Mustang Bio Files Amendment No. 1 to S-1 Registration Statement

TL;DR

<b>Mustang Bio files S-1/A amendment, signaling ongoing capital raising or disclosure activities.</b>

AI Summary

MUSTANG BIO, INC. (MBIO) filed a Amended IPO Registration (S-1/A) with the SEC on April 2, 2024. Mustang Bio, Inc. filed an amendment (S-1/A) to its registration statement on April 2, 2024. The filing is registered under the Securities Act of 1933 with SEC file number 333-278006. The company's principal executive offices are located at 377 Plantation Street, Worcester, Massachusetts 01605. Manuel Litchman, M.D. is the President and Chief Executive Officer. The filing indicates Mustang Bio is a smaller reporting company and an emerging growth company.

Why It Matters

For investors and stakeholders tracking MUSTANG BIO, INC., this filing contains several important signals. This amendment suggests Mustang Bio is actively pursuing a public offering or updating its disclosures, which could impact its stock price and investor relations. As an emerging growth company and smaller reporting company, Mustang Bio may be subject to different regulatory requirements and reporting timelines, influencing its financial strategy and market perception.

Risk Assessment

Risk Level: low — MUSTANG BIO, INC. shows low risk based on this filing. The filing is an amendment to a registration statement, which is a standard procedural step and does not inherently indicate significant new risks or positive developments.

Analyst Insight

Monitor future filings for details on the purpose of the S-1/A amendment, such as a proposed offering size and use of proceeds.

Key Numbers

• 2024-04-02 — Filing Date (Amendment No. 1 to FORM S-1)
• 333-278006 — SEC File Number (Registration Statement)
• 01605 — ZIP Code (Principal Executive Offices)
• 47-3828760 — IRS Number (Employer Identification Number)

Key Players & Entities

• Mustang Bio, Inc. (company) — Registrant
• Manuel Litchman, M.D. (person) — President and Chief Executive Officer
• Troutman Pepper Hamilton Sanders LLP (company) — Legal Counsel
• 333-278006 (regulator) — SEC File Number
• 0001104659-24-042648 (regulator) — Accession Number

FAQ

Industry Context

Mustang Bio operates in the pharmaceutical preparations industry, focusing on the development of gene therapies.

Regulatory Implications

The filing is made under the Securities Act of 1933, which governs the registration of securities offered to the public.

What Investors Should Do

1. Review the full S-1/A filing for specific details regarding the purpose of the amendment.
2. Track subsequent filings for updates on any proposed securities offering or significant business developments.
3. Analyze the company's financial health and strategic direction in light of this regulatory filing.

Year-Over-Year Comparison

This is an amendment to a previously filed registration statement, indicating ongoing regulatory processes rather than a new filing.

Filing Documents

• tm248947d2_s1a.htm (S-1/A) — 213KB
• tm248947d2_ex4-8.htm (EX-4.8) — 104KB
• tm248947d2_ex4-9.htm (EX-4.9) — 114KB
• tm248947d2_ex4-10.htm (EX-4.10) — 113KB
• tm248947d2_ex10-40.htm (EX-10.40) — 224KB
• 0001104659-24-042648.txt (&nbsp;) — 769KB

Exhibits and Financial

Item 16. Exhibits and Financial The exhibits listed below are filed as part of this registration statement. Exhibit No. Description Form File Number Date Exhibit No. Filed Herewith 1.1 At Market Issuance Sales Agreement, dated July 27, 2018, between the Company, B. Riley FBR, Inc., Cantor Fitzgerald & Co., National Securities Corporation, and Oppenheimer & Co. Inc. 8-K 001-38191 July 27, 2018 1.1 1.2 Amendment No. 1 to At Market Issuance Sales Agreement, dated July 20, 2020, between the Company, B. Riley FBR, Inc., Cantor Fitzgerald & Co., National Securities Corporation and Oppenheimer & Co. Inc. 8-K 001-38191 July 24, 2020 1.2 1.3 Amendment No. 2 to At Market Issuance Sales Agreement, dated December 31, 2020, between the Company, B. Riley Securities, Inc., Cantor Fitzgerald & Co., National Securities Corporation, Oppenheimer & Co. Inc. and H.C. Wainwright & Co., LLC. (incorporated by reference to the Exhibit 1.1 of the Registrant's Current Report on Form 8-K (file No. 001-38191) filed with the SEC on December 31, 2020). 8-K 001-38191 December 31, 2020 1.1 1.4 Amendment No. 3 to At Market Issuance Sales Agreement, dated April 14, 2023, between the Registrant B. Riley Securities, Inc., Cantor Fitzgerald & Co. and H.C. Wainwright & Co., LLC 8-K 001-38191 April 20, 2023 1.1 2.1 Asset Purchase Agreement, dated May 18, 2023, between the Company and uBriGene (Boston) Biosciences, Inc. # 8-K 001-38191 May 22, 2023 1.1 2.2 First Amendment to Asset Purchase Agreement, dated June 29, 2023, between the Company and uBriGene (Boston) Biosciences, Inc. 8-K 001-38191 June 30, 2023 2.2 2.3 Second Amendment to Asset Purchase Agreement, dated July28, 2023, between the Company and uBriGene (Boston) Biosciences, Inc. 8-K 001-38191 July 31, 2023 2.3 3.1 Amended and Restated Certificate of Incorporation of Mustang Bio, Inc. (formerly Mustang Therapeutics, Inc.), dated July 26, 2016 10-12G 000-5568 July

SIGNATURES

SIGNATURES Pursuant to the requirements of the Securities Act of 1933, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Worcester, Commonwealth of Massachusetts, on this 2 nd day of April, 2024. MUSTANG BIO, INC. By: /s/ Manuel Litchman, M.D. Manuel Litchman, M.D. Chief Executive Officer and President Pursuant to the requirements of the Securities Act of 1933, this registration statement has been signed by the following persons in the capacities and on the dates indicated. Signature Title Date /s/ Manuel Litchman President, Chief Executive Officer and Director Manuel Litchman, M.D. (Principal Executive Officer) April 2, 2024 /s/ James Murphy Interim Chief Financial Officer James Murphy (Principal Financial and Accounting Officer) April 2, 2024 * Chairman of the Board of Directors and Executive Michael S. Weiss Chairman April 2, 2024 * Adam Chill Director April 2, 2024 * Neil Herskowitz Director April 2, 2024 * Lindsay A. Rosenwald, M.D. Director April 2, 2024 * Michael Zelefsky, M.D. Director April 2, 2024 *By: /s/ James Murphy James Murphy Attorney-in-fact

View Full Filing

View this S-1/A filing on SEC EDGAR