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Neptune Wellness Solutions Inc. (NTB)
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All | News | Filings
| Date Filed | Type | Description |
| 09/27/2023 |
8-K
| Entry into a Material Definitive Agreement, Regulation FD Disclosure, Financial Statements and Exhibits Inte...|
Docs:
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"COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: _______ Initial Exercise Date: September __, 2023 THIS COMMON SHARE PURCHASE WARRANT certifies that, for value received, [_________________] or its assigns is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof and on or prior to 5:00 p.m. on September __, 2028 , but not thereafter, to subscribe for and purchase from Neptune Wellness Solutions Inc., a company incorporated under the law of the Province of Quebec , up to [______] common shares, without par value . This Warrant is one of the Warrants to purchase Common Shares issued pursuant to the Purchase Agreement . The purchase price of one Common Share under this W...",
"PREFUNDED COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: _______ Initial Exercise Date: September __, 2023 THIS PREFUNDED COMMON SHARE PURCHASE WARRANT certifies that, for value received, [_________________] or its assigns is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof and until this Warrant is exercised in full , but not thereafter, to subscribe for and purchase from Neptune Wellness Solutions Inc., a company incorporated under the law of the Province of Quebec , up to [______] common shares, without par value . This Warrant is one of the Prefunded Warrants to purchase Common Shares issued pursuant to the Purchase Agreement . The purchase price of one Co...",
"NEPTUNE WELLNESS SOLUTIONS INC. AMENDMENT TO THE COMMON SHARE PURCHASE WARRANTS This Amendment to the Common Share Purchase Warrants is entered into as of September 21, 2023, by and between Neptune Wellness Solutions Inc., a Quebec corporation , and [●] . WHEREAS, the Holder is the holder of warrants issued as of ●, to purchase up to ● common shares of the Company, without par value, and warrants issued as of ●, to purchase up to ● common shares of the Company, without par value ; and WHEREAS, pursuant to Section 5 of each of the Original Warrants, each of the Original Warrants may be modified or amended or the provisions thereof waived with the written consent of the Company and the Holder; and WHEREAS, the Company and the Holder desire to amend the Original ...",
"SECURITIES PURCHASE AGREEMENT",
"Agreement”) constitutes the agreement between A.G.P./Alliance Global Partners and Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act , that the Placement Agent shall serve as the exclusive equity placement agent for the Company, on a “reasonable best efforts” basis, in connection with the proposed placement of the common shares of the Company, no par value , warrants to purchase Common Shares and pre-funded warrants to purchase Common Shares (the “Pre-Funded Warrants” and together with the Common Shares and the Warrants, the “Securities",
"Neptune Wellness Solutions Inc. Announces Pricing of US$4.5 Million Public Offering",
"Neptune Wellness Solutions Inc. Closes US$4.5 Million Public Offering" |
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| 08/25/2023 |
8-K
| Other Events, Financial Statements and Exhibits Interactive Data |
| 08/22/2023 |
8-K
| Quarterly results|
Docs:
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"EARNINGS RELEASE SOURCE: Neptune Wellness Solutions Inc. Neptune Reports Fiscal First Quarter 2024 Financial Results Gross profit margins for Sprout of 26% and Biodroga of 28% Company to host a conference call at 10:00 a.m. Friday, August 18, 2023, to discuss these results LAVAL, QUÉBEC, CANADA – August 17, 2023",
"Neptune Wellness Enters into Binding Term Sheet with Morgan Stanley Providing Option to Exchange Debt of Sprout Organics Neptune has the option within 90 days to exchange existing Sprout debt for Sprout equity resulting in Neptune ownership of approximately 89.5% of Sprout LAVAL, QUÉBEC, CANADA – August 17, 2023" |
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| 08/17/2023 |
10-Q
| Quarterly Report for the period ended June 30, 2023 |
| 08/15/2023 |
NT 10-Q
| Form NT 10-Q - Notification of inability to timely file Form 10-Q or 10-QSB: |
| 08/07/2023 |
8-K
| Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements...|
Docs:
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"Neptune Promotes Financial Controller to Interim CFO LAVAL, QUÉBEC, CANADA – August 4, 2023",
"STRATEGIC REVIEW RELEASE SOURCE: Neptune Wellness Solutions Inc. Neptune Announces Next Phase of Strategic Review Process Strategic business and financial alternatives considered may include monetization of assets, strategic partnerships and/or the acquisition of the remaining parts of Sprout Organics through an equity/debt transaction LAVAL, QUÉBEC, CANADA – August 4, 2023 – Neptune Wellness Solutions Inc. , a consumer-packaged goods company specializing in plant-based, sustainable, and purpose-driven lifestyle brands, announced today that its Board of Directors has initiated Phase II of a comprehensive review and evaluation of strategic options for the Company to unlock and maximize shareholder value. This phase will encompass consideration of all available strategic business and ..." |
