Registration statement pursuant to section 12(b) or (g) of the securities exchange act of 1934


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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 20-F

 

 

(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, 2017

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 001-38217

Nightstar Therapeutics plc

(Exact name of Registrant as specified in its charter)

England and Wales

(Jurisdiction of incorporation)

215 Euston Road

London NW1 2BE United Kingdom

(Address of principal executive offices)

 

David Fellows

Nightstar Therapeutics plc

215 Euston Road

London NW1 2BE United Kingdom

Tel: +44 20 7611 2077

Email:investors@nightstartx.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

 

Name of each exchange on which registered

American Depository Shares, each representing one ordinary share, nominal value £ 0.01 per share

 

The Nasdaq Stock Market LLC

Ordinary shares, nominal value £0.01 per share*

 

The Nasdaq Stock Market LLC*

 

 

 

*

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 issuer’s classes of capital or common stock as of the close of the period covered by the annual report.

 





Ordinary shares, nominal value £0.01 per share: 28,904,714 as of December 31, 2017

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 and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted 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 and post 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 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  ☒

 

 

 

 





INDEX

 

PART I

 

 

Page

ITEM 1.

IDENTITY OF DIRECTORS, SENIOR MANAGEMENT AND ADVISERS

5

 

 

 

ITEM 2.

OFFER STATISTICS AND EXPECTED TIMETABLE

5

 

 

 

ITEM 3.

KEY INFORMATION

5

 

A. Selected financial data

5

 

B. Capitalization and indebtedness

6

 

C. Reasons for the offer and use of proceeds

6

 

D. Risk factors

6

 

 

 

ITEM 4.

INFORMATION ON THE COMPANY

47

 

A. History and development of the company

47

 

B. Business overview

47

 

C. Organizational structure

76

 

D. Property, plant and equipment

76

 

 

 

ITEM 4A.

UNRESOLVED STAFF COMMENTS

77

 

 

 

ITEM 5.

OPERATING AND FINANCIAL REVIEW AND PROSPECTS

77

 

A. Operating results

77

 

B. Liquidity and capital resources

82

 

C. Research and development, patents and licenses, etc.

87

 

D. Trend information

87

 

E. Off-balance sheet arrangements

87

 

F. Tabular disclosure of contractual obligations

87

 

G. Safe Harbor

88

 

 

 

ITEM 6.

DIRECTORS, SENIOR MANAGEMENT AND EMPLOYEES

88

 

A. Directors and senior management

88

 

B. Compensation

91

 

C. Board practices

94

 

D. Employees

96

 

E. Share ownership

96

 

 

 

ITEM 7.

MAJOR SHAREHOLDERS AND RELATED PARTY TRANSACTIONS

96

 

A. Major shareholders

96

 

B. Related party transactions

98

 

C. Interests of experts and counsel

102

 

 

 

ITEM 8.

FINANCIAL INFORMATION

102

 

A. Consolidated statements and other financial information

102

 

B. Significant Changes

102

 

 

 

ITEM 9.

THE OFFER AND LISTING

103

 

A. Offer and listing details

103

 

B. Plan of distribution

103

 

C. Markets

103

 

D. Selling shareholders

103

 

E. Dilution

103

 

F. Expense of the issue

103

 

 

 

ITEM 10.

ADDITIONAL INFORMATION

103

 

A. Share capital

103

 

B. Memorandum and articles of association

103

 

C. Material contracts

104

 

D. Exchange controls

104

 

E. Taxation

104
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