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|
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(State or other jurisdiction of incorporation or organization)
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(Commission File Number)
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(I.R.S. Employer Identification No.)
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Title of each class
|
Trading
Symbol(s)
|
Name of each exchange
on which registered
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||
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Item 1.01. |
Entry into a Material Definitive Agreement
|
Item 2.03. |
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.
|
Item 9.01. |
Financial Statements and Exhibits.
|
Exhibit
No.
|
Description
|
|
10.1†
|
Third Amendment to the Loan and Security Agreement between the Registrant, ATAI Life Sciences AG, certain of the Registrant’s subsidiaries from time to time
party thereto as a guarantor, Hercules Capital, Inc., and the several banks and other financial institutions or entities from time to time party thereto, and Hercules Capital, Inc. as administrative agent and collateral agent for itself and
the lenders, dated August 14, 2024.
|
|
104
|
Cover Page Interactive Data File (embedded within the inline XBRL document).
|
|
†
|
Certain confidential portions (indicated by brackets and asterisks) have been omitted from this exhibit pursuant to Item
601(b)(10)(iv). Schedules and exhibits have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The Registrant agrees to furnish supplementally to the Securities and Exchange Commission a copy of any omitted information upon request.
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ATAI LIFE SCIENCES N.V.
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||
Date: August 14, 2024
|
By:
|
/s/ Florian Brand
|
Name:
|
Florian Brand
|
|
Title:
|
Co-Chief Executive Officer
|
Date: August 14, 2024
|
By:
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/s/ Srinivas Rao
|
Name:
|
Srinivas Rao
|
|
Title:
|
Co-Chief Executive Officer
|