Appointment of Agent for Service of Process and Undertaking (f-x)
February 13 2019 - 10:03AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
F-X
APPOINTMENT
OF AGENT FOR SERVICE
OF PROCESS AND UNDERTAKING
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A.
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Name of issuer or person filing (“Filer”):
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NEPTUNE WELLNESS SOLUTIONS INC.
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B.
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(1)
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This is [check one]:
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☒
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an original filing for the Filer.
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☐
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an amended filing for the Filer.
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(2)
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Check the following box if you are filing the Form
F-X
in paper in accordance with Regulation
S-T
Rule
101(b)(9) ☐
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C.
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Identify the filing in conjunction with which this Form is being filed:
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Name of registrant:
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NEPTUNE WELLNESS SOLUTIONS INC.
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Form type:
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Form
F-10
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File Number (if known):
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333-229631
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Filed by:
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NEPTUNE WELLNESS SOLUTIONS INC.
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Date Filed (if filed concurrently, so indicate):
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February 13, 2019 (concurrently)
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D.
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The Filer is incorporated or organized under the laws of Quebec, Canada and has its principal place of business at:
545 Promenade du Centropolis
Suite 100
Laval, Quebec
Canada H7T 0A3
Telephone:
(450) 687-2262
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E.
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The Filer designates and appoints
CT CORPORATION SYSTEM
(“Agent”), located at:
111 Eighth Avenue
New York, New York 10011
Telephone:
(212) 894-8700
as the agent of the Filer
upon whom may be served any process, pleadings, subpoenas, or other papers in:
(a) any investigation or administrative proceeding conducted by the Securities and Exchange
Commission (the “Commission”); and
(b) any civil suit or action brought against the Filer or to which the Filer has been joined as
defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, where the investigation, proceeding or cause
of action arises out of or relates to or concerns any offering made or purported to be made in connection with the securities registered or qualified by the Filer on Form
F-10
on February 13, 2019 or any
purchases or sales of any security in connection therewith. The Filer stipulates and agrees that any such civil suit or action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative
subpoena shall be effected by service upon such agent for service of process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been
made.
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F.
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The Filer stipulates and agrees to appoint a successor agent for service of process and file an amended Form
F-X
if the Filer discharges the Agent or the Agent is unwilling or
unable to accept service on behalf of the Filer at any time until six years have elapsed from the date the Filer has ceased reporting under the Securities Exchange Act of 1934, as amended. The Filer further undertakes to advise the Commission
promptly of any change to the Agent’s name or address during the applicable period by amendment of this Form, referencing the file number of the relevant form in conjunction with which the amendment is being filed.
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G.
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The Filer undertakes to make available, in person or by telephone, representatives to respond to inquiries made by the Commission staff, and to furnish promptly, when requested to do so by the Commission staff,
information relating to the
Form F-10,
the securities to which the Form
F-10
relates and the transactions in such securities.
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The Filer certifies that it has duly caused this power of attorney, consent, stipulation and agreement to be
signed on its behalf by the undersigned, thereunto duly authorized, in the City of Laval, Province of Quebec, Country of Canada, this 13th day of February, 2019.
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NEPTUNE WELLNESS SOLUTIONS INC.
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By:
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/s/ James S. Hamilton
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Name: James S. Hamilton
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Title: President and Chief Executive Officer
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This statement has been signed by the following person in the capacity and on the date indicated.
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CT CORPORATION SYSTEM
as
Agent for Service of Process for
NEPTUNE WELLNESS SOLUTIONS INC.
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By:
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/s/ Olga Hinkel
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Name: Olga Hinkel
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Title: Vice President
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