SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
to
Under
The Securities Act of 1933
(Exact name of Registrant as specified in its charter)
| | Delaware (State or other jurisdiction of incorporation or organization) | | | 2834 (Primary Standard Industrial Classification Code Number) | | | 85-3940478 (I.R.S. Employer Identification Number) | |
Suite 1750
Irvine, CA
(949) 354-6499
c/o AEON Biopharma, Inc.
5 Park Plaza, Suite 1750
Irvine, California 92614
(949) 354-6499
| | David E. Danovitch Angela Gomes Sullivan & Worcester LLP 1251 Avenue of the Americas New York, New York 10020 (212) 660-3060 | | | Jonathan Zimmerman Tyler Vivian Faegre Drinker Biddle & Reath LLP 2200 Wells Fargo Center 90 South 7th Street Minneapolis, MN 55402 (612) 766-7000 | |
As soon as practicable after the effective date of this Registration Statement.
| | Large accelerated filer | | | ☐ | | | Accelerated filer | | | ☐ | |
| | Non-accelerated filer | | | ☒ | | | Smaller reporting company | | | ☒ | |
| | | | | | | | Emerging growth company | | | ☒ | |
| | Exhibit No. | | | Description | |
| | 1.1* | | | Form of Underwriting Agreement | |
| | 2.1 | | | | |
| | 2.1(a) | | | | |
| | 3.1 | | | | |
| | 3.1.1 | | | | |
| | 3.2 | | | | |
| | 3.2.1 | | | | |
| | 4.1 | | | | |
| | 4.2 | | | | |
| | 4.3 | | | | |
| | 4.4 | | | | |
| | 4.5 | | | | |
| | 4.6 | | | | |
| | 4.7 | | | | |
| | 4.8 | | | | |
| | 4.9 | | | | |
| | 4.10 | | | | |
| | 4.11 | | | |
| | Exhibit No. | | | Description | |
| | 4.12* | | | Form of Pre-Funded Warrant | |
| | 4.13* | | | Form of Two-Year Milestone Warrant | |
| | 4.14* | | | Form of Five-Year Milestone Warrant | |
| | 4.15* | | | | |
| | 5.1* | | | Opinion of Sullivan & Worcester LLP | |
| | 10.1+ | | | | |
| | 10.1(a)+ | | | | |
| | 10.1(b)+ | | | | |
| | 10.1(c)+ | | | | |
| | 10.2+ | | | | |
| | 10.3+ | | | | |
| | 10.4+ | | | | |
| | 10.5+ | | | | |
| | 10.6+ | | | | |
| | 10.7+ | | | | |
| | 10.8 | | | | |
| | 10.9 | | | | |
| | 10.10 | | | | |
| | 10.11 | | | | |
| | 10.12 | | | |
| | Exhibit No. | | | Description | |
| | 10.13 | | | | |
| | 10.14 | | | | |
| | 10.14(a) | | | | |
| | 10.14(b) | | | | |
| | 10.14(c) | | | | |
| | 10.14(d) | | | | |
| | 10.15 | | | | |
| | 10.15(a) | | | | |
| | 10.16 | | | | |
| | 10.16(a) | | | | |
| | 10.17 | | | | |
| | 10.18 | | | | |
| | 10.19+ | | | | |
| | 10.20+ | | | | |
| | 10.21 | | | |
| | Exhibit No. | | | Description | |
| | 10.22 | | | | |
| | 10.23 | | | | |
| | 10.24 | | | | |
| | 10.25 | | | | |
| | 10.26+ | | | | |
| | 10.26(a)+ | | | | |
| | 10.26(b)+ | | | | |
| | 10.27 | | | | |
| | 10.28+ | | | | |
| | 10.29+ | | | | |
| | 10.30+ | | | | |
| | 10.31* | | | Form of Warrant Solicitation Agreement | |
| | 23.1* | | | Consent of KPMG LLP | |
| | 23.2* | | | Consent of Sullivan & Worcester LLP (included in Exhibit 5.1) | |
| | 24.1* | | | Power of Attorney (included on signature page) | |
| | 107† | | | Filing Fee Table | |
Title: President and Chief Executive Officer
| | Signature | | | Title | | | Date | |
| | /s/ Robert Bancroft Robert Bancroft | | | President, Chief Executive Officer (Principal Executive Officer) and Director | | | July 9, 2026 | |
| | * Jennifer Sy | | | Chief Accounting Officer (Principal Accounting Officer) | | | July 9, 2026 | |
| | * John Bencich | | | Chief Financial Officer (Principal Financial Officer) | | | July 9, 2026 | |
| | * Jost Fischer | | | Chairman of the Board | | | July 9, 2026 | |
| | * Robert Palmisano | | | Director | | | July 9, 2026 | |
| | * Shelley Thunen | | | Director | | | July 9, 2026 | |
| | * Eric Carter | | | Director | | | July 9, 2026 | |
| | * Seongsoo Park | | | Director | | | July 9, 2026 | |
| | * Marc Forth | | | Director | | | July 9, 2026 | |