Formulaire 424B5 Ampio Pharmaceuticals, ◄ mutuelle entreprise

L’assurance des risques informatiques

Cette caractère indispensable aux sociétés qui manient de nombreuses données informatiques (SSII, cabinets de conseil, les agences de voyage, les entreprises de vente en ligne) couvre les ordinateurs cependant aussi base de données et les frais de reconstitution dans l’hypothèse ou elles sont perdues ou endommagées. “Même un industriel confronté à une grosse panne informatique risque d’être punis pour tenir ses protocole vis-à-vis de ses clients et de ne pas être à même réaliser ses livraisons en temps et en heure. Quelle que va pour ça son activité, le dirigeant d’aventure a intérêt à évaluer l’impact que peut avoir l’informatique sur son métier”, recommande Damien Palandjian.

Le montant de l’indemnisation dépend de la valeur du matos déclaré et des frais occasionnés dans son rachat et la reconstitution des données (ressaisies, reconstitution de logiciels, suppression des virus…) estimés selon un expert.

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>> Lire aussi: Trois contrats pour assurer son informatique

5. L’assurance du risque écologique

“Une entreprise n’ayant pas de situation industriel ainsi qu’à d’entreposage et non soumise à une autorisation préfectorale pour risques de pollution, couvrir son risque environnemental en le biais de son contrat de responsabilité civile général. En revanche, si elle est nympho à autorisation préfectorale pour exercer son activité, elle doit souscrire un contrat spécifique pour couvrir les atteintes à l’environnement”, précise Damien Palandjian

Les garanties des atteintes à l’environnement (extensions de responsabilité civile prostituée ainsi qu’à contrats particuliers comme la confirmation responsabilité environnementale) sont essentiel aux entreprises à qui l’activité peut léser à l’environnement (pollution de l’air, de l’eau, des sols et nappes phréatiques, atteintes à des plateformes web protégés…). Ces aplomb s’appuient sur le principe du “pollueur-payeur” : le chef d’action réparer le préjudice constaté, causé pendant sa société. Suivant contrats, l’assurance couvre la dépollution, coûts d’évaluation des dommages, la façonnage d’études pour déterminer actions de réparation et frais administratifs ou bien judiciaires.


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Le contenu

Déposé conformément à l'article 424, point b) 5), du règlement

Numéro d'enregistrement 333-217094

PROSPECTUS SUPPLÉMENTAIRE

(Prospectus 20 avril 2017)

Jusqu'à 50 000 000 $

Actions ordinaires

Ampio Pharmaceuticals, Inc.

Nous avons conclu un accord de vente (le «Contrat de vente») avec ThinkEquity, une division de Fordham Financial Management Inc. («ThinkEquity») et Roth Capital Partners, LLC («Roth» et «ThinkEquity») avec des «Agents de vente» "). relativement aux actions de nos actions ordinaires d'une valeur nominale de 0,0001 $ par action offertes par le présent supplément de prospectus et le prospectus ci-joint. Sous réserve des modalités de la convention de vente, nous pouvons offrir et vendre des actions de nos actions ordinaires de temps à autre jusqu'à un prix de vente total de 50 000 000 $ par l'entremise ou par l'entremise d'agents de vente agissant comme agents de vente ou exécuteurs testamentaires.

Sous réserve d'un avis d'émission et sous réserve des conditions d'un contrat de vente, chaque agent de vente peut vendre des actions ordinaires en utilisant des méthodes qui sont considérées comme une «offre de marché» au sens de la règle 415, promulguée en vertu de la Loi sur les valeurs mobilières. 1933, tel que modifié (Securities Act). Les agents commerciaux déploieront leurs efforts commercialement raisonnables conformément aux pratiques normales de négociation et de vente et aux lois, règles et réglementations fédérales et d'État applicables ainsi qu'aux règles du marché américain de la Bourse de New York. Aucun fonds ne peut être obtenu par dépôt fiduciaire, fiducie ou accord similaire.

Nous verserons aux agents de vente une commission unique pour leurs services en tant qu'agents vendant des actions ordinaires correspondant à 4,0% du prix de vente total par action de toutes les actions vendues par l'intermédiaire des agents en vertu du contrat de vente. Pour plus d'informations sur certains frais d'agent commercial que nous devons rembourser, voir Plan de distribution.

Lors de la vente d'actions ordinaires en notre nom, les agents de vente seront traités comme des «assureurs» au sens de la Securities Act et la rémunération des agents de vente sera traitée comme des commissions ou des escomptes. Nous avons également convenu d'indemniser et de payer aux agents de vente certaines obligations, notamment celles prévues par la Loi sur les valeurs mobilières.

Notre action ordinaire est cotée sur le marché américain de la Bourse de New York sous le symbole "AMPE". Dernier prix de vente de nos actions ordinaires en 2020 Le 14 février, tel que rapporté par la Bourse de New York sur le marché américain, était de 0,69 $ par action.

Nous sommes une petite société déclarante en vertu de la règle 405 de la Loi sur les valeurs mobilières et, par conséquent, nous avons décidé de nous conformer à certaines exigences de déclaration réduites pour les sociétés ouvertes liées au présent supplément au présent prospectus, aux documents référencés ici et aux demandes futures.

Investir dans des actions ordinaires comporte un risque élevé. Voir "Facteurs de risque", À commencer par les pages S-8 du supplément du présent prospectus et la page 5 du prospectus de base ci-joint, ainsi que les informations figurant sous la rubrique" Facteurs de risque "de notre rapport annuel sur formulaire 10-K pour l'exercice clos en 2019. Le 31 décembre et d'autres documents intégrés par renvoi au supplément du présent prospectus et du prospectus ci-joint, qui décrivent les facteurs que vous devriez examiner attentivement avant d'investir dans nos actions ordinaires.

Ni la Securities and Exchange Commission ni aucune Commission des valeurs mobilières de l'État n'a endossé ou approuvé ces titres ni déterminé si le présent supplément de prospectus ou le prospectus ci-joint est véridique ou complet. Toute déclaration contraire est une infraction pénale.

ThinkEquity

Partenaires de Roth Capital

Fordham Financial Management, Inc.

2020 21 février Annexe au Prospectus.

Le contenu

À PROPOS DE CE PROSPECTUS SUPPLÉMENTAIRE

Ce supplément au prospectus et au prospectus qui l'accompagne sont liés à l'offre d'actions de nos actions ordinaires. Avant d'acheter l'une des actions que nous proposons, nous vous invitons à lire attentivement le présent supplément au présent prospectus et le prospectus qui l'accompagne, ainsi que les informations contenues dans le présent document et dans les sections "Où trouver plus d'informations" et "Ajout de certaines informations par référence". «Ces documents contiennent des informations importantes que vous devez prendre en compte lorsque vous prenez une décision d'investissement.

2017 31 mars Nous avons déposé un formulaire d'enregistrement S-3 auprès de la Securities and Exchange Commission («SEC») (numéros de dossier 333-217094) en utilisant le processus d'enregistrement des portefeuilles de titres décrit dans la présente annexe au présent prospectus. , dont le certificat d'enregistrement est entré en vigueur en 2017. 20 avril Dans le cadre de ce processus d'enregistrement préalable, nous pouvons de temps à autre vendre des actions ordinaires et d'autres titres, y compris cette offre.

Ce document est en deux parties. La première section est une annexe au présent prospectus, qui décrit les conditions particulières de cette offre d'actions ordinaires, ainsi que l'ajout et la mise à jour des informations contenues dans le prospectus ci-joint et les documents intégrés par référence au prospectus et au présent supplément au prospectus. Dans la deuxième partie, jointe en 2017. 20 avril Le prospectus, y compris les documents qui y sont mentionnés, contient des informations plus générales, dont certaines ne sont pas applicables à cette offre. Habituellement, lorsque nous nous référons à ce prospectus, nous entendons les deux parties de ce document ensemble.

