F-6 1 tm2325214d1_f6.htm FORM F-6

 

As filed with the U.S. Securities and Exchange Commission on August 31, 2023.

Registration No.  333-_________

 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

FORM F-6

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 FOR

DEPOSITARY SHARES EVIDENCED BY AMERICAN DEPOSITARY RECEIPTS

 

 

 

NOVO NORDISK A/S

(Exact name of issuer of deposited securities as specified in its charter)

 

N/A

(Translation of issuer's name into English)

 

Denmark

(Jurisdiction of incorporation or organization of issuer)

 

JPMORGAN CHASE BANK, N.A.

(Exact name of depositary as specified in its charter)

 

383 Madison Avenue, Floor 11, New York, New York 10179

Telephone: +1-800- 990-1135

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

 

 

 

Novo Nordisk Inc.

800 Scudders Mill Road

Plainsboro, New Jersey 08536

Telephone: +1-609-987-5800

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

 

Copies to:

JPMorgan Chase Bank, N.A.
383 Madison Avenue, Floor 11
New York, New York 10179
Telephone: +1-800-990-1135
 
Scott R. Saks, Esq.
Norton Rose Fulbright US LLP
1301 Avenue of the Americas
New York, New York 10019-6022
Telephone: +1-212-318-3151  

 

It is proposed that this filing become effective under Rule 466

¨     immediately upon filing

¨     on (Date) at (Time)

 

If a separate registration statement has been filed to register the deposited shares, check the following box. x

 

CALCULATION OF REGISTRATION FEE

Title of Each Class of
Securities to be Registered

Amount

to be Registered

Proposed Maximum
Aggregate Price Per
Unit (1)

Proposed Maximum
Aggregate Offering
Price (2)

Amount of
Registration Fee

American Depositary Shares evidenced by American Depositary Receipts, each American Depositary Share representing one (1) B share of Novo Nordisk S/A.

500,000,000

American Depositary Shares

$0.05 $25,000,000 $2,755.00
(1)Each unit represents one American Depositary Share.
(2)Estimated solely for the purpose of calculating the registration fee. Pursuant to Rule 457(k), such estimate is computed on the basis of the maximum aggregate fees or charges to be imposed in connection with the issuance of American Depositary Receipts evidencing American Depositary Shares.

 

Pursuant to Rule 429, the Prospectus contained herein also relates to the American Depositary Shares registered under Form F-6 Registration Statement No. 333-192740. This Registration Statement also constitutes Post-Effective Amendment No. 2 to Registration Statement No. 333-192740.

 

The Registrant hereby amends this Registration Statement on Form F-6 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 on Form F-6 shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933 or until this Registration Statement on Form F-6 shall become effective on such date as the Commission, acting pursuant to said Section 8(a), may determine.

 

 

 

 

 

 

PART I

INFORMATION REQUIRED IN PROSPECTUS

 

The Prospectus consists of the proposed form of American Depositary Receipt ("ADR" or "American Depositary Receipt") included as Exhibit A to the form of Second Amendment to the Amended and Restated Deposit Agreement filed as Exhibit (a)(3) to this Registration Statement on Form F-6, which is incorporated herein by reference.

 

Item 1. DESCRIPTION OF SECURITIES TO BE REGISTERED

 

CROSS REFERENCE SHEET

 

 

Item Number and Caption

 

Location in Form of American Depositary

Receipt Filed Herewith as Prospectus

     
(1) Name and address of Depositary   Introductory paragraph and bottom of face of American Depositary Receipt
       
(2) Title of American Depositary Receipts and identity of deposited securities   Face of American Depositary Receipt, top center
  Terms of Deposit:    
  (i) Amount of deposited securities represented by one unit of American Depositary Shares   Face of American Depositary Receipt, upper right corner
  (ii) Procedure for voting, if any, the deposited securities   Paragraphs (6), (11) and (12)
  (iii) Procedure for collecting and distributing dividends   Paragraphs (4), (5), (7), (10), (11) and (13)
  (iv) Procedures for transmitting notices, reports and proxy soliciting material   Paragraphs (3), (8), (11) and (12)
  (v) Sale or exercise of rights   Paragraphs (4), (5), (7) and (10)
  (vi) Deposit or sale of securities resulting from dividends, splits or plans of reorganization   Paragraphs (3), (4), (5), (7), (10), (11) and (13)
  (vii) Amendment, extension or termination of the Deposit Agreement   Paragraphs (15), (16) and (17)
  (viii) Rights of holders of ADRs to inspect the transfer books of the Depositary and the list of holders of ADRs   Paragraph (3)
  (ix) Restrictions upon the right to deposit or withdraw the underlying securities   Paragraphs (1), (2), (4), (5) and (6)
  (x) Limitation upon the liability of the Depositary   Paragraphs (14), (17), (19) and (20)
         