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| 07/31/2023 |
S-1
| Form S-1 - General form for registration of securities under the Securities Act of 1933: |
| 07/18/2023 |
8-K
| Quarterly results |
| 07/14/2023 |
10-K
| Annual Report for the period ended March 31, 2023 |
| 06/30/2023 |
NT 10-K
| Form NT 10-K - Notification of inability to timely file Form 10-K 405, 10-K, 10-KSB 405, 10-KSB, 10-KT, or 10-KT405: |
| 06/01/2023 |
SC 13D/A
| Sumar Shohaib Kassam reports a 3.5% stake in NEPTUNE WELLNESS SOLUTIONS INC. |
| 05/26/2023 |
8-K
| Entry into a Material Definitive Agreement, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an... |
| 05/12/2023 |
424B4
| Form 424B4 - Prospectus [Rule 424(b)(4)]: |
| 05/11/2023 |
EFFECT
| Form EFFECT - Notice of Effectiveness: |
| 05/10/2023 |
8-K/A
| Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance S...|
Docs:
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"AMENDMENT TO THE INVOICE PURCHASE AND SECURITY AGREEMENT THIS AMENDMENT TO THE INVOICE PURCHASE AND SECURITY AGREEMENT is made and entered into this 21st day of April 2023, by and among Sprout Foods, Inc. dba Sprout Organics, a Delaware corporation, and Alterna Capital Solutions, LLC . WHEREAS, Seller and Purchaser entered into that certain Invoice Purchase and Security Agreement, , dated and effective as of January 20, 2023. WHEREAS, the Seller and Purchaser desire to enter into this Amendment in order to amend the Agreement to reflect certain agreed upon changes to the terms of the Agreement. NOW, THEREFORE, in consideration of the mutual promises hereinafter set forth, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowl...",
"INVENTORY FINANCE RIDER",
"Neptune Wellness’ Organic Baby Food Brand, Sprout Organics, Secures Inventory Financing with Alterna Capital Solutions LLC The partnership expands Sprout’s inventory line, increasing product variety and enhancing supply chain efficiency LAVAL, Q.C., & MONTVALE, N.J. – May 10, 2023 – Neptune Wellness Solutions Inc. , a consumer-packaged goods company focused on plant-based, sustainable and purpose-driven lifestyle brands, and Sprout Organics , the Company’s organic plant-based baby food and toddler snack company, today announced that it has secured inventory financing through an Invoice Purchase and Security Agreement partnership with Alterna Capital Solutions LLC, effective April 21, 2023. The inventory line will provide Sprout with working capital for additional inventory to meet consumer..." |
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| 05/10/2023 |
FWP
| Form FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses: |
| 05/09/2023 |
S-1/A
| Form S-1/A - General form for registration of securities under the Securities Act of 1933: [Amend] |
| 04/21/2023 |
S-1
| Form S-1 - General form for registration of securities under the Securities Act of 1933: |
| 04/03/2023 |
8-K
| Quarterly results|
Docs:
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"EARNINGS RELEASE SOURCE: Neptune Wellness Solutions Inc. Neptune Reports Fiscal Third Quarter Ended December 31, 2022 Financial Results • YTD net sales $40.5 million, up 8.6% from prior year • Q3 net sales $12.2 million, down $2.5 million from last year, $3.5 million of decrease attributable to sale of cannabis business • In Q3 Sprout outperformed Organic Shelf Stable Baby Food category, had highest sales velocity in Toddler Meals segment1and increased NA distribution to approx. 29,350 doors with Loblaws launch • Diluted Earnings Per Share attributable to equity holders of the company – $0.06 Company will host a conference call at 5:00 p.m. Thursday March 30, 2023, to discuss these results LAVAL, QUÉBEC, CANADA – March 30, 2023 – Neptune Wellness Solution..." |
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| 02/14/2023 |
SC 13G/A
| PERCEPTIVE ADVISORS LLC reports a 0% stake in Neptune Wellness Solutions Inc. |
| 02/14/2023 |
SC 13G/A
| MORGAN STANLEY reports a 4.6% stake in Neptune Wellness Solutions Inc. |
| 02/02/2023 |
EFFECT
| Form EFFECT - Notice of Effectiveness: |
| 01/30/2023 |
S-1/A
| Form S-1/A - General form for registration of securities under the Securities Act of 1933: [Amend] |
| 01/26/2023 |
8-K
| Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance S...|
Docs:
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"INVOICE PURCHASE AND SECURITY AGREEMENT THIS INVOICE PURCHASE AND SECURITY AGREEMENT is made on this 23rd day of January 2023 between Sprouts Foods, Inc. dba Sprout Organics, a Delaware Corporation and Alterna Capital Solutions LLC . 1. Definitions and Index to Definitions. The following terms shall have the following meanings. All capitalized terms not otherwise defined in this Agreement shall have the meaning set forth in the Uniform Commercial Code as adopted in the Chosen State: 1.1. “Account” – the right to payment of a monetary obligation, whether or not earned by performance, for property that has been or is to be sold, licensed, assigned, or otherwise disposed of or for services rendered or to be rendered. 1.2. “Account Debtor” - any person who is obliga...",