Vous ne devez vous fier qu'aux informations contenues dans le présent document ou incorporées ici par référence dans le présent supplément de prospectus et à toute référence qui y est contenue ou incorporée ici par référence. Nous n'avons autorisé aucune autre personne à vous fournir d'autres informations. Si quelqu'un vous fournit d'autres informations supplémentaires ou incohérentes, vous ne devez pas vous y fier.

Si la description de l'offre est différente dans le présent supplément de prospectus et dans le prospectus ci-joint, vous devez vous fier aux informations contenues dans ce supplément de prospectus. Toutefois, si l'une des déclarations contenues dans ces documents est en conflit avec la déclaration d'un autre document avec une date ultérieure, comme un document incorporé par référence, la déclaration du document avec une date ultérieure remplace ou remplace la déclaration précédente.

Nous proposons de vendre nos titres uniquement dans les juridictions qui autorisent les offres et les ventes. La distribution de ce supplément de prospectus et du prospectus ci-joint ainsi que l'offre de titres dans certaines juridictions peuvent être limitées par la loi. Le présent supplément de prospectus et le prospectus ci-joint ne constituent pas et ne peuvent pas être utilisés conjointement avec l'offre de vente ou la sollicitation d'achat de titres offerts par le présent supplément de prospectus et le prospectus d'accompagnement qui peut être fait par toute personne à toute personne. la juridiction dans laquelle il est illégal pour une telle personne de faire une telle offre ou sollicitation.

De plus, nous notons que tout accord apparaissant comme preuve, garantie et engagement de tout document incorporé par renvoi dans le supplément de prospectus ou le prospectus ci-joint est réservé aux parties à cet accord. , y compris, le cas échéant, à des fins de partage des risques entre les parties à de tels accords, et ne doit pas être interprété comme une représentation, une garantie ou un contrat avec vous. De plus, ces déclarations, garanties ou accords n'étaient exacts qu'à partir de la date à laquelle ils ont été faits. En conséquence, ces déclarations, garanties et accords qui reflètent fidèlement l'état actuel de nos affaires ne doivent pas être invoqués.

À partir d'études de marché, d'informations accessibles au public et de publications de l'industrie, nous avons obtenu des statistiques, des données de marché et d'autres données de l'industrie, des prévisions utilisées dans le présent supplément de prospectus, le prospectus ci-joint et les documents inclus dans le prospectus et ce supplément de prospectus. Les publications de l'industrie affirment généralement qu'elles obtiennent des informations de sources qu'elles jugent fiables, mais ne garantissent pas l'exactitude ou l'exhaustivité des informations. De même, bien que nous estimions que les statistiques, les données du marché et les autres données et prévisions de l'industrie utilisées ici sont fiables, nous n'avons pas vérifié les données de manière indépendante et n'avons fourni aucune information quant à l'exactitude des informations.

S-2

Le contenu

Toutes les références dans cette Annexe au présent Prospectus et au Prospectus de Base qui l'accompagne doivent inclure Ampio, Ampio Pharmaceuticals Inc., «Société», «nous», «nous», «notre» ou des références similaires à Ampio Pharmaceuticals, Inc. sauf si le contexte l'exige autrement ou comme spécifié autrement.

AMPIO (et le design), notre logo et AMPION sont nos marques déposées. Ce prospectus contient également des marques de commerce, des marques déposées et des noms commerciaux d'autres sociétés. Toutes les autres marques de commerce, marques déposées et noms commerciaux figurant dans le présent prospectus sont la propriété de leurs propriétaires respectifs.

RAPPORTS DE SUIVI

La présente Annexe au Prospectus, le Prospectus de Base qui y est annexé et les documents incorporés ici par référence, font des déclarations prospectives au sens de la Convention de 1933. L'article 27A du Securities Act, tel que modifié, et l'article 1934. Section 21E de la Securities Exchange Act ou la Exchange Act. Toutes les déclarations autres que les déclarations faites dans les faits historiques présentés dans la présente annexe au présent prospectus, y compris les déclarations concernant nos futurs événements cliniques et réglementaires, notre situation financière future, notre stratégie commerciale et nos plans de gestion et objectifs de gestion pour l'avenir, sont des déclarations prospectives. Les déclarations prospectives sont généralement écrites et / ou précédées de moments stressants tels que "peut", "sera", "devrait", "prédire", "peut", "s'attendre", "suggérer", "croire", "Évaluer", "Continuer", "Anticiper", "Anticiper", "Calendrier" ou des termes similaires, ou des variantes négatives ou autres de ces termes, ou une terminologie comparable. Ces déclarations prospectives comprennent, sans s'y limiter, des déclarations concernant les dates prévues de début, de durée et de fin des essais cliniques actuels et futurs, ainsi que les résultats futurs possibles, les plans des essais cliniques actuels et futurs et l'avenir futur. déclarations et événements réglementaires, réponses réglementaires ou autres actions en relation avec les offres, applications et offres que nous faisons, la commercialisation future potentielle de notre produit candidat Ampion, la position de trésorerie future attendue et les événements futurs dans le cadre de notre coopération actuelle et potentielle. Ces déclarations prospectives sont soumises à un certain nombre de risques, d'incertitudes et d'hypothèses, y compris, sans s'y limiter, les risques décrits dans la section «Facteurs de risque» du supplément du présent prospectus.

Ces risques ne sont pas exhaustifs. D'autres sections du présent supplément au présent prospectus contiennent des facteurs supplémentaires qui pourraient avoir une incidence défavorable sur nos activités commerciales et financières. De plus, nous opérons dans un environnement hautement compétitif et en évolution rapide. À l'occasion, de nouveaux facteurs de risque surviennent et il n'est pas possible pour notre direction d'anticiper tous les risques, et nous ne pouvons pas non plus évaluer l'impact de tous ces facteurs sur notre entreprise ou l'effet que l'un ou une combinaison de facteurs peut réellement causer. les résultats sont fondamentalement différents des déclarations prospectives. Vous ne devez pas vous fier aux déclarations prospectives comme prédicteurs d'événements futurs. Nous ne pouvons pas vous assurer que les événements et circonstances reflétés dans les déclarations prospectives se produiront ou se produiront, et que les résultats réels peuvent différer sensiblement de ceux contenus dans les déclarations prospectives. Nous n'avons aucune obligation de mettre à jour ou de compléter les déclarations prospectives.

Tous les énoncés prospectifs écrits et oraux attribuables à nous ou à toute personne agissant en notre nom sont expressément qualifiés par les conseils de prudence contenus ou référencés dans cette section. Nous avertissons les investisseurs de ne pas trop se fier à l'avenir ou aux déclarations faites en notre nom. Nous n'assumons aucune obligation et déclinons spécifiquement toute obligation de mettre à jour ou d'examiner publiquement tout énoncé prospectif concernant les nouvelles informations, les événements à venir ou autrement.

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Le contenu

RÉSUMÉ DU SUPPLÉMENT DE PROSPECTUS

Ce résumé est fourni plus en détail et doit être lu conjointement avec les informations plus détaillées et les états financiers et les notes connexes ailleurs inclus ou incorporés par référence dans le présent supplément de prospectus et le prospectus de base qui l'accompagne. Avant de décider d'investir dans des actions ordinaires, vous devez lire attentivement le supplément de prospectus complet et le prospectus qui l'accompagne, y compris les facteurs de risque et les états financiers et les explications connexes intégrés par référence dans le présent supplément de prospectus et le prospectus ci-joint.