(3) Fees and charges that a holder of ADRs may have to pay, either directly or indirectly   Paragraph (7)

 

 

 

 

Item 2. AVAILABLE INFORMATION

 

 

Item Number and Caption

 

Location in Form of American Depositary

Receipt Filed Herewith as Prospectus

     
Novo Nordisk A/S is subject to the periodic reporting requirements of the Securities Exchange Act of 1934, as amended, and accordingly files certain reports with the Securities and Exchange Commission.  These reports can be inspected and retrieved by holders of American Depositary Receipts through the EDGAR system on the Securities and Exchange Commission’s Internet Website, currently located at www.sec.gov, and can be inspected and copied at public reference facilities maintained by the Securities and Exchange Commission, currently located at 100 F Street, N.E., Washington, D.C. 20549.   Paragraph (8)

 

 

 

 

PART II

 

INFORMATION NOT REQUIRED IN PROSPECTUS

 

Item 3. EXHIBITS

 

(a)(1)Deposit Agreement. Amended and Restated Deposit Agreement, dated as of August 11, 2010 (the “Deposit Agreement”), among Novo Nordisk A/S (the “Company”), JPMorgan Chase Bank, N.A., as depositary (the "Depositary"), and all Holders from time to time of American Depositary Receipts (“ADRs”) issued thereunder. Filed herewith as Exhibit (a)(1).

 

(a)(2)Amendment No. 1 to Deposit Agreement. Amendment No. 1, dated as of March 2, 2017, to the Deposit Agreement, among the Company, the Depositary, and all Holders from time to time of ADRs issued thereunder. Filed herewith as Exhibit (a)(2).

 

(a)(3)Form of Amendment No. 2 to Deposit Agreement. Form of Amendment No. 2 to the Deposit Agreement, as amended, among the Company, the Depositary, and all Holders from time to time of ADRs issued thereunder, including the Form of ADR attached as Exhibit A thereto. Filed herewith as Exhibit (a)(3).

 

(b)Any other agreement to which the Depositary is a party relating to the issuance of the American Depositary Shares registered hereby or the custody of the deposited securities represented thereby. Not Applicable.

 

(c)Every material contract relating to the deposited securities between the Depositary and the issuer of the deposited securities in effect at any time within the last three years. Not Applicable.

 

(d)Opinion of Norton Rose Fulbright US LLP, counsel to the Depositary, as to the legality of the securities being registered. Filed herewith as Exhibit (d).

 

(e)Certification under Rule 466. Not Applicable.

 

(f)Power of Attorney of certain officers and directors of the Company. Set forth on the signature pages hereto.

 

Item 4. UNDERTAKINGS

 

(a)The Depositary hereby undertakes to make available at the principal office of the Depositary in the United States, for inspection by holders of the American Depositary Receipts, any reports and communications received from the issuer of the deposited securities which are both (1) received by the Depositary as the holder of the deposited securities, and (2) made generally available to the holders of the underlying securities by the issuer.

 

(b)If the amounts of fees charged are not disclosed in the prospectus, the Depositary undertakes to prepare a separate document stating the amount of any fee charged and describing the service for which it is charged and to deliver promptly a copy of such fee schedule without charge to anyone upon request. The Depositary undertakes to notify each registered holder of an American Depositary Receipt thirty days before any change in the fee schedule.

