UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 10-K/A

(Amendment No. 1)

 

FORM 10-K/A(Mark One)

(Amendment No. 2)

 

xþANNUAL REPORT PURSUANTTO SECTION 13 OR 15(d)15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the fiscal year ended August 31, 2014September 30, 2022

 

OR

 

¨¨TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the transition period from to

 

Commission file number: 000-54598

Stellar Biotechnologies, Inc.

(Exact name of registrant as specified in its charter)

001-37619

 

EDESA BIOTECH, INC.
(Exact name of registrant as specified in its charter)

British Columbia, CanadaN/A

(State or other jurisdiction of

incorporation or organization)

(I.R.S. Employer

Identification No.)

100 Spy Court, Markham, ON, CanadaL3R 5H6 

332 E. Scott Street

Port Hueneme, California

93041(289) 800-9600
(Address of principal executive offices)offices and zip code)(Zip Code)Registrant’s telephone number, including area code)

Registrant’s telephone number, including area code: (805) 488-2800

 

Securities registered pursuant to Section 12(b) of the Act: None

Title of each classTrading SymbolName of each exchange on which registered
Common Shares, without par valueEDSAThe Nasdaq Stock Market LLC

 

Securities registered pursuant to Section 12(g) of the Act:

Common Shares, without par value

None

 

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ¨No x

 

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes ¨No x

 

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 xNo ¨

 

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 (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yesx No ¨ No¨

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405 of this chapter) is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K.x

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer”filer,” “smaller reporting company,” and “smaller reporting“emerging growth company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer¨Accelerated Filer  ¨filerAccelerated Filer  x¨
Non-Accelerated Filer  ¨Non-accelerated filerxSmaller Reporting Company  reporting companyx
Emerging growth company¨

If an emerging growth company, 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. ¨

Indicate by check mark whether the registrant has filed a report on and attestation to its management’s 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. ¨

If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correction of an error to previously issued financial statement. ¨

Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the registrant’s executive officers during the relevant recovery period pursuant to §240.10D-1(b). ¨

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes ¨No x

 

The aggregate market valueAs of the voting and non-voting common shares held by non-affiliates of the registrant, computed by reference to the closing price of the registrant’s common shares on the OTCQB marketplace as of February 28, 2014,March 31, 2022, the last business day of the registrant’s most recently completed second fiscal quarter, the aggregate market value of the registrant’s outstanding common shares held by nonaffiliates was approximately $85,585,181,$35,987,404, which was calculated based on 57,827,82515,462,287 common shares outstanding as of that date, of which 12,116,971 common shares were held by nonaffiliates at $1.48 per share.the closing price of the registrant’s common shares on The Nasdaq Capital Market on such date.

 

As of September 1 2015,December 14, 2022, the registrant had 79,847,55019,353,351 common shares issued and outstanding.

 

The registrant has determined that it no longer qualified as a “foreign private issuer” under Rule 3b-4 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”). As of September 1, 2014, the beginning of the registrant’s fiscal year, the registrant is now complying with Exchange Act reporting requirements applicable to a U.S. domestic issuer.DOCUMENTS INCORPORATED BY REFERENCE: NONE

Auditor - MNP LLP; location - Toronto, Canada; PCAOB ID - 1930

 

 

 

Explanatory Note

EXPLANATORY NOTE

 

This Amendment No. 21 to the Annual Report on Form 10-K (the “Amendment No. 2”) of Stellar Biotechnologies,Edesa Biotech, Inc. (the “Company”) amends the Company’s Annual Report on Form 10-K for the year ended August 31, 2014 which wasSeptember 30, 2022 as filed with the Securities and Exchange Commission on November 14, 2014December 16, 2022 (the “Original Filing”Form 10-K”) and amended by Amendment No.1 tois being filed only for the purpose of filing Exhibit 4.11, which was inadvertently omitted from the Original Filing on November 21, 2014 (the “Amendment No.1”). The Company is filingForm 10-K.

Except as otherwise expressly noted herein, this Amendment No. 2 solely to provide Exhibit 4.1, Exhibit 4.2, Exhibit 4.3, Exhibit 4.4, Exhibit 4.5, Exhibit 4.6, Exhibit 4.7, Exhibit 4.8, Exhibit 4.9, Exhibit 4.10, Exhibit 4.11, Exhibit 4.12 and Exhibit 10.18 that were not included in the Original Filing and an updated Exhibit 31.1 and Exhibit 31.2.

