UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM S-1

(Post-Effective Amendment No. 1)

 

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933

 

ASSURE HOLDINGS CORP.

(Exact Name of Registrant as Specified in its Charter)

 

Nevada   809913   82-2726719
(State or other jurisdiction of
incorporation or organization)
  Primary Standard Industrial
Classification Code Number)
  (I.R.S. Employer
Identification No.)

 

7887 East Belleview Avenue, Suite 500

Denver, Colorado 80111

Telephone: 720-287-3093

(Address, including zip code, and telephone number,

including area code, of principal executive offices)

 

John Farlinger

Executive Chairman and Chief Executive Officer

7887 East Belleview Avenue, Suite 500

Denver, Colorado 80111

Telephone: 720-287-3093

(Address, including zip code, and telephone number,

including area code, of agent for service)

 

Copies to:

 

Jason K Brenkert, Esq.

Sudeep Simkhada, Esq.

Dorsey & Whitney LLP

1400 Wewatta Street, Suite 400

Denver, Colorado 80202

Telephone: (303) 352-1133

Fax Number: (303) 629-3450

Ross D. Carmel, Esq.

Philip Magri, Esq.

Carmel, Milazzo & Feil LLP

55 West 39th Street, 4th Floor

New York, New York 10018

Telephone: (212) 658-0458

Fax Number: (646) 838-1314

 

As soon as practicable after the effective date of this Registration Statement.

(Approximate date of commencement of proposed sale to the public)

 

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: x

 

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 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. x File No. 333-269438

 

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 x Smaller reporting company x
  Emerging Growth Company x

 

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 Securities Act. ¨

 

The Registrant shall become effective upon filing in accordance with Rule 462(d) promulgated under the Securities Act of 1933, as amended.

 

 

 

 

 

 

EXPLANATORY NOTE

 

This Post-Effective Amendment No. 1 to Form S-1 Registration Statement is filed pursuant to Rule 462(d) of the Securities Act of 1933, as amended (the “Securities Act”) and relates to the public offering of common stock and pre-funded warrants of Assure Holdings Corp. (the “Registrant”), contemplated by the Registration Statement on Form S-1, as amended (File No. 333-269438), initially filed by the Registrant with the Securities and Exchange Commission (the “Commission”) on January 27, 2023 (as amended, the “Prior Registration Statement”) pursuant to the Securities Act, which was declared effective by the Commission on May 11, 2023.

 

The Registrant is filing this Amendment No. 1 solely to add exhibits to the previously effective Prior Registration Statement by (i) removing the previously filed Exhibit 5.1 and replacing it with Exhibit 5.1 filed herewith in order to reflect an increase in the number of shares covered by the legal opinion of Dorsey & Whitney LLP, (ii) removing the previously filed Exhibit 1.1 and replacing with the Exhibit 1.1 filed herewith in order to reflect the executed form of the underwriting agreement. and (iii) removing the previously filed Exhibit 4.2 and replacing with the Exhibit 4.2 filed herewith in order to reflect final form of the representative’s warrant covered by the Prior Registration Statement. Accordingly, this Post-Effective Amendment No. 1 consists only of a facing page, this explanatory note and Part II Item 16(a) of the Registration Statement on Form S-1 setting forth the exhibits to the Registration Statement. This Post-Effective Amendment No. 1 does not modify any other part of the Prior Registration Statement. Pursuant to Rule 462(d) under the Securities Act, this Post-Effective Amendment No. 1 shall become effective immediately upon filing with the Commission. The contents of the Prior Registration Statement, including all amendments and exhibits thereto, are hereby incorporated by reference.

  

PART II

 

INFORMATION NOT REQUIRED IN PROSPECTUS

 

ITEM 16. Exhibits and Financial Statement Schedules

 

(a) Exhibits.

 

See the Exhibit Index on the page immediately preceding the exhibits for a list of the additional exhibits filed as part of this registration statement on Form S-1, which Exhibit Index is incorporated herein by reference.

 

 

 

 

SIGNATURES

 

In accordance with 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 Denver, State of Colorado, on May 12, 2023.

 

ASSURE HOLDINGS CORP.  
     
By: /s/ John Farlinger  
  Name: John Farlinger  
  Title: Chief Executive Officer  

 

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

 

Signature   Title   Date
         
/s/ John Farlinger   Executive chairperson and Chief Executive Officer   May 12, 2023
John Farlinger   (Principal Executive Officer)    
         
/s/ John Price   Chief Financial Officer and Principal Accounting Officer   May 12, 2023
John Price   (Principal Financial and Accounting Officer)    
         
*   Director   May 12, 2023
Christopher Rumana        
         
*   Director   May 12, 2023
Steven Summer        
         
*   Director   May 12, 2023
John Flood        

 

* By: /s/ John Farlinger  
  John Farlinger  
  Attorney-in-Fact pursuant to Power of Attorney  
  Dated January 27, 2023  

 

 

 

 

EXHIBIT INDEX

 

Exhibit    
Number   Description
1.1*   Underwriting Agreement between the Registrant and Joseph Gunnar & Co., LLC and underwriters named in Schedule I thereto, dated May 11, 2023
     
4.2*   Form of Representative’s Warrant
     
5.1*   Opinion of Dorsey & Whitney LLP
     
23.2*   Consent of Dorsey & Whitney LLP (included as part of Exhibit 5.1 hereto)
     
24.1   Power of Attorney (incorporated by reference to the signature page to the Registrant’s Registration Statement on Form S-1, as amended (File No. 333-269438), originally filed with the Securities and Exchange Commission on January 27, 2023)

 

*Filed herewith.