À propos d'Ampio Pharmaceuticals, Inc.

Présentation

Nous sommes une société biopharmaceutique à revenu fixe qui se concentre sur le développement d'un produit candidat majeur, Ampion, pour traiter les affections principalement inflammatoires avec des options de traitement limitées.

Champion a fait des progrès grâce à des essais cliniques de stade avancé aux États-Unis. La Food and Drug Administration des États-Unis (FDA) a fourni des conseils sur la façon de mener à bien l'étude des patients atteints d'arthrose sévère du genou (OAK), ainsi que des contrôles à effectuer dans le cadre de l'évaluation spéciale du protocole («SPA»).

2019 Juin Nous avons reçu un accord de spa de la FDA pour notre essai clinique de phase III intitulé «Une étude randomisée, contrôlée et à double insu conçue pour évaluer l'efficacité et la sécurité de l'injection intra-articulaire d'un champion chez des adultes souffrant de douleur. Arthrose sévère du genou »(étude AP-013). Le SPA est un processus dans lequel les promoteurs peuvent demander à rencontrer la FDA pour convenir avec la FDA de la conception et de la taille de certains essais cliniques afin de déterminer s'ils tiennent dûment compte des exigences scientifiques et réglementaires de l'étude qui pourraient soutenir la soumission réglementaire. L'accord SPA indique que la FDA est d'accord avec la pertinence et l'acceptabilité des éléments critiques spécifiques du projet de protocole général (par exemple, critères d'entrée, sélection de la dose, point final et analyse prévue) pour une étude à l'appui d'une future demande de commercialisation. Ces éléments sont essentiels pour garantir qu'une étude basée sur un protocole peut être considérée comme une étude appropriée et bien contrôlée pouvant soutenir l'approbation de la commercialisation. La rétroaction sur ces questions est du plus grand avantage pour les sponsors dans la planification d'une stratégie de développement tardif. Notre accord SPA actuel ne garantit pas que la FDA acceptera ou soumettra notre demande de licence biologique ("BLA") pour le Champion, ni que les résultats des tests que nous avons effectués avec le Champion seront suffisamment validés. Ces questions sont traitées lors de l'examen de la demande et sont déterminées par le caractère suffisant de la présentation dans son ensemble.

L'AMPION

Champion de l'arthrose et d'autres maladies inflammatoires

Nous avons développé un nouveau médicament biologique appelé Ampion qui contient un peptide cyclisé dérivé du sang et de petites molécules ciblant diverses voies de la réponse immunitaire innée et d'autres voies spécifiques au CHO. Champion cible les voies cellulaires de la réponse immunitaire innée associée à la douleur, à l'inflammation et aux lésions articulaires pendant l'arthrose. In vitro des études ont montré que Ampion inhibe la transcription des protéines inflammatoires, tout en activant les protéines anti-inflammatoires. Le champion a également été montré in vitro réguler les voies cellulaires responsables de la croissance et de la guérison des tissus. Nous pensons que ce mécanisme d'action interrompt le processus de la maladie causant la douleur et l'invalidité liées au TOC et offre un potentiel d'expansion du marché en tant qu'agent biologique modifiant la maladie et peut fournir des opportunités pour le traitement d'autres indications inflammatoires et dégénératives.

Nous développons actuellement Ampion sous forme d'injection dans les articulations pour traiter les signes et les symptômes du TOC sévère, une épidémie croissante aux États-Unis. Le CHÊNE est une maladie progressive caractérisée par une dégradation progressive et une perte de cartilage due à une inflammation des tissus mous et des structures osseuses de l'articulation du genou. Avec la progression de la forme la plus grave de CHO, les patients ont peu ou pas d'option de traitement autre que l'arthroplastie totale du genou. La FDA a déclaré qu'un OAK sévère est un "besoin médical non satisfait" et qu'il n'existe aucun traitement autorisé pour cette indication. Alors que nous pensons qu'Ampion pourrait guérir ce "besoin médical non satisfait", notre capacité à vendre ce produit est soumise à l'approbation de la FDA.

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Le contenu

Opportunité de marché

L'arthrose, ou arthrose, est la forme d'arthrite la plus courante, touchant plus de 30 millions de personnes aux États-Unis. Il s'agit d'une maladie articulaire progressive et incurable associée à la dégradation du cartilage, de la muqueuse articulaire, des ligaments et des os. Certains facteurs de risque associés à l'usure naturelle provoquent une dégradation du cartilage. L'arthrose est causée par une inflammation des tissus mous et des structures osseuses de l'articulation, qui s'aggrave avec le temps et reproduit progressivement le cartilage intra-articulaire. D'autres effets progressifs comprennent le rétrécissement de l'espace articulaire, l'épaississement de la membrane synoviale, la formation d'ostéophytes et l'augmentation de la densité osseuse sous-chondrale. Le volume du marché mondial des procédures traitant actuellement le TOC modéré à modéré en 2018. Il était estimé à environ 3,6 milliards de dollars. Il est prévu que d'ici 2026. Il augmentera de 9,11%. La demande annuelle de OAK pour la croissance devrait augmenter. à mesure que nous vieillissons et avec une meilleure connaissance des options de traitement. Malgré la taille et la croissance du marché des TOC, il n'y a actuellement qu'une poignée de traitements, dont aucun n'est marqué dans la population gravement malade.

Evolution des champions

Depuis sa création, nous avons mené plusieurs essais cliniques et progressé vers des essais cliniques de stade avancé aux États-Unis, initialement sous la direction de l'Office of Blood Research and Review (OBRR) de la FDA et plus récemment sous la direction de la FDA. Office of Tissue and Advanced Therapy, ou OTAT.

L'étude AP-003-A était une étude multicentrique, randomisée, en double aveugle de 329 patients randomisés 1: 1 pour recevoir un contrôle Ampion ou une solution saline par injection intra-articulaire. L'étude a montré une réduction statistiquement significative de la douleur par rapport au contrôle, avec une réduction moyenne de la douleur de plus de 40% sur 12 semaines de traitement avec Ampion. Les patients qui ont reçu Ampion ont également montré une amélioration significative de la fonction et de la qualité de vie par rapport aux patients qui ont reçu un contrôle du sel après 12 semaines. La qualité de vie a été évaluée à l'aide d'une évaluation globale du patient. L'étude a également inclus des patients gravement malades identifiés par radiographie comme Kellgren Lawrence Grade 4 («KL 4»). Parmi cette population de patients, les patients recevant Ampion avaient un soulagement de la douleur significativement plus important que ceux recevant du sérum physiologique. Le champion a été bien toléré et l'étude a inclus les événements les moins indésirables chez les patients des groupes champion et sel. Il n'y a eu aucun événement indésirable grave lié au médicament.

2018 La FDA a réitéré et validé que notre essai clinique pivot de phase III réussi, AP-003-A, était adéquat et bien contrôlé, a fourni des preuves de l'efficacité d'Ampion et peut contribuer aux preuves solides d'efficacité requises pour l'approbation. du BLA. La FDA a recommandé que nous terminions une étude supplémentaire sur les patients KL 4 atteints de CHO sévère ainsi que des témoins dans le spa afin d'obtenir l'approbation de la FDA pour la conception de l'étude.