 

 

 

 

SIGNATURE

 

Pursuant to the requirements of the Securities Act of 1933, as amended, JPMorgan Chase Bank, N.A., acting solely in its capacity as depositary (the “Depositary”) on behalf of the legal entity created by the Amended and Restated Deposit Agreement (the “Deposit Agreement”) among Novo Nordisk A/S, the Depositary and all Holders from time to time of American Depositary Receipts (“ADRs”) issued thereunder, certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in The City of New York, State of New York, on August 31, 2023.

 

  Legal entity created by the Deposit Agreement for the issuance of ADRs evidencing American Depositary Shares
   
  By: JPMORGAN CHASE BANK, N.A., solely in its capacity as Depositary
     
     
    By: /s/ Gregory A. Levendis
      Name: Gregory A. Levendis
      Title: Executive Director

 

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, as amended, Novo Nordisk A/S certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in Bagsvaerd, Denmark, on August 31, 2023.

 

  NOVO NORDISK A/S
   
   
  By: /s/ Lars Fruergaard Jørgensen
    Name: Lars Fruergaard Jørgensen
    Title: President and Chief Executive Officer

 

POWERS OF ATTORNEY

 

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Lars Fruergaard Jørgensen and Karsten Munk Knudsen, and each of them, his or her true and lawful attorneys-in-fact and agents, each with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in any and all capacities, to sign any or all amendments (including post-effective amendments) to this Registration Statement and any and all related registration statements pursuant to Rule 462(b) of the Securities Act, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, or their substitute or substitutes, may lawfully do or cause to be done by virtue hereof.

 

Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement on Form F-6 has been signed by the following persons in the capacities indicated on August 31, 2023.

 

SIGNATURES

 

Signature

 

 

 

Title

 

/s/ Lars Fruergaard Jørgensen

 

President and Chief Executive Officer

Lars Fruergaard Jørgensen   (principal executive officer)
     

/s/ Karsten Munk Knudsen

 

Executive Vice President and Chief Financial Officer

Karsten Munk Knudsen   (principal financial and accounting officer)
     

/s/ Helge Lund

Chair of the Board and Director

Helge Lund    

 

 

 

 

/s/ Henrik Poulsen

Vice Chair of the Board and Director

Henrik Poulsen    
     

/s/ Elisabeth Dahl Christensen

Director

Elisabeth Dahl Christensen    
     

 

 

Director

Laurence Debroux    
     

 

 

Director

Andreas Fibig    
     

 

 

Director

Sylvie Grégoire    
     

/s/ Liselotte Hyveled

 

Director

Liselotte Hyveled    
     

/s/ Mette Bøjer Jensen

 

Director

Mette Bøjer Jensen    
     

/s/ Kasim Kutay

 

Director

Kasim Kutay  
     

 

 

Director

Christina Law    
     

 

 

Director

Martin Mackay    
     

/s/ Thomas Rantzau

 

Director

Thomas Rantzau    

 

 

 

 

SIGNATURE OF AUTHORIZED U.S. REPRESENTATIVE OF THE REGISTRANT

 

Pursuant to the requirements of the Securities Act of 1933, as amended, the undersigned, the duly authorized representative in the United States of Novo Nordisk A/S, has signed this Registration Statement on Form F-6 on August 31, 2023.

 

  Authorized U.S. Representative
   
  By: NOVO NORDISK INC.
     
     
    By: /s/ Steve Benz
      Name: Steve Benz
      Title: US General Counsel

 

 

 

 

INDEX TO EXHIBITS

 

Exhibit
Number
 
   
(a)(1) Amended and Restated Deposit Agreement, dated as of August 11, 2010 (the “Deposit Agreement”), among Novo Nordisk A/S (the “Company”), JPMorgan Chase Bank, N.A., as depositary (the "Depositary"), and all Holders from time to time of American Depositary Receipts (“ADRs”) issued thereunder.
   
(a)(2) Amendment No. 1, dated as of March 2, 2017, to the Deposit Agreement, among the Company, the Depositary, and all Holders from time to time of ADRs issued thereunder.
   
(a)(3) Form of Amendment No. 2 to the Deposit Agreement, as amended, among the Company, the Depositary, and all Holders from time to time of ADRs issued thereunder, including the Form of ADR attached as Exhibit A thereto.
   
(d) Opinion of Norton Rose Fulbright US LLP, counsel to the Depositary, as to the legality of the securities being registered.