# EDGAR Filing Document

**Accession Number:** 0001852117
**File Stem:** 0001193125-23-046678
**Filing Date:** 2023-2
**Character Count:** 8529
**Document Hash:** a76b204bd968470d5c65e6e7605796d5
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-046678.hdr.sgml**: 20230223

**ACCESSION NUMBER**: 0001193125-23-046678

**CONFORMED SUBMISSION TYPE**: POS AM

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230223

**DATE AS OF CHANGE**: 20230223

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Rockley Photonics Holdings Ltd
- **CENTRAL INDEX KEY:** 0001852117
- **STANDARD INDUSTRIAL CLASSIFICATION:** SEMICONDUCTORS & RELATED DEVICES [3674]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** E9
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** POS AM
- **SEC ACT:** 1933 Act
- **SEC FILE NUMBER:** 333-268104
- **FILM NUMBER:** 23660362

**BUSINESS ADDRESS:**
- **STREET 1:** HARBOUR PLACE, 2ND FLOOR
- **STREET 2:** 103 SOUTH CHURCH STREET
- **CITY:** GEORGE TOWN
- **STATE:** E9
- **ZIP:** KY1-1106
- **BUSINESS PHONE:** 408 579 9210

**MAIL ADDRESS:**
- **STREET 1:** HARBOUR PLACE, 2ND FLOOR
- **STREET 2:** 103 SOUTH CHURCH STREET
- **CITY:** GEORGE TOWN
- **STATE:** E9
- **ZIP:** KY1-1106

**As filed with the Securities and Exchange Commission on February 23, 2023** 

**Registration No. 333-268104** 

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**UNITED STATES** 

**SECURITIES AND EXCHANGE COMMISSION** 

**Washington, D.C. 20549** 

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**POST EFFECTIVE AMENDMENT NO. 1** 

**TO** 

**FORM S-3**

**REGISTRATION STATEMENT** 

***UNDER***

***THE SECURITIES ACT OF 1933***

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## Rockley Photonics Holdings Limited
**(Exact Name of Registrant as Specified in its Charter)** 

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| | | |
|:---|:---|:---|
| **Cayman Islands** | **3674** | **98-1644526** |
| **(State or Other Jurisdiction of**<br> **Incorporation or Organization)** | **(Primary Standard Industrial**<br> **Classification Code No.)** | **(I.R.S. Employer**<br> **Identification No.)** |

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**3<sup>rd</sup> Floor, 1 Ashley Road** 

**Altrincham, Cheshire, United Kingdom, WA14 2DT** 

**+44 (0) 1865 292017** 

**(Address, Including Zip Code, and Telephone Number, Including Area Code, of Registrant's Principal Executive Offices)** 

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**Tom Adams, Esq.** 

**General Counsel** 

**Rockley Photonics Holdings Limited** 

**3rd Floor, 1 Ashley Road** 

**Altrincham, Cheshire, United Kingdom, WA14 2DT** 

**+44 (0) 1865 292017** 

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***Copies to:***

**James J. Masetti, Esq.** 

**Davina K. Kaile, Esq.** 

**Pillsbury Winthrop Shaw Pittman LLP** 

**2550 Hanover Street** 

**Palo Alto, CA 94304** 

**Tel: (650) 233-4500** 

**Fax: (650) 233-4545** 

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**Approximate date of commencement of proposed sale to the public: This post-effective amendment is being filed to deregister the unsold securities previously registered under this Registration Statement.** 

If the only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans, please check the following box: ☐

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, other than securities offered only in connection with dividend or interest reinvestment plans, please 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 registration statement pursuant to General Instruction I.D. or a post-effective amendment thereto that shall become effective upon filing with the Commission pursuant to Rule 462(e) under the Securities Act, check the following box. ☐

If this Form is a post-effective amendment to a registration statement filed pursuant to General Instruction I.D. filed to register additional securities or additional classes of securities pursuant to Rule 413(b) under the Securities Act, check the following box. ☐

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:

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| | | | |
|:---|:---|:---|:---|
| Large accelerated filer | ☐ | Accelerated filer | ☐ |
| Non-accelerated filer | ☒ | Smaller reporting company | ☒ |
|  |  | Emerging growth company | ☒ |

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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. ☐

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**DEREGISTRATION OF SECURITIES** 

This Post-Effective Amendment No. 1 (the "Post-Effective Amendment") relates to the Registration Statement on Form S-3 (No. 333-268104) of Rockley Photonics Holdings Limited (the "Registrant"), which was initially filed with the Securities and Exchange Commission on November 1, 2022 and declared effective on November 9, 2022 (the "Registration Statement"). The Registration Statement was filed with respect to the offer and resale by the selling shareholders named therein from time to time of up to 443,808,239 of the Registrant's ordinary shares.

As previously disclosed, on January 23, 2023, the Registrant filed a voluntary petition for relief under chapter 11 of title 11 (the "Chapter 11 Case") of the United States Code (the "Bankruptcy Code") in the United States Bankruptcy Court for the Southern District of New York (the "Bankruptcy Court"). As a result of the Chapter 11 Case, the Registrant's obligations to maintain the effectiveness of the Registration Statement shall be deemed canceled and the Registrant has terminated all offerings of securities pursuant to the Registration Statement.

Pursuant to the undertaking made by the Registrant in the Registration Statement to remove from registration by means of a post-effective amendment any of the securities that had been registered that remain unsold at the termination of the offering, the Registrant is filing this Post-Effective Amendment to terminate the effectiveness of such Registration Statement and to deregister, as of the effectiveness of this Post-Effective Amendment, any and all ordinary shares registered thereunder that remain unsold as of the effectiveness date.

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**SIGNATURES** 

Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-3 and has duly caused this Post-Effective Amendment No. 1 to be signed on its behalf by the undersigned, thereunto duly authorized in London, United Kingdom, on February 23, 2023.

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| |
|:---|
| ROCKLEY PHOTONICS HOLDINGS LIMITED |
| /s/ Richard A. Meier |
| Name: Richard A. Meier |
| Title: President, Chief Executive Officer and Director |

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Pursuant to the requirements of the Securities Act of 1933, this Post-Effective Amendment No. 1 has been signed below by the following persons in the capacities and on the date indicated.

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| | | |
|:---|:---|:---|
| **Signature** | **Title** | **Date** |
| /s/ Richard A. Meier<br> Richard A. Meier | President, Chief Executive Officer and Director<br> (Principal Executive Officer and Authorized Representative in the United States) | February 23, 2023 |
| /s/ Chad Becker<br> Chad Becker | Interim Chief Financial Officer<br> (Principal Financial and Principal Accounting Officer) | February 23, 2023 |
| /s/ Dr. Andrew Rickman<br> Dr. Andrew Rickman | Director, Executive Chair | February 23, 2023 |
| \*<br> William Huyett | Lead Independent Director | February 23, 2023 |
| \*<br> Karim Karti | Director | February 23, 2023 |
| \*<br> Michele Klein | Director | February 23, 2023 |
| \*<br> Brian Blaser | Director | February 23, 2023 |
| \*<br> Dr. Pamela Puryear | Director | February 23, 2023 |
| \* | Director | February 23, 2023 |
| Dr. Nicolaus Henke |  |  |
| \* | Director | February 23, 2023 |
| Dr. Richard Kuntz |  |  |

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| | |
|:---|:---|
| \* By: | /s/ Tom Adams |
|  | Tom Adams |
|  | Attorney-In-Fact |

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