Comme mentionné ci-dessus, en 2019. Juin Nous avons obtenu l'accord SPA de la FDA pour le protocole clinique AP-013. L'accord AP-013 SPA comprenait un échantillon de 1 034 patients et a évalué la taille de l'échantillon à travers une analyse intermédiaire de 724 patients pour ajuster jusqu'à 1 551 patients selon les besoins. Dans l'accord SPA, la FDA a convenu que la conception de l'étude AP-013 et l'analyse planifiée répondent adéquatement aux objectifs nécessaires pour fournir un document réglementaire. Sur la base des directives de la FDA pour l'industrie sur les SAT (publiées en avril 2018), les SAT documentent l'accord de la FDA selon lequel la conception et la planification des analyses d'études peuvent obtenir une justification précise pour les soumissions réglementaires, mais les conclusions de l'approbation finale de la demande de commercialisation sont faites. après un examen approfondi de l'application marketing et sont basées sur toutes les données d'application. À la réception de l'accord SPA, nous avons lancé l'essai AP-013, identifié et recruté des sites d'essais cliniques et commencé le dosage des patients sur ces sites. 2019 31 décembre Nous avons terminé le recrutement et le dosage de 724 patients requis pour l'analyse de la taille de l'échantillon de l'évaluation intermédiaire. D'ici 2020 14 février Nous avons administré 875 patients.

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Le contenu

Championne de production

2014 Mai Nous avons commencé 125 mois à louer une installation multifonctionnelle couvrant environ 19 000 pieds carrés. Ce bureau comprend des laboratoires de contrôle de la qualité et de recherche, nos bureaux corporatifs et environ 3 000 pieds carrés de salles blanches modulaires pour la production d'Ampion.

Parce que le site de fabrication était opérationnel, nous avons mis en place un système qualité aux États-Unis et dans l'UE. ("Union européenne"), a approuvé Ampion et un placebo pour une utilisation dans les derniers essais cliniques, et a fabriqué environ 200 000 ampoules Ampion sans dommages de stérilité.

L'usine de fabrication utilise un équipement automatisé avec des ensembles de lignes jetables et des salles blanches modulaires, conçues pour maximiser la flexibilité et l'évolutivité tout en répondant aux normes de qualité internationales pour répondre à la future demande mondiale potentielle. Nous pensons que le processus de fabrication d'Ampion offre des coûts de matières premières compétitifs nettement inférieurs à la référence de l'industrie. De plus, nous estimons la capacité maximale de cet appareil clé en main à environ 8,0 millions. Bouteilles par an. En 2019 Au cours de l'exercice, nous avons embauché un tiers indépendant pour effectuer un audit de qualité de l'usine Ampion, qui a confirmé que notre entreprise devrait répondre aux exigences d'inspection de la FDA pour l'unité CMC de la division BLA.

Informations sur l'entreprise

Nous sommes une société du Delaware. Notre siège social est situé au 373 Inverness Parkway, Suite 200, Englewood, Colorado 80112 et notre numéro de téléphone est le (720) 437-6500. L'adresse de notre site Web est www.ampiopharma.com. Notre site et les informations sur notre site ou accessibles via notre site ne seront pas réputés être inclus ou liés à ce prospectus, et notre lien vers l'URL de notre site est réservé aux textes inactifs. Vous ne devez pas vous fier à ces informations lorsque vous décidez d'acheter nos actions ordinaires.

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Le contenu

LA PROPOSITION

Ce résumé contient des informations de base sur cette offre. Le résumé n'est pas censé être exhaustif. Vous devez lire le texte intégral et des informations plus spécifiques dans l'annexe du présent prospectus et dans le prospectus de base qui l'accompagne.

Les actions ordinaires que nous proposons

Actions de nos actions ordinaires avec un prix d'offre total pouvant atteindre 50 000 000 $.

Actions ordinaires qui seront en circulation après cette offre

Jusqu'à 72 463 768 actions en supposant un prix de 0,69 $ par action, qui était le cours de clôture de nos actions ordinaires à la Bourse de New York sur le marché américain en 2020. 14 février Le nombre réel d'actions émises, le cas échéant, variera. en fonction du prix de vente de cette offre.

Plan de distribution

«Offre de marché», qui peut être faite de temps à autre par le biais ou en tant qu'agents de vente ou agents. Voir aussi: Section "Plan de distribution".

Utilisation des revenus

Nous avons l'intention d'utiliser le produit net de cette offre à des fins de fonds de roulement et à d'autres fins générales de l'entreprise. Voir aussi: La section intitulée «Utilisation des revenus».

Facteurs de risque

Vous devriez lire la section «Facteurs de risque» du présent supplément de prospectus et les documents qui sont intégrés par renvoi dans ce supplément de prospectus pour discuter des facteurs à considérer avant de décider d'acheter nos actions ordinaires.

Le symbole américain de la Bourse de New York

AMPE

Le nombre d'actions ordinaires à émettre immédiatement après cette offre, comme indiqué ci-dessus, est basé sur les 158.780.993 actions ordinaires émises d'ici 2020. 14 février, en chiffres et exclut tous les 2020. 14 février:

· 7 116 524 actions ordinaires émises dans le cadre de l'exercice de bons de souscription en circulation;

· 6 239 832 actions ordinaires émises conjointement avec des actions Plans d'actions et d'incitatifs (le «plan 2010») et 2019. Les plans d'actions et d'incitatifs (le «plan 2019») en circulation, ensemble; et

· 9 516 500 actions ordinaires réservées pour émission en 2019. Plan.

Sauf indication contraire, toutes les informations contenues dans le présent prospectus n'impliquent pas que les actions privilégiées décrites ci-dessus ne seront pas converties, ne seront pas exercées ou ne seront pas réglées sur les actions restreintes en circulation.

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FACTEURS DE RISQUE

Investir dans des actions ordinaires comporte un risque élevé. Vous devez examiner attentivement les risques décrits dans la dernière section «Facteurs de risque» du rapport annuel sur formulaire 10-K et toute autre information incluse dans le présent supplément de prospectus et le prospectus de base qui l'accompagne comme référence au présent supplément de prospectus et au prospectus qui l'accompagne, y compris nos états financiers et les notes annexes avant d'investir dans nos actions ordinaires. Si l'un des événements défavorables potentiels décrits ci-dessous ou dans ces sections venait à se produire, nos activités, nos perspectives commerciales, nos flux de trésorerie, nos résultats d'exploitation ou notre situation financière pourraient être affectés, le prix de négociation des actions ordinaires pourrait baisser et vous pourriez perdre tout ou partie de votre investissement en actions ordinaires. Des risques et incertitudes supplémentaires dont nous ne sommes pas encore au courant ou que nous considérons comme sans importance peuvent également affecter nos opérations et nos résultats.

Risques liés à cette offre et à nos actions

Un marché de négociation actif pour nos actions ordinaires peut ne pas se former ou survivre, et les investisseurs peuvent ne pas être en mesure de revendre leurs actions au prix qu'ils ont acheté.

Un marché boursier actif ne peut jamais se développer ni survivre. Sans un marché actif pour nos actions ordinaires, les investisseurs pourraient ne pas être en mesure de vendre leurs actions ordinaires au prix qu'ils ont payé ou au-dessus du prix qu'ils étaient prêts à vendre. De plus, un marché inactif peut nuire à notre capacité à mobiliser des capitaux par le biais de ventes d'actions et à notre capacité d'acquérir d'autres sociétés ou technologies en utilisant nos propres actions, ce qui pourrait à son tour nuire à nos activités.

Le prix de négociation de nos actions ordinaires a été et restera très volatil et les acheteurs d'actions ordinaires pourraient subir des pertes importantes.

Le cours de nos actions a été et restera volatil dans un avenir prévisible. Le marché boursier, et en particulier le marché des sociétés de biotechnologie, a connu une volatilité extrême qui n'a souvent pas été liée à la performance de certaines sociétés. En raison de cette volatilité, les investisseurs peuvent ne pas être en mesure de vendre leurs actions ordinaires à un prix qu'ils ont payé ou plus.