This Amendment No. 2 is an exhibit-only filing. Except as described above, this Amendment No.21 does not amend, modify or update in any other information or disclosures set forth inway the Original Filing. Accordingly, this Amendment No. 2Form 10-K, nor does notit reflect any events that occurred subsequent tooccurring after the filing of the Original Filing and therefore continues to speak only as of the date ofForm 10-K. Accordingly, this Amendment No. 1 should be read in conjunction with the Original Filing.Form 10-K.

 

PART IV

Item 15.EXHIBITS, FINANCIAL STATEMENTS SCHEDULES.

 

(b)Item 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES.

(a) The following documents are filed as a part of this Annual Report:

(1) Financial Statements

The list of consolidated financial statements and notes required by this Item 15 (a) (1) is set forth in the “Index to Financial Statements” on page F-1 of this Annual Report.

(2) Financial Statement Schedules

All schedules have been omitted because the required information is included in the financial statements or notes thereto.

(3) Exhibits

 

The exhibits listed on the accompanying Exhibit Index below are filed as part of this Amendment No. 2Annual Report.

 

 

 

EXHIBIT INDEX

 

 

Exhibit
No.
 Description
2.1*Share Exchange Agreement, dated as of March 7, 2019, by and between Stellar Biotechnologies Inc., Edesa Biotech Inc. and the Edesa Shareholders (included as Exhibit 2.1 to the Company's Current Report on Form 8-K filed on March 8, 2019, and incorporated herein by reference).
   
3.1 Certificate of Incorporation of the Company, dated June 12, 2007 (included as Exhibit 1(a) to the Company’sCompany's Registration Statement on Form 20-F filed on February 3, 2012, and incorporated herein as referefernce)by reference).
   
3.2 Certificate of Amendment of the Company, dated April 15, 2008 (included as Exhibit 1(b) to the Company’sCompany's Registration Statement on Form 20-F filed on February 3, 2012, and incorporated herein asby reference).
   
3.3 Certificate of Continuation of the Company, dated November 25, 2009 (included as Exhibit 1(c) to the Company’sCompany's Registration Statement on Form 20-F filed on February 3, 2012, and incorporated herein by reference).
   
3.4 Certificate of Change of Name Change of the Company, dated April 7, 2010 (included as Exhibit 1(f) to the Company’s Registration Statement on Form 20-F filed on February 3, 2012, and incorporated herein by reference).
   
3.5 Certificate of Change of Name of the Company, dated June 7, 2019 (included as Exhibit 3.6 to the Company's Annual Report on Form 10-K filed on December 12, 2019, and incorporated herein by reference).
3.6Amended and Restated Articles of Edesa Biotech, Inc. (included as Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on April 23, 2020, and incorporated herein by reference).
3.7Notice of Articles of the Company, dated April 7, 2010Edesa Biotech, Inc. (included as Exhibit 1(g)3.7 to the Company’s Registration Statement on Form 20-FS-1 filed on February 3, 2012,April 11, 2022, and incorporated herein by reference).
   
3.64.1 ArticlesSpecimen of the Company, effective November 20, 2009common share certificate (included as Exhibit 1(h)4.1 to the Company’s Registration Statement on February 3, 2012,Form S-3 filed on August 30, 2019 and incorporated herein by reference.).reference)
   
4.14.2 

Form of Class A Purchase Warrant dated October 25, 2012(issued to investors (included as Exhibit 4.1 to the Company’s Current Report on Form 8-K filed herewith).

on January 6, 2020 and incorporated herein by reference)
   
4.24.3 

Form of Agent Option dated October 25, 2012(Warrant issued to Brookline Capital Markets, a division of Arcadia Securities, LLC (included as Exhibit 4.3 to the Company’s Current Report on Form 8-K filed herewith).

on January 6, 2020 and incorporated herein by reference)
   
4.34.4 

Form of Subscription Agreement dated October 25, 2012 (filed herewith).

Warrant (included as Exhibit 4.2 to the Company's Registration Statement on Form S-1 filed on May 8, 2018, and incorporated herein by reference)
   
4.44.5 

Form of Underwriter Warrant dated January 2, 2013 (filed herewith)(included as Exhibit 4.1 to the Company’s Current Report on Form 8-K/A filed on February 26, 2021 and incorporated herein by reference).

   
4.54.6 

Form of Agent Option dated January 2, 2013 (filed herewith).

4.6

Form of Subscription Agreement dated January 2, 2013 (filed herewith). 

4.7

Form ofPre-Funded Warrant dated September 9, 2013(filed herewith).

4.8

Form of Broker Warrant dated September 9, 2013(filed herewith).

4.9

Form of Warrant dated September 20, 2013 (filed herewith). 