"IN CONSIDERATION of the sum of One Dollar , cash in hand paid, and other good and valuable consideration, as well as for the purpose of seeking to induce Alterna Capital Solutions LLC having a principal office at 2420 Lakemont Ave, Suite 350, Orlando, FL 32814 , to extend or continue to extend financial accommodations to Sprout Foods, Inc. , Neptune Wellness Solutions Inc. does hereby absolutely and unconditionally guarantee to said ACS and to its endorsers, transferees, successors or assigns of either this guaranty or any of the obligations secured hereunder, the prompt payment when due and performance, according to their respective terms, of all Liabilities of the Principal to the ACS. 1. The term "Liability" or "Liabilities" as used herein shall include, without limitat...",
"Neptune Wellness Announces an Accounts Receivable Factoring Facility of up to $5 Million for its Sprout Organics Baby Food Brand" |
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| 01/13/2023 |
8-K
| Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance S...|
Docs:
|
"COMMON SHARE PURCHASE WARRANT NEPTUNE WELLNESS SOLUTIONS INC. Warrant Shares: [Number of Shares] Initial Exercise Date: January 12, 2023 Issue Date: January 12, 2023 THIS COMMON SHARE PURCHASE WARRANT certifies that, for value received, [Name of Holder] or its assigns is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after January 12, 2023 and on or prior to 5:00 p.m. on January 12, 2028 , but not thereafter, to subscribe for and purchase from Neptune Wellness Solutions Inc., a company incorporated under the law of the Province of Quebec , up to [Number of Shares] common shares, without par value . This Warrant is issued pursuant to that certain Note Purchase Agreement, dated as of January 12, 2023, by and amo...",
"NOTE PURCHASE AGREEMENT by and among NEPTUNE WELLNESS SOLUTIONs Inc. as Company, CCUR HOLDINGS, INC. as Collateral Agent and the Purchasers from time to time party hereto Dated as of January 12, 2023 312535771.2 TABLE OF CONTENTS Page Article 1 DEFINITIONS 1 1.1 Definitions 1 Article 2 TERM LOANS 12 2.1 Purchase, Sale and Issuance of the Notes 12 2.2 Fees Payable 13 2.3 Closings 13 Article 3 INTEREST AND PAYMENTS 14 3.1 Interest 14 3.2 Redemption of Notes 15 3.3 Manner of Payment 16 Article 4 CONDITIONS TO THE OBLIGATIONS OF THE PURCHASERS 17 4.1 Conditions to the Obligations of the Purchasers to Purchase the Initial Notes on the Initial Closing Date 17 4.2 Conditions to the Obligations of the Purchasers to Purchase the Delayed Draw Notes on the Second Closing Date 19 Article 5 CONDITIONS ...",
"SENIOR SECURED PROMISSORY NOTE AMOUNT $[Amount] NOTE DATE January 12, 2023 MATURITY DATE January 12, 2024 1. On or before the Maturity Date set forth above, or such later date as may be specified in the Purchase Agreement , FOR VALUE RECEIVED, the undersigned, Neptune Wellness Solutions Inc., a corporation incorporated under the Business Corporations Act and domiciled in Canada , promises to pay [Purchaser] , or its registered assigns , the principal sum of [Amount], or so much of said sum as has been advanced and is then outstanding under this Note, together with interest thereon from time to time as provided herein. 2. Purchase Agreement. This Note is issued by the Company, on the date hereof, pursuant to that certain Note Purchase Agreement , dated as of the date hereof, by and among th...",
"REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT is made and entered into as of January 12, 2023, by and between Neptune Wellness Solutions Inc., a Québec, Canada corporation , and the Persons set forth on Schedule A hereto . WHEREAS, this Agreement is made in connection with the issuance and sale of Common Share Purchase Warrants to purchase common shares of the Company pursuant to that certain Note Purchase Agreement, dated as of January [12], 2023, by and among the Company, CCUR Holdings, Inc., as collateral agent, and the Purchasers ; and WHEREAS, the Company has agreed to provide the registration rights set forth in this Agreement for the benefit of the Purchasers pursuant to the Purchase Agreement. NOW THEREFORE, in consideration of the mutual covenants and agr...",
"Neptune Announces Closing of Debt Financing" |
|
| 01/05/2023 |
8-K
| Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Regulation FD Disclosure... |
| 01/04/2023 |
SC 13G
| SABBY MANAGEMENT, LLC reports a 9.4% stake in Neptune Wellness Solutions Inc. |
| 12/29/2022 |
4
| Form 4 - Statement of changes in beneficial ownership of securities: |
| 12/27/2022 |
SC 13D
| Sumar Shohaib Kassam reports a 5.1% stake in NEPTUNE WELLNESS SOLUTIONS INC. |
| 12/21/2022 |
8-K
| Quarterly results |
| 12/19/2022 |
10-Q
| Quarterly Report for the period ended September 30, 2022 |
| 11/23/2022 |
8-K
| Quarterly results |
| 11/15/2022 |
NT 10-Q
| Form NT 10-Q - Notification of inability to timely file Form 10-Q or 10-QSB: |
| 11/09/2022 |
8-K
| Quarterly results |
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