De plus, par le passé, les actionnaires ont intenté des recours collectifs contre des sociétés biotechnologiques et pharmaceutiques, dont nous, à la suite des périodes de fluctuations du prix du marché de ces sociétés et de nos actions. De tels litiges, y compris les litiges actuellement en cours contre nous et certains de nos dirigeants et administrateurs, et tout litige qui pourrait être intenté contre nous, nos dirigeants et / ou nos administrateurs à l'avenir, peuvent entraîner des coûts importants et des redirections. l'attention de la direction. l'attention et les ressources pouvant avoir un effet défavorable important sur nos activités, notre situation financière et nos résultats d'exploitation.

Notre performance trimestrielle peut fluctuer considérablement.

Nous prévoyons que notre performance fluctuera considérablement chaque trimestre. Si notre rendement trimestriel est inférieur aux attentes des investisseurs ou des analystes boursiers, le prix de nos actions ordinaires pourrait baisser considérablement. Nous pensons que les comparaisons trimestrielles de nos résultats financiers ne sont pas significatives et ne devraient pas être utilisées comme indicateur de notre performance future.

Vous subirez une dilution rapide et substantielle.

Le prix d'offre par action peut dépasser la valeur nette approximative des actions ordinaires en circulation avant cette offre. En supposant un total de 50000000 $ d'actions ordinaires seront vendues au prix estimé de 0,69 $ par action (dernier prix de vente déclaré de nos actions ordinaires sur le marché américain de la Bourse de New York le 14 février 2020), et après déduction des commissions et le coût total estimatif de notre offre à payer, vous subirez une diminution directe de 0,46 $, qui reflète la différence entre notre valeur tangible nette ajustée par action en 2019. 31 décembre, suite à l'entrée en vigueur de cette offre et de l'offre prospective. prix. De plus, à l'avenir, nous émettrons sans restriction des titres supplémentaires, y compris des actions ordinaires, des titres convertibles en droits convertibles ou échangeables ou convertibles en actions ordinaires ou des titres sensiblement similaires. L'émission de ces titres pourrait encore affaiblir nos actionnaires. Neįvykdytų varantų, akcijų pasirinkimo sandorių įgyvendinimas ir neapmokėtų ribotų akcijų vienetų suteikimas taip pat gali dar labiau sumažinti jūsų investicijas. Norėdami sužinoti išsamesnį praskiedimo, kurį galite patirti dalyvaudami šiame pasiūlyme, pavyzdį, skaitykite skyriuje „Skiedimas“ S-14 puslapyje.

S-8

Turinys

We may allocate our cash and cash equivalents, including the proceeds from this offering, in ways that you and other stockholders may not approve.

Our management has broad discretion in the application of our cash, cash equivalents and marketable securities, including the proceeds from this offering. Because of the number and variability of factors that will determine our use of our cash and cash equivalents, their ultimate use may vary substantially from their currently intended use. Our management might not apply our cash and cash equivalents in ways that ultimately increase the value of your investment. We expect to use our cash and cash equivalents to fund Ampion clinical trials, working capital and other general corporate purposes. The failure by our management to apply these funds effectively could harm our business. Pending their use, we may invest our cash and cash equivalents in short-term, investment-grade, interest-bearing securities. These investments may not yield a favorable return to our stockholders. If we do not invest or apply our cash and cash equivalents, including the proceeds from this offering, in ways that enhance stockholder value, we may fail to achieve expected financial results, which could cause our stock price to decline.

A substantial number of shares of our common stock could be sold into the public market in the near future, which could depress our stock price.

Sales of substantial amounts of our common stock in the public market could reduce the prevailing market prices for our common stock. Substantially all of our outstanding common stock are eligible for sale as are common stock issuable under vested and exercisable stock options or warrants. If our existing stockholders sell a large number of shares of our common stock, or the public market perceives that existing stockholders might sell shares of common stock, the market price of our common stock could decline significantly. These sales might also make it more difficult for us to sell equity securities at a time and price that we deem appropriate.

If securities or industry analysts do not publish research or reports or publish unfavorable research or reports about our business, our stock price and trading volume could decline.

The trading market for our common stock will depend in part on the research and reports that securities or industry analysts publish about us, our business, our market or our competitors. We currently have limited research coverage by securities and industry analysts. If other securities or industry analysts do not commence coverage of our company, the trading price for our stock could be negatively impacted. If one or more of the analysts who covers us downgrades our stock, our stock price would likely decline. If one or more of these analysts ceases to cover us or fails to regularly publish reports on us, interest in our stock could decrease, which could cause our stock price or trading volume to decline.

We are defendants in securities and shareholder litigations and could be subject to additional litigations.

The company and certain of its officers and directors are currently defendants in pending shareholder derivative actions and/or putative class actions for violations of the federal securities laws.

On August 25, 2018, a purported stockholder of the Company commenced a putative class action lawsuit in the United States District Court for the Central District of California, captioned Shi v. Ampio Pharmaceuticals, Inc., et al., Case No. 18-cv-07476 (the “Securities Class Action”).  Plaintiff in the Securities Class Action alleges that the Company and certain of its current and former officers violated the federal securities laws by misrepresenting and/or omitting material information regarding the AP-003 Phase III clinical trial of Ampion. The plaintiff asserts claims under Sections 10(b) and 20(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and Securities and Exchange Commission Rule 10b-5, on behalf of a putative class of purchasers of the Company’s common stock from December 14, 2017 through August 7, 2018. Plaintiff in the Securities Class Action seeks unspecified damages, pre-judgment and post-judgment interest, and attorneys’ fees and costs.  On September 27, 2019, the Court presiding over the Securities Class Action issued an order appointing a Lead Plaintiff and Lead Counsel, pursuant to the Private Securities Litigation Reform Act.  Lead Plaintiff filed an amended complaint in late 2019.  The Company filed a motion to dismiss the amended complaint on February 10, 2020.  Plaintiffs’ opposition is due in March and the Company then has the right to file a reply.

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On September 10, 2018, a purported stockholder of the Company brought a derivative action in the United States District Court for the Central District of California, captioned Cetrone v. Macaluso, et al., Case No. 18-cv-07855 (the “Cetrone Action”), alleging primarily that the directors and officers of Ampio breached their fiduciary duties in connection with alleged misstatements and omissions regarding the AP-003 Phase III clinical trial of Ampion. On October 5, 2018, a purported stockholder of the Company brought a derivative action in the United States District Court for the District of Colorado, Theise v. Macaluso, et al., Case No. 18-cv-02558 (the “Theise Action”), which closely parallels the allegations in the Cetrone Action. A second derivative action was filed in the United States District Court for the District of Colorado and was consolidated with the Theise Action under the caption In re: Ampio Pharmaceuticals Inc. Stockholder Derivative Actions, Case No. 18-cv-02558.  This consolidated action, and the Certrone Action in California, are stayed pending further developments in the Securities Class Action.

While we believe that all claims asserted above are without merit and we intend to defend these lawsuits vigorously. However, it is possible that additional actions will be filed in the future. The Company currently believes the likelihood of a loss contingency related to these matters is remote and given the fact of where the claims exist in the litigation process, the Company is not in the position to provide an estimate and/or range of potential loss.

It is not possible to predict the aggregate proceeds resulting from sales made under the Sales Agreement.