4.10

Form of Broker Warrant dated September 20, 2013(filed herewith).

4.11

Form of Non-brokered Subscription Agreement dated September 9, 2013 and September 20, 2013(filed herewith).

4.12

Form of Brokered Subscription Agreement dated September 9, 2013 and September 20, 2013(filed herewith).

10.1Patent Assignment Agreement between the Company and Frank Oakes, dated August 14, 2002 (included as Exhibit 4(a)4.1 to the Company’s Registration StatementCurrent Report on From 20-FForm 8-K filed on February 3, 2012,March 23, 2022 and incorporated herein by reference).
10.2Sublease Agreement between the Company and the Port Hueneme Surplus Property Authority, dated October 2, 2000 (included as Exhibit 4(j) to the Company’s Registration Statement on Form 20-F filed on February 3, 2012, and incorporated herein by reference).
10.3Sublease Agreement between the Company and the Port Hueneme Surplus Property Authority, dated March 21,, 2005 (included as Exhibit 4(k) to the Company’s Registration Statement on Form 20-F filed on February 3, 2012, incorporated herein by reference).
10.4Lease Agreement between the Company and Beachport Center, dated March 29, 2011 (included as Exhibit 4(l) to the Company’s Registration Statement on Form 20-F filed on February 3, 2012, and incorporated herein by reference).
10.5Supply Agreement between the Company and Neovacs S.A. for KLH raw material, effective January 1, 2008 (included as Exhibit 4(14) to the Company’s Amendment No. 2 to its Registration Statement on Form 20-F filed on July 5, 2012, and incorporated herein by reference).
10.6Supply Agreement between the Company and Neovacs S.A. for KLH raw material, effective January 1, 2008 (included as Exhibit 4(15) to the Company’s Amendment No.2 to its Registration Statement on Form 20-F filed on July 5, 2012, and incorporated herein by reference).
10.7Research Collaboration Agreement between the Company and Bayer Innovation GmbH, dated August 27, 2009 (included as Exhibit 4(16) to the Company’s Amendment No.2 to its Registration Statement on Form 20-F filed on July 5, 2012, and incorporated herein by reference).

 

 

 

 

10.84.7 Agreement between the Company and Life Diagnostics, effective October 18, 2011Form of Private Placement Warrant (included as Exhibit 4(18)4.2 to the Company’s Amendment No. 2 to its Registration StatementCurrent Report on Form 20-F8-K filed on July 5, 2012,March 23, 2022 and incorporated herein by reference).
   
10.9#4.8 License Agreement between the Company and UniversityForm of Guelph, dated July 24, 2013Placement Agent Warrant (included as Exhibit 99.1to4.3 to the Company’s Current Report on Form 6-K8-K filed on August 30, 2013,March 23, 2022 and incorporated herein by reference).
   
10.104.9 Share Option Plan, as Amended, dated December 13, 2011Form of Class A Warrant (included as Exhibit 10(b)4.1 to the Company’s Registration StatementCurrent Report on Form 20-F8-K filed on FebruaryNovember 3, 2012,2022 and incorporated herein asby reference).
   
10.114.10 Fixed Share Option Plan dated December 18,Form of Class B Warrant (included as Exhibit 4.2 to the Company’s Current Report on Form 8-K filed on November 3, 2022 and incorporated herein by reference).
4.11Description of Securities (filed herewith).
10.1Advance Notice Policy, adopted October 31, 2013 (included as Exhibit 10.1110.14 to the Company’sCompany's Annual Report on Form 10-K filed on November 14, 2014, and incorporated herein by reference).
   
10.1210.2@ Shareholder’s Rights Plan, as Amended,Employment Agreement by and between the Company and Pardeep Nijhawan, dated January 9, 2014June 14, 2019 (included as Exhibit 10.1210.2 to the Company's Current Report on Form 8-K/A filed on June 20, 2019, and incorporated herein by reference).
10.3@Employment Agreement by and between the Company and Michael Brooks, dated June 14, 2019 (included as Exhibit 10.3 to the Company's Current Report on Form 8-K/A filed on June 20, 2019, and incorporated herein by reference).
10.4@Form of Indemnification Agreement, by and between the Company and each of its directors and executive officers (included as Exhibit 10.4 to the Company's Current Report on Form 8-K/A filed on June 20, 2019, and incorporated herein by reference).
10.5@2019 Equity Incentive Compensation Plan (included as Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on October 25, 2019, and incorporated herein by reference).
10.6@Amendment No. 1 to Edesa Biotech, Inc. 2019 Equity Incentive Compensation Plan (included as Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on April 23, 2021, and incorporated herein by reference).
10.7Lease, dated as of January 1, 2017, by and between the Registrant and 1968160 Ontario Inc. (included as Exhibit 10.1 to the Company's Current Report on Form 8-K filed on August 30, 2019, and incorporated herein by reference).
10.8+Exclusive License Agreement, dated as of June 29, 2016, by and between the Registrant and Yissum Research Development Company (included as Exhibit 10.2 to the Company's Current Report on Form 8-K filed on August 30, 2019, and incorporated herein by reference).
10.9First Amendment to Exclusive License Agreement, dated April 3, 2017, by and between the Registrant and Yissum Research Development Company (included as Exhibit 10.3 to the Company's Current Report on Form 8-K filed on August 30, 2019, and incorporated herein by reference).
10.10Second Amendment to Exclusive License Agreement, dated May 7, 2017, by and between the Registrant and Yissum Research Development Company (included as Exhibit 10.4 to the Company's Current Report on Form 8-K filed on August 30, 2019, and incorporated herein by reference).

