Anavex Life Sciences Corp 2023年度报告

FORM 10-K (Mark One) ☒ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIESEXCHANGE ACT OF 1934For the fiscal year endedSeptember 30, 2024 ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIESEXCHANGE ACT OF 1934For the transition period from ______________ to________________ Commission file number: 001-37606 ANAVEX LIFE SCIENCES CORP.(Exact name of registrant as specified in its charter) Nevada(State or other jurisdiction of incorporation or organization) 98-0608404(I.R.S. Employer Identification No.) 630 5th Avenue, 20th Floor, New York, NY USA(Address of principal executive offices) Registrant’s telephone number, including area code 1-844-689-3939 Securities registered under Section 12(b) of the Act: Common Stock, $0.001 par valueAVXLNASDAQ Stock Market LLCTitle of each classTrading SymbolName of each exchange on which registered Securities registered pursuant to Section 12(g) of the Act: None(Title of class) Indicate by checkmark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes☐No☐ Indicate by checkmark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act. Indicate by checkmark whether the registrant has (1) filed all reports required to be filed by Section 13 or 15(d) ofthe Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrantwas required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes☐No☐ Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to besubmitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or forsuch shorter period that the registrant was required to submit and post such files). Yes☐No☐ Indicate by checkmark 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 ExchangeAct. Accelerated filer☐Smaller reporting company☐Emerging growth company☐ Large accelerated filer☐Non-accelerated filer☐ If an emerging growth company, indicate by check mark if the registrant has elected not to use the extendedtransition period for complying with any new or revised financial accounting standards provided pursuant to Section13(a) of the Exchange Act Indicate by check mark whether the registrant has filed a report on and attestation to its management’s assessment ofthe effectiveness of its internal controls over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report. Yes☐No☐ If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financialstatements of the registrant included in the filing reflect the correction of an error to previously issued financialstatements Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis ofincentive-based compensation received by any of the registrant’s executive officers during the relevant recoveryperiod pursuant to §240.10D-1(b). ☐ Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes☐No☐ State the aggregate market value of the voting and non-voting common equity held by non-affiliates computed byreference to the price at which the common equity was last sold, or the average bid and asked price of such commonequity, as of the last business day of the registrant’s most recently completed second fiscal quarter: $412 millionbased on a price of $5.09 per share, being the closing price of the registrant’s common stock on March 31, 2024. Indicate the number of shares outstanding of each of the registrant’s classes of common stock, as of the latestpracticable date: 84,815,517 issued and outstanding as of December 23, 2024. DOCUMENTS INCORPORATED BY REFERENCE None. TABLE OF CONTENTS PART I6ITEM 1. BUSINESS6ITEM 1A. RISK FACTORS32ITEM 1B. UNRESOLVED STAFF COMMENTS62ITEM 1C. CYBERSECURITY62ITEM 2. PROPERTIES63ITEM 3. LEGAL PROCEEDINGS63ITEM 4. MINE SAFETY DISCLOSURES64PART II64ITEM 5. MARKET FOR REGISTRANT’S COMMON EQUITY, RELATED STOCKHOLDERMATTERS AND ISSUER PURCHASES OF EQUITY SECURITIES64ITEM 7 MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION ANDRESULTS OF OPERATION64ITEM 7A QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK70ITEM 8. FINANCIAL STATEMENTS AND SUPPLEMENTARY DATAF-1ITEM 9. CHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTINGAND FINANCIAL MATTERS71ITEM 9A. CONTROLS AND PROCEDURES71ITEM 9B OTHER INFORMATION71ITEM 9C DISCLOSURE REGARDING FOREIGN JURISDICTIONS THA