Subject to certain limitations in the Sales Agreement and compliance with applicable law, we have the discretion to deliver a placement notice to each Sales Agent at any time throughout the term of the Sales Agreement. The number of shares that are sold through the Sales Agent, if any, after delivering a placement notice will fluctuate based on a number of factors, including the market price of our common stock during the sales period, the limits we set with the Sales Agent in any applicable placement notice, and the demand for our common stock during the sales period. Because the price per share of each share sold will fluctuate during the sales period, it is not currently possible to predict the aggregate proceeds to be raised in connection with those sales.

The common stock offered hereby will be sold in “at the market offerings,” and investors who buy shares at different times will likely pay different prices.

Investors who purchase shares in this offering at different times will likely pay different prices, and so may experience different levels of dilution and different outcomes in their investment results. We will have discretion, subject to market demand, to vary the timing, prices, and number of shares sold in this offering. In addition, subject to the final determination by our board of directors, there is no minimum or maximum sales price for shares to be sold in this offering. Investors may experience a decline in the value of the shares they purchase in this offering as a result of sales made at prices lower than the prices they paid.

The proceeds from this offering, if any, and funds from other potential sources, along with our cash and cash equivalents, may not be sufficient to fund our operations for the near future and we may not be able to obtain additional financing.

As of December 31, 2019, we had $6.5 million of cash and cash equivalents, which we expect can fund our operation into the second quarter of 2020.

Our future capital requirements will depend on and could increase significantly as a result of many factors including:

· progress in and the costs of our clinical trials and research and development;

· incremental costs of increasing patient sample size beyond 1,034 patients;

· progress in and the costs of applying for regulatory approval for Ampion;

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· the costs of sustaining our corporate overhead requirements and hiring and retaining necessary personnel;

· the scope, prioritization, and number of our research and development programs;

· the achievement of milestones or occurrence of other developments that trigger payments under any collaboration agreements we obtain;

· the extent to which we are obligated to reimburse, or entitled to reimbursement of, clinical trial costs under future collaboration agreements, if any;

· the costs involved in filing, prosecuting, enforcing, and defending patent claims and other intellectual property rights;

· the costs of securing manufacturing arrangements for commercial production;

· the costs of defending lawsuits and other claims by third parties or responding to various government agencies that we are required to report to or respond to inquiries from;

· the costs associated with obtaining Directors and Officers (“D&O”) insurance, which may be higher due to our industry and due to our current shareholder litigation and government investigation concerning trading in our publicly listed securities; et

· the likely increase in the future level of D&O policy retention amounts given the industry trend and our current experience with increased legal costs associated with our current litigation and government investigation.

Until we can generate ongoing operating profit on an ongoing and reliable basis, we expect to satisfy our future ongoing cash and liquidity needs through one or more of the following: (i) third-party collaboration arrangements, (ii) private or public sales of our securities, which we expect will include this “at-the-market offering”, or (iii) debt financings. We cannot be certain the amount of proceeds that will be generated from this offering or that additional funding and incremental working capital will be available to us on acceptable terms, if at all, or that it will exist in a timely and/or adequate manner to allow for the proper execution of our near and long-term business strategy. If sufficient funds are not available on terms and conditions acceptable to management and stockholders of the Company, we may be required to delay, reduce the scope of, or eliminate further development of Ampion and the planned filing of the BLA and/or substantially curtail or close our operations altogether.

Even if we obtain requisite financing, it may be on terms not favorable to us, it may be costly and it may require us to agree to covenants or other provisions that will favor new investors over existing stockholders or other restrictions that may adversely affect our business. Additional funding, if obtained, may also result in significant dilution to our stockholders.

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USE OF PROCEEDS

We will retain broad discretion over the use of the net proceeds from the sale of our securities offered hereby. Except as described in any free writing prospectus that we may authorize to be provided to you, we currently anticipate using the net proceeds, if any, from the sale of our securities offered hereby primarily for working capital, including the conduct of clinical trials, and other general corporate purposes. Further, from time to time we may evaluate acquisition opportunities and engage in related discussions with other companies. We do not currently have any intentions with respect to the acquisition of or investment in complementary businesses, products or technologies. As of the date hereof, the Company does not have any debt to service.

The amounts and timing of our use of the net proceeds from this offering, if any, will depend on a number of factors, such as the timing and progress of our research and development efforts, the timing and progress of any partnering and collaboration efforts and technological advances. As of the date of this prospectus supplement, we cannot specify with certainty all of the particular uses for the net proceeds to us from this offering. Accordingly, our management will have broad discretion in the timing and application of these proceeds. Pending use of the proceeds as described above, we intend to invest the proceeds in a variety of capital preservation investments, including short term, interest bearing, investment grade instruments and U.S. government securities.

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DILUTION

If you invest in this offering, your ownership interest will be immediately diluted to the extent of the difference between the public offering price per share and the as adjusted net tangible book value per share after giving effect to this offering. We calculate net tangible book value per share by dividing the net tangible book value, which is the total tangible assets less total liabilities, by the number of outstanding shares of our common stock. Dilution represents the difference between the portion of the amount per share paid by purchasers of shares in this offering and the as adjusted net tangible book value per share of our common stock immediately after giving effect to this offering. Our net tangible book value as of December 31, 2019 was approximately $6.4 million, or $0.04 per share.

After giving effect to the sale of our common stock during the term of the Sales Agreement with the Sales Agents in the aggregate amount of $50,000,000 at an assumed offering price of $0.69 per share, the last reported sale price of our common stock on the New York Stock Exchange American market on February 14, 2020, and after deducting commissions and estimated aggregate offering expenses payable by us, on an as-adjusted pro forma basis assuming 158,644,757 outstanding common shares, consisting of shares outstanding as of December 31, 2019, our net tangible book value as of December 31, 2019 would have been approximately $54.3 million, or approximately $0.23 per share of common stock. This represents an immediate increase in the net tangible book value of approximately $0.19 per share to our existing stockholders and an immediate dilution in net tangible book value of approximately $0.46 per share to new investors.

The following table illustrates this per share dilution based on shares outstanding as of December 31, 2019:

Assumed public offering price per share

Dollars

0.69

Historical net tangible book value per share as of December 31, 2019

Dollars

0.04

Increase in net tangible book value per share after this offering

Dollars

0.19

As-Adjusted Net tangible book value per share as of December 31, 2019 after this offering

Dollars

0.23

Dilution per share to investors participating in this offering

Dollars

0.46

The above discussion and tables excludes:

· 7,116,524 shares of our common stock issuable upon the exercise of outstanding warrants as of December 31, 2019;

· 6,000,332 shares of our common stock issuable upon the exercise of outstanding options under the 2010 Plan and 2019 Plan, collectively, as of December 31, 2019;

· 9,856,000 shares of our common stock reserved for issuance under the 2019 Plan as of December 31, 2019; et

· 136,236 shares of our common stock issued under the 2019 Plan after December 31, 2019.

To the extent that any of these options or warrants are exercised, new options are issued under our 2019 Plan and subsequently exercised or we issue additional shares of common stock or securities convertible and exercisable into shares of common stock in the future, there will be further dilution to investors participating in this offering.

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PLAN OF DISTRIBUTION

We have entered into a Sales Agreement with the Sales Agents under which we may issue and sell from time to time up to $50,000,000 of our common stock through or to the Sales Agents as sales agents or principals. The Sales Agreement was filed as an exhibit to a Current Report on Form 8-K filed with the SEC on February 20, 2020. Sales of the common stock, if any, will be made at market prices by methods deemed to be an “at the market offering” as defined in Rule 415 promulgated under the Securities Act.