10.11+#Third Amendment to Exclusive License Agreement, dated October 26, 2022, by and between the Registrant and Yissum Research Development Company.
10.12+License and Development Agreement, dated as of August 27, 2017, by and between the Registrant and Pendopharm, a division of Pharmascience Inc. (included as Exhibit 10.6 to the Company's Current Report on Form 8-K filed on August 30, 2019, and incorporated herein by reference).
10.13+License Agreement by and between Edesa Biotech Research, Inc. and NovImmune SA dated April 17, 2020 (included as Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on April 23, 2020, and incorporated herein by reference).
10.14+Purchase Agreement by and between Edesa Biotech Research, Inc. and NovImmune SA dated April 17, 2020 (included as Exhibit 10.2 to the Company’s Current Report on Form 8-K filed on April 23, 2020, and incorporated herein by reference).
10.15@Employment Agreement by and between the Company and Kathi Niffenegger, dated December 1, 2020 (included as Exhibit 10.21 to the Company’s Annual Report on Form 10-K filed on November 14, 2014,December 7, 2020, and incorporated herein by reference).
   
10.13@10.16+ Performance Share PlanStrategic Innovation Fund Agreement among Edesa Biotech Research, Inc., Edesa Biotech, Inc., and her Majesty the Queen in right of Canada as represented by the Minister of Industry, dated April 9, 2010February 2, 2021 (included as Exhibit 10(d)10.1 to the Company’s Registration StatementCurrent Report on Form 20-F8-K filed on February 3, 2012,2021, and incorporated herein by reference).
   
10.1410.17+ Advance Notice Policy, adopted October 31, 2013Exclusive License Agreement, dated as of March 16, 2021, by and between the Edesa Biotech Research, Inc. and Dr. Saul Yedgar (included as Exhibit 10.1410.1 to the Company’s AnnualCurrent Report on Form 10-K8-K filed on November 14, 2014,March 22, 2021, and incorporated herein by reference).
   
10.1510.18@ Amendment One to the LeaseEmployment Agreement, entered into on March 19, 2021, by and between the CompanyPar Nijhawan and Beachport Center, dated June 24, 2014Edesa Biotech, Inc. (included as Exhibit 10.1510.3 to the Company’s AnnualQuarterly Report on Form 10-K10-Q filed on NovemberMay 14, 2014,2021, and incorporated herein by reference).
   
10.1610.19@ Sublease Amendment No. 2 to SubleaseEmployment Agreement, entered into on March 19, 2021, by and between the CompanyKathi Niffenegger and the Port Hueneme Surplus Property Authority, dated October 2, 2000Edesa Biotech USA, Inc. (included as Exhibit 10.1610.4 to the Company’s AnnualQuarterly Report on Form 10-K10-Q filed on NovemberMay 14, 2014,2021, and incorporated herein by reference).
   
10.1710.20@ Sublease Amendment No. 1 to SubleaseEmployment Agreement, entered into on March 19, 2021, by and between the CompanyMichael Brooks and the Port Hueneme Surplus Property Authority, dated March 21, 2005Edesa Biotech, Inc. (included as Exhibit 10.1710.5 to the Company’s AnnualQuarterly Report on Form 10-K10-Q filed on NovemberMay 14, 2014,2021, and incorporated herein by reference).
   
10.1810.21 

CollaborationForm of Securities Purchase Agreement, dated March 21, 2022, by and between Stellar Biotechnologies, Inc.the Company and Amaran Biotechnology, Inc. dated December 7, 2013 (filed herewith)the Purchaser (included as Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on March 23, 2022 and incorporated herein by reference).

