S-1/A 1 ea152300-s1a3_northviewacq.htm AMENDMENT NO. 3 TO FORM S-1

As filed with the Securities and Exchange Commission on December 14, 2021

Registration No. 333-257156

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

AMENDMENT NO. 3 TO

FORM S-1

REGISTRATION STATEMENT

 

UNDER

THE SECURITIES ACT OF 1933

 

NORTHVIEW ACQUISITION CORPORATION

(Exact name of registrant as specified in its charter)

 

Delaware   6770   86-3437271
(State or other jurisdiction of
incorporation or organization)
  (Primary Standard Industrial
Classification Code Number)
  (I.R.S. Employer
Identification Number)

 

207 West 25th St, 9th Floor
New York, NY 10001
(212) 494-9022

(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)

 

Jack E. Stover

Chief Executive Officer

207 West 25th St, 9th Floor
New York, NY 10001
(212) 494-9022

(Name, address, including zip code, and telephone number, including area code, of agent for service)

 

 

 

Copies to:

 

Ralph V. De Martino, Esq.
Cavas Pavri, Esq.
Schiff Hardin LLP
901 K Street NW
Suite 700
Washington, DC 20001
Telephone: (202) 778-6400
Facsimile: (202) 778-6460
  Barry Grossman, Esq.
Benjamin Reichel, Esq.
Ellenoff Grossman & Schole LLP
1345 Avenue of the Americas
New York, New York 10105
Tel: (212) 370-1300

 

Approximate date of commencement of proposed sale to the public: As soon as practicable after the effective date of this registration statement.

 

If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933 check the following box. ☐

 

If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐

 

If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐

 

If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer Accelerated filer
Non-accelerated filer Smaller reporting company
    Emerging growth company

 

The Registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the registrant shall file a further amendment which specifically states that this Registration Statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933, as amended, or until the Registration Statement shall become effective on such date as the Securities and Exchange Commission, acting pursuant to said Section 8(a), may determine.

 

 

 

 

 

EXPLANATORY NOTE

 

NorthView Acquisition Corporation is filing this Amendment No. 3 (this “Amendment”) to its Registration Statement on Form S-1 (File No. 333-257156) (the “Registration Statement”) as an exhibits-only filing. Accordingly, this Amendment consists only of the facing page, this explanatory note, Item 16(a) of Part II of the Registration Statement, the signature page to the Registration Statement and the filed exhibits. The remainder of the Registration Statement is unchanged and has been omitted. 

 

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PART II

 

INFORMATION NOT REQUIRED IN PROSPECTUS

 

Item 16. Exhibits and Financial Statement Schedules.

 

  (a) Exhibits. The following list of exhibits is being filed herewith:

  

EXHIBIT INDEX

 

Exhibit No.   Description
1.1   Form of Underwriting Agreement.*
1.2   Form of Business Combination Marketing Agreement between the Registrant, I-Bankers Securities, Inc. and Dawson James Securities, Inc.**
3.1   Certificate of Incorporation.**
3.2   Form of Amended and Restated Certificate of Incorporation.**
3.3   Bylaws.**
4.1   Specimen Unit Certificate.**
4.2   Specimen Common Stock Certificate.**
4.3   Specimen Warrant Certificate.**
4.4   Specimen Rights Certificate.**
4.5   Form of Rights Agreement between Continental Stock Transfer & Trust Company and the Registrant.**
4.6   Form of Warrant Agreement between Continental Stock Transfer & Trust Company and the Registrant.**
5.1   Opinion of Schiff Hardin LLP.**
10.1   Amended and Restated Promissory Note issued by the Registrant to Sponsor.*
10.2   Form of Letter Agreement among the Registrant, Sponsor and each officer and director of the Registrant.**
10.3   Form of Investment Management Trust Agreement between Continental Stock Transfer & Trust Company and the Registrant.**
10.4   Form of Registration Rights Agreement among the Registrant and certain security holders.**
10.5   Form of Founder Stock Subscription Agreement.**
10.6   Form of Private Placement Warrants Purchase Agreement between the Registrant and the parties thereto.**
10.7   Form of Indemnity Agreement.**
10.8   Form of Administrative Services Agreement.**
14   Form of Code of Ethics.**
23.1   Consent of Marcum LLP.**
23.2   Consent of Schiff Hardin LLP (to be included on Exhibit 5.1).**
99.1   Form of Audit Committee Charter.**
99.2   Form of Compensation Committee Charter.**
99.3   Form of Nominating and Corporate Governance Committee Charter.**
99.4   Consent of Ed Johnson**
99.5   Consent of Lauren Chung**
99.6   Consent of Peter O’Rourke**

 

 

* Filed herewith.
** Previously Filed.

 

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SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, as amended, the registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York on the 14th day of December, 2021.

 

NORTHVIEW ACQUISITION CORPORATION
   
  By: /s/ Jack Stover
  Name:  Jack Stover
  Title: Chief Executive Officer

 

Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed below by the following persons in the capacities and on the dates indicated.

 

Name   Position   Date
         
/s/ Jack Stover   Director & Chief Executive Officer   December 14, 2021
Jack Stover   (Principal Executive Officer)    
         
/s/ Fred Knechtel   Director & Chief Financial Officer   December 14, 2021
Fred Knechtel   (Principal Financial and Accounting Officer)    

 

 

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