Upon delivery of a placement notice, the Sales Agent receiving the notice may offer the common stock subject to the terms and conditions of the Sales Agreement on a daily basis or as otherwise agreed upon by us and the Sales Agent. We will designate the maximum amount of common stock to be sold through the Sales Agent on a daily basis or otherwise determine such maximum amount together with the Sales Agent. Subject to the terms and conditions of the Sales Agreement, each Sales Agent will use its commercially reasonable efforts to sell on our behalf all of the shares of common stock requested to be sold by us. We may instruct a Sales Agent not to sell common stock if the sales cannot be effected at or above the price designated by us in any such instruction. We or a Sales Agent may suspend the offering of the common stock being made through the Sales Agent under the Sales Agreement upon proper notice to the other party and subject to other conditions.

We will pay the Sales Agents commissions, in cash, for their services in acting as agents in the sale of our common stock. The aggregate compensation payable to the Sales Agents shall be equal to 4% of the gross sales price per share of all shares sold through both Sales Agents under the Sales Agreement. Because there is no minimum offering amount required as a condition to close this offering, the actual total public offering amount, commissions and proceeds to us, if any, are not determinable at this time. We estimate that the total expenses of the offering payable by us, excluding commissions payable to the Sales Agents under the Sales Agreement, will be approximately $140,000.

Settlement for sales of common stock will occur on the second business day following the date on which any sales are made, or on some other date that is agreed upon by us and the Sales Agent in connection with a particular transaction, in return for payment of the net proceeds to us. Sales of our common stock as contemplated in this prospectus supplement will be settled through the facilities of The Depository Trust Company or by such other means as we and the Sales Agent may agree upon. There is no arrangement for funds to be received in an escrow, trust or similar arrangement.

Each Sales Agent is not required to sell any specific amount of securities, but will act as our sales agent using its commercially reasonable efforts, consistent with its sales and trading practices under the terms and subject to the conditions set forth in the Sales Agreement. In connection with the sales of the common stock on our behalf, each Sales Agent will be deemed to be an “underwriter” within the meaning of the Securities Act, and the compensation to them will be deemed to be underwriting commissions or discounts. We have also agreed in the Sales Agreement to provide indemnification and contribution to the Sales Agents with respect to certain liabilities, including liabilities under the Securities Act.

The offering of our common stock pursuant to Sales Agreement will terminate automatically upon the sale of all shares of our common stock subject to the Sales Agreement or as otherwise permitted therein. We and the Sales Agents may each terminate the Sales Agreement at any time upon five days’ prior written notice.

Any portion of the $50,000,000 included in this prospectus supplement not previously sold or included in an active placement notice pursuant to the Sales Agreement, may be later made available for sale in other offerings pursuant to the accompanying base prospectus, and if no shares have been sold under the Sales Agreement, the full $50,000,000 of securities may be later made available for sale in other offerings pursuant to the accompanying base prospectus.

Our common stock is listed on the New York Stock Exchange American market under the trading symbol “AMPE.” The transfer agent for our common stock is Corporate Stock Transfer, Inc.

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DESCRIPTION OF CAPITAL STOCK

General

Our authorized capital stock consists of 300,000,000 shares of common stock, par value $0.0001 per share, and 10,000,000 shares of undesignated preferred stock, $0.0001 par value, of which no preferred shares are issued or outstanding.

The summary description of our capital stock contained in this prospectus supplement and the accompanying base prospectus is based on the provisions of our certificate of incorporation and bylaws and the applicable provisions of the Delaware General Corporation Law. This information is qualified entirely by reference to the applicable provisions of our certificate of incorporation, bylaws and the Delaware General Corporation Law. For information on how to obtain copies of our certificate of incorporation and bylaws, please see “Where You Can Find More Information” and “Incorporation of Certain Information by Reference.”

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LEGAL MATTERS

The validity of the securities offered by this prospectus supplement will be passed on for us by Squire Patton Boggs (US) LLP. Certain legal matters in connection with this offering will be passed on for ThinkEquity by Loeb & Loeb LLP and for Roth by Duane Morris LLP.

EXPERTS

The audited financial statements for the fiscal year ended December 31, 2018 incorporated by reference in this prospectus supplement and elsewhere in the registration statement have been so incorporated by reference in reliance upon the report of Plante & Moran PLLC, independent registered public accountants, upon the authority of said firm as experts in accounting and auditing.

The 2019 financial statements appearing in the Annual Report on Form 10-K of Ampio Pharmaceuticals, Inc. for the year ended December 31, 2019, and the effectiveness of internal control over financial reporting as of December 31, 2019, of Ampio Pharmaceuticals, Inc. have been audited by Moss Adams LLP, an independent registered public accounting firm, as stated in its report, which are incorporated herein by reference. Such consolidated statements have been so incorporated in reliance upon the report of such firm and upon the authority of such firm as experts in accounting and auditing.

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WHERE YOU CAN FIND MORE INFORMATION

We have filed with the SEC a registration statement on Form S-3 (File No. 333-217094), of which this prospectus supplement and the accompanying base prospectus are a part, under the Securities Act, to register the shares of common stock offered by this prospectus supplement. However, this prospectus supplement and the accompanying base prospectus do not contain all of the information contained in the registration statement and the exhibits and schedules to the registration statement. We encourage you to carefully read the registration statement and the exhibits and schedules to the registration statement.

We file annual, quarterly and current reports, proxy statements and other information with the SEC. The SEC maintains a website at www.sec.gov that contains reports, proxy and information statements and other information regarding issuers that file electronically with the SEC, including us.

Our common stock is listed on the New York Stock Exchange American market under the symbol “AMPE.” General information about our company, including our Annual Report on Form 10-K, Quarterly Reports on Form 10-Q and Current Reports on Form 8-K, as well as any amendments and exhibits to those reports, are available free of charge through our website at www.ampiopharma.com as soon as reasonably practicable after we file them with, or furnish them to, the SEC. Information on, or that can be accessed through, our website is not incorporated into this prospectus supplement or other securities filings and is not a part of these filings.

INCORPORATION OF CERTAIN INFORMATION BY REFERENCE

We “incorporate by reference” into this prospectus supplement the information we file with the SEC, which means that we can disclose important information to you by referring you to those documents. The information incorporated by reference is an important part of this prospectus supplement and information that we file subsequently with the SEC will automatically update this prospectus supplement. We incorporate by reference the documents listed below and any filings we make with the SEC under Sections 13(a), 13(c), 14, or 15(d) of the Securities Exchange Act of 1934, as amended, after initial filing of the registration statement that contains the prospectus and prior to the time that we sell all the securities offered by this prospectus supplement (in each case, except for the information furnished under Item 2.02 or Item 7.01 in any current report on Form 8-K and Form 8-K/A):

· Our Annual Report on Form 10-K for the year ended December 31, 2019 filed with the SEC on February 21, 2020;

· Our Quarterly Report on Form 10-Q/A for the fiscal period ended September 30, 2019 filed with the SEC on January 14, 2020;

· Our Current Report on Form 8-K filed with the SEC on February 20, 2020; et

· the description of our common stock contained or incorporated by reference in our Registration Statement on Form 8-A, filed on May 17, 2011, including any amendment or reports filed for the purpose of updating this description.

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PROSPECTUS

$100,000,000

Common Stock

Preferred Stock

Debt Securities

Warrants

Units

5,000,000 Shares of Common Stock Offered by

the Selling Stockholder

Issuable Upon Exercise of Warrants

We may, from time to time, offer and sell up to $100,000,000 of any combination of our common stock, preferred stock, debt securities or warrants described in this prospectus, either individually or in combination with other securities, at prices and on terms described in one or more supplements to this prospectus. We may also offer common stock or preferred stock upon conversion of debt securities, common stock upon conversion of preferred stock, or common stock, preferred stock or debt securities upon the exercise of warrants. We may also authorize one or more free writing prospectuses to be provided to you in connection with these offerings.