   
14.110.22@ Amendment to Employment Agreement, entered into on April 12, 2022, by and between Par Nijhawan and Edesa Biotech, Inc. (included as Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q filed on May 13, 2022, and incorporated herein by reference).

10.23@Amendment to Employment Agreement, entered into on April 12, 2022, by and between Kathi Niffenegger and Edesa Biotech USA, Inc. (included as Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q filed on May 13, 2022, and incorporated herein by reference).
10.24@Amendment to Employment Agreement, entered into on April 12, 2022, by and between Michael Brooks and Edesa Biotech USA, Inc. (included as Exhibit 10.3 to the Company’s Quarterly Report on Form 10-Q filed on May 13, 2022, and incorporated herein by reference).
10.25Form of Non-U.S. Subscription Agreement (included as Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on November 3, 2022 and incorporated herein by reference).
10.26Form of U.S. Subscription Agreement (included as Exhibit 10.2 to the Company’s Current Report on Form 8-K filed on November 3, 2022 and incorporated herein by reference).
14.1Code of Ethics and Business Conduct (included as Exhibit 99.414.1 to the Company’sCompany's Annual Report on Form 6-K10-K filed on August 14, 2014,December 12, 2019, and incorporated herein by reference).
   
21 Subsidiaries of Stellar Biotechnologies,Edesa Biotech, Inc. (included as Exhibit 21 to the Company’s Annual Report on Form 10-K filed on November 14, 2014,December 7, 2020, and incorporated herein by reference).
   
31.123.1# 

Consent of MNP LLP.

24.1#Power of Attorney (included on signature page).
31.1Certification of the Chief Executive Officer pursuant to Rule 13a-14(a) under the Securities and Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (filed herewith).

   
31.2 

Certification of the Chief Financial Officer pursuant to Rule 13a-14(a) under the Securities and Exchange Act of 1934, as adopted pursuant to sectionSection 302 of the Sarbanes-Oxley Act of 2002 (filed herewith).

   
32.132.1** 

CertificateCertification of the Chief Executive Officer pursuant to 18 U.S.C. 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (included as Exhibit 32.1 of the Company’s Annual Report on Form 10-K filed on November 14, 2014, and incorporated herein by reference).

2002.
   
32.232.2** CertificateCertification of the Chief Financial Officer pursuant to 18 U.S.C. 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (included as Exhibit 32.2 of the Company’s Annual Report on Form 10-K filed on November 14, 2014, and incorporated herein  by reference).2002.
   
101.INS XBRL Instance Document.*Document
   
101.SCH XBRL Taxonomy Extension Schema Document.*Document
   
101.CAL XBRL Taxonomy Calculation Linkbase Document.*Document
   
101.DEF XBRL Taxonomy Extension Definition Linkbase Document.*Document
   
101.LAB XBRL Taxonomy Label Linkbase Document.*Document
   
101.PRE XBRL Taxonomy Presentation Linkbase Document.*Document

 

* All schedules and exhibits to the Share Exchange Agreement have been omitted pursuant to Item 601(b)(2) of Regulation S-K. A copy of any omitted schedule and/or exhibit will be furnished to the Securities and Exchange Commission upon request.

*Previously Filed

 

@Management contract or compensatory plan or arrangement

** The information in this exhibit (included as an exhibit to the Company’s Annual Report on Form 10-K filed with the Commission on December 16, 2022) is furnished and deemed not filed with the Securities and Exchange Commission for purposes of section 18 of the Exchange Act of 1934, as amended, and is not to be incorporated by reference into any filing of Edesa Biotech, Inc. under the Securities Act of 1933, as amended, or the Exchange Act of 1934, as amended, whether made before or after the date hereof, regardless of any general incorporation language in such filing.

 

#Confidential treatment has been granted for certain portions of this exhibit. Original copies have been filed separately with the Securities and Exchange Commission pursuant to Rule 24B-2 of the Securities Exchange Act of 1934, as amended.

@ Management contract or compensatory plan or arrangement.

 

+ Portions of this exhibit have been omitted pursuant to Rule 601(b)(10)(iv) of Regulation S-K.

# Previously filed.

 

 

 

SIGNATURES

 

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

Date: September 9, 2015  STELLAR BIOTECHNOLOGIES,EDESA BIOTECH, INC.
   
Date: March 27, 2023 By:/s/ Kathi NiffeneggerPardeep Nijhawan
  

Name: Kathi Niffenegger

Title: Chief Financial Officer

Pardeep Nijhawan, MD

  Director, Chief Executive Officer and Corporate Secretary (Principal Executive Officer)