| British Columbia (State or other jurisdiction of incorporation or organization) | | | 98-0597776 (I.R.S. Employer Identification Number) | |
| Steven J. Abrams, Esq. Steven M. Nicolai, Esq. Hogan Lovells US LLP 1735 Market Street, 23rd Floor Philadelphia, Pennsylvania 19103 (267) 675-4600 | | | Elizabeth Howard, Ph.D., J.D. Executive Vice President, General Counsel and Chief Compliance Officer Arbutus Biopharma Corporation 701 Veterans Circle Warminster, Pennsylvania 18974 (267) 469-0914 | | | R. Hector MacKay-Dunn, Q.C. Farris LLP 2500-700 West Georgia Street Vancouver, British Columbia Canada V7Y 1B3 (604) 684-9151 | |
| Large accelerated filer ☐ Non-accelerated filer ☒ | | | Accelerated filer | ☐ | ||||||
Smaller Reporting Company | ☒ | ||||||||||
Emerging Growth Company | ☐ | |
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Title of each class of Securities to be Registered(1)(2) | | | | Amount to be Registered(3) | | | | Proposed Maximum Offering Price Per Unit(4) | | | | Proposed Maximum Aggregate Offering Price(4) | | | | Amount of Registration Fee | | |||||||||||||||||
Common shares, without par value | | | | — | | | | — | | | | — | | | | — | | |||||||||||||||||
Preferred shares | | | | — | | | | — | | | | — | | | | — | | |||||||||||||||||
Title of each class of Securities to be Registered(1) | | | | Amount to be Registered | | | | Proposed Maximum Offering Price Per Unit | | | | Proposed Maximum Aggregate Offering Price | | | | Amount of Registration Fee | | |||||||||||||||||
Primary Offering | | | | | | | | | | | | | | | | | | |||||||||||||||||
Common Shares, without par value | | | | (2) (3) | | | | (4) | | | | (4) | | | | — | | |||||||||||||||||
Preferred Shares | | | | (2) (3) | | | | (4) | | | | (4) | | | | — | | |||||||||||||||||
Warrants | | | | — | | | | — | | | | — | | | | — | | | | | (2) (3) | | | | (4) | | | | (4) | | | | — | |
Debt Securities | | | | — | | | | — | | | | — | | | | — | | | | | (2) (3) | | | | (4) | | | | (4) | | | | — | |
Units | | | | — | | | | — | | | | — | | | | — | | | | | (2) (3) | | | | (4) | | | | (4) | | | | — | |
Total Primary Offering | | | | 250,000,000(2) | | | | (4) | | | | $250,000,000 | | | | $23,175 | | |||||||||||||||||
Secondary Offering | | | | | | | | | | | | | | | | | | |||||||||||||||||
Common Shares, without par value | | | | 38,847,462(5) | | | | $3.8875(6) | | | | $151,019,508.53(6) | | | | $13,999.51 | | |||||||||||||||||
Total | | | | $200,000,000 | | | | — | | | | $200,000,000 | | | | $25,960 | | | | | | | | | | | | | $401,019,508.53 | | | | $37,174.51 | |
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Name and Address | | | Number of Shares Beneficially Owned Prior to Offering | | | Number of Shares Registered for Sale | | | Number of Shares to be Owned after the Offering | | | Percent of Outstanding Shares to be Owned after the Offering | | ||||||||||||
Roivant Sciences Ltd.(1) | | | | | 38,847,462(1) | | | | | | 38,847,462 | | | | | | —(2) | | | | | | —(2) | | |
| | Amount to be paid | | | Amount to be paid | | ||||||||
SEC registration fee | | | $ | 25,960 | | | | | $ | 37,174.51 | | | ||
FINRA fee | | | $ | 30,500 | | | ||||||||
Printing expenses | | | $ | (1) | | | | | $ | (1) | | | ||
Accounting fees and expenses | | | $ | (1) | | | | | $ | (1) | | | ||
Legal fees and expenses | | | $ | (1) | | | | | $ | (1) | | | ||
Miscellaneous | | | $ | (1) | | | | | $ | (1) | | | ||
Total | | | $ | (1) | | | | | $ | (1) | | |
Exhibit Number | | | Description of Document | |
| | Form of Warrant Agreement for Common Shares, including Warrant Certificate for Common Shares. | | |
| | Form of Unit Agreement. | | |
| | Form of Warrant Agreement for Preferred Shares, including Warrant Certificate for Preferred Shares. | | |
| | Form of Warrant Agreement for Debt Securities, including Warrant Certificate for Debt Securities. | | |
5.1 | | | | |
23.1 | | | ||
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24.1 | | | | |
25.1** | | | Form T-1 Statement of Eligibility and Qualification under the Trust Indenture Act of 1939 of Trustee for Form of Indenture. | |
| Signature | | | Title | | | Date | |
| /s/ WILLIAM H. COLLIER William H. Collier | | | President, Chief Executive Officer and Director (Principal Executive Officer) | | | | |
| /S/ DAVID C. HASTINGS David C. Hastings | | | Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer) | | | | |
| /S/ FRANK TORTI, M.D. Frank Torti, M.D. | | | Chairman | | | | |
| /S/ DANIEL BURGESS Daniel Burgess | | | Director | | | | |
| /S/ RICHARD C. HENRIQUES Richard C. Henriques | | | Director | | | | |
| /S/ KEITH MANCHESTER, M.D. Keith Manchester, M.D. | | | Director | | | | |
| /S/ ERIC VENKER, M.D., PHARM.D. Eric Venker, M.D. Pharm.D. | | | Director | | | | |
| /S/ JAMES MEYERS James Meyers | | | Director | | | | |
| /S/ ANDREW CHENG, M.D., PH.D. Andrew Cheng, M.D., Ph.D. | | | Director | | | |