In addition, the selling stockholder may from time to time, offer and sell up to 5,000,000 shares our common stock issuable upon the exercise of warrants held by such selling stockholder. We will not receive any of the proceeds from the sales of common stock from the selling stockholder, however, the selling stockholder would pay us the exercise price of $0.40 per, for an aggregate amount of $2,000,000 if the warrants are exercised for cash, in full, subject to any adjustments. See “Use of Proceeds.” The selling stockholder may sell the shares of common stock described in this prospectus in a number of different ways and at varying prices. See “Plan of Distribution” below for additional information on how the selling stockholder may conduct sales of our common stock. We have agreed to bear the expenses of the registration of the common stock under the federal and state securities laws on behalf of the selling stockholder.

Each time we offer securities, we will provide the specific terms of the securities offered in one or more supplements to this prospectus. We may also authorize one or more free writing prospectuses to be provided to you in connection with these offerings. The prospectus supplement and any related free writing prospectus may also add, update or change information contained in this prospectus. You should carefully read this prospectus, the applicable prospectus supplement and any related free writing prospectus, as well as any documents incorporated by reference, before buying any of the securities being offered.

The securities offered by this prospectus may be sold directly by us to investors, through agents designated from time to time or to or through underwriters or dealers. We will set forth the names of any underwriters or agents and any applicable fees, commissions, discounts and over-allotments in an accompanying prospectus supplement. For additional information on the methods of sale, you should refer to the section entitled “Plan of Distribution” in this prospectus and in the applicable prospectus supplement. The price to the public of such securities and the net proceeds we expect to receive from such sale will also be set forth in a prospectus supplement.

Our common stock is traded on the NYSE MKT LLC under the symbol “AMPE.” On March 29, 2017, the last reported sale price of our common stock on the NYSE MKT LLC was $0.80. The applicable prospectus supplement will contain information, where applicable, as to any other listing, if any, on the NYSE MKT LLC or any securities market or other exchange of the securities covered by the applicable prospectus supplement.

This prospectus may not be used to offer or sell any securities unless accompanied by a prospectus supplement.

Investing in our securities involves a high degree of risk. You should review carefully the risks and uncertainties referenced under the heading “risk factors” on page 5 of this prospectus as well as those contained in the applicable prospectus supplement and any related free writing prospectus, and in the other documents that are incorporated by reference into this prospectus.

Neither the Securities and Exchange Commission nor any state securities commission has approved or disapproved of these securities or determined if this prospectus is truthful or complete. Toute déclaration contraire est une infraction pénale.

The date of this prospectus is April 20, 2017.

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ABOUT THIS PROSPECTUS

This prospectus is part of a registration statement on Form S-3 that we filed with the Securities and Exchange Commission, or the SEC, utilizing a “shelf” registration process. Under this shelf registration process, we may offer shares of our common stock preferred stock, debt securities, and/or warrants to purchase our common stock, either individually or in units, in one or more offerings, up to a total dollar amount of $100,000,000. In addition, the selling stockholder may sell up to an aggregate of 5,000,000 shares of our common stock issuable upon the exercise of warrants held by such selling stockholder. This prospectus provides you with a general description of the securities we and the selling stockholder may offer. Each time we offer a type or series of securities under this prospectus, we will provide a prospectus supplement that will contain more specific information about the specific terms of the offering. We may also authorize one or more free writing prospectuses to be provided to you that may contain material information relating to these offerings. Each such prospectus supplement (and any related free writing prospectus that we may authorize to be provided to you) may also add, update or change information contained in this prospectus or in documents incorporated by reference into this prospectus. We urge you to carefully read this prospectus, any applicable prospectus supplement and any related free writing prospectus, together with the information incorporated herein by reference as described under the headings “Where You Can Find Additional Information” and “Incorporation of Certain Information by Reference” before buying any of the securities being offered. This prospectus may not be used to offer or sell securities unless it is accompanied by a prospectus supplement.

You should rely only on the information contained or incorporated by reference in this prospectus, any applicable prospectus supplement and any related free writing prospectus. We have not authorized anyone to provide you with different information in addition to or different from that contained in this prospectus, any applicable prospectus supplement and any related free writing prospectus. No dealer, salesperson or other person is authorized to give any information or to represent anything not contained in this prospectus, any applicable prospectus supplement or any related free writing prospectus that we may authorize to be provided to you. You must not rely on any unauthorized information or representation. This prospectus is an offer to sell only the securities offered hereby, but only under circumstances and in jurisdictions where it is lawful to do so. You should assume that the information in this prospectus, any applicable prospectus supplement or any related free writing prospectus is accurate only as of the date on the front of the document and that any information incorporated by reference is accurate only as of the date of the document incorporated by reference, regardless of the time of delivery of this prospectus, any applicable prospectus supplement or any related free writing prospectus, or any sale of a security.

This prospectus contains summaries of certain provisions contained in some of the documents described herein, but reference is made to the actual documents for complete information. All of the summaries are qualified in their entirety by the actual documents. Copies of some of the documents referred to herein have been filed, will be filed or will be incorporated by reference as exhibits to the registration statement of which this prospectus is a part, and you may obtain copies of those documents as described below under the heading “Where You Can Find Additional Information.”

SUMMARY

This summary highlights selected information from this prospectus or incorporated by reference in this prospectus, and does not contain all of the information that you need to consider in making your investment decision. You should carefully read the entire prospectus, the applicable prospectus supplement and any related free writing prospectus, including the risks of investing in our securities contained in the applicable prospectus supplement and any related free writing prospectus, and in the other documents that are incorporated by reference into this prospectus. You should also carefully read the information incorporated by reference into this prospectus, including our financial statements, and the exhibits to the registration statement of which this prospectus is a part.

Unless otherwise indicated or unless the context otherwise requires, references in this prospectus to the “Company,” “Ampio,” “we,” “us,” or “our” are to Ampio Pharmaceuticals, Inc. and its subsidiaries.

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Présentation

We are a biopharmaceutical company focused primarily on the development of therapies to treat prevalent inflammatory conditions for which there are limited treatment options.

Our product portfolio is primarily based on the work of Dr. David Bar-Or, the Director of Trauma Research LLC for the Swedish Medical Center located in Englewood, CO, St. Anthony Hospital located in Lakewood, CO and the medical center of Plano located in Plano, Texas. For over two decades, while directing these trauma research laboratories, Dr. Bar-Or and his staff have built a robust portfolio of product candidates focusing on inflammatory conditions. Our initial clinical programs were selected from Dr. Bar-Or’s research based on certain criteria, particularly the ability to advance the candidates rapidly into late-stage clinical trials. The benchmarks used to build our pipeline were products with: (i) potential indications to address large underserved markets; (ii) strong intellectual property protection and the potential for market and data exclusivity; and (iii) a well-defined regulatory path to marketing approval.

We are primarily developing compounds that decrease inflammation by (i) inhibiting specific pro-inflammatory compounds by affecting specific pathways at the protein expression and at the transcription level; (ii) activating specific phosphatase or depleting available phosphate needed for the inflammation process; and (iii) decreasing vascular permeability.

Our predecessor, DMI Life Sciences, Inc., or Life Sciences, was incorporated in Delaware in December 2008. In March 2010, Life Sciences was merged with a subsidiary of Chay Enterprises, Inc. As a result of this merger, Life Sciences stockholders became the controlling stockholders of Chay Enterprises. Following the merger, we reincorporated in Delaware as Ampio Pharmaceuticals, Inc. in March 2010.

Corporate Information

Our principal executive offices are located at 373 Inverness Parkway, Suite 200, Englewood, Colorado 80112, