registration Statement on Form F-3 (File No. 333-252575) and Registration Statement on Form F-3 (File No. 333-254768). The revised consents by each of Deloitte Singapore and Deloitte Taiwan are filed hereto as Exhibits 15.1 and 15.2, respectively.
In addition, as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended (the Exchange Act), new certifications by the Companys principal executive officer and principal financial officer are filed herewith as exhibits to this Amendment pursuant to Rule 13a-14(a) of the Exchange Act.
Other than with respect to the foregoing, this Amendment speaks as of the filing date of the Original Form 20-F and does not reflect any other events occurring after the filing of the Original Form 20-F. No revisions are being made to the Companys financial statements or any other disclosure contained in the Original Form 20-F. This Amendment does not otherwise update any other exhibits as originally filed.
Item 19. | Exhibits |
List all exhibits filed as part of the registration statement or annual report, including exhibits incorporated by reference.
* | Filed herewith. |
SIGNATURES
The registrant hereby certifies that it meets all of the requirements for filing this Amendment No.1 on Form 20-F and that it has duly caused and authorized the undersigned to sign this Annual Report on its behalf.
ASLAN PHARMACEUTICALS LIMITED | ||||||
Date: August 6, 2021 | By: | /s/ Carl Firth, Ph.D. | ||||
Carl Firth, Ph.D. | ||||||
Chief Executive Officer |
Exhibit 12.1
CERTIFICATION PURSUANT TO
RULES 13a-14(a) AND 15d-14(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934,
AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002
I, Carl Firth, certify that:
1) | I have reviewed this Amendment No. 1 to the annual report on Form 20-F of ASLAN Pharmaceuticals Limited (the Company); and |
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, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report. |
Date: August 6, 2021 | By: |
/s/ Carl Firth, Ph.D. | ||||
Carl Firth, Ph.D. | ||||||
Chief Executive Officer | ||||||
(Principal Executive Officer) |
Exhibit 12.2
CERTIFICATION PURSUANT TO
RULES 13a-14(a) AND 15d-14(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934,
AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002
I, Kiran Asarpota, certify that:
1) | I have reviewed this Amendment No. 1 to the annual report on Form 20-F of ASLAN Pharmaceuticals Limited (the Company); and |
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, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report. |
Date: August 6, 2021 | By: |
/s/ Kiran Asarpota | ||||
Kiran Asarpota | ||||||
Chief Operating Officer | ||||||
(Principal Financial Officer and Principal Accounting Officer) |
Exhibit 15.1
Deloitte & Touche LLP Unique Entity No. T08LL0721A 6 Shenton Way OUE Downtown 2 #33-00 Singapore 068809
Tel: +65 6224 8288 Fax: +65 6538 6166 www.deloitte.com/sg |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
We consent to the incorporation by reference in Registration Statement Nos. 333-234405, 333-252575 and 333-254768 on Form F-3 and Registration Statement No. 333-252118 on Form S-8 of our report dated April 22 2021, relating to the consolidated financial statements of ASLAN Pharmaceuticals Limited appearing in the Annual Report on Form 20-F for the year ended December 31, 2020.
/s/ Deloitte & Touche LLP
Deloitte & Touche LLP
Singapore
August 6, 2021
Exhibit 15.2
勤業眾信 勤業眾信聯合會計師事務所 11073台北市信義區松仁路100號20樓
Deloitte & Touche 20F, Taipei Nan Shan Plaza No. 100, Songren Rd., Xinyi Dist., Taipei 11073, Taiwan
Tel: +886 (2) 2725-9988 Fax: +886 (2) 4051-6888 www.deloitte.com.tw |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
We consent to the incorporation by reference in Registration Statement Nos. 333-234405, 333-252575 and 333-254768 on Form F-3 and Registration Statement No. 333-252118 on Form S-8 of our report dated April 16, 2020, relating to the consolidated financial statements of ASLAN Pharmaceuticals Limited appearing in the Annual Report on Form 20-F for the year ended December 31, 2020.
/s/ Deloitte & Touche
Deloitte & Touche
Taipei, Taiwan
Republic of China
August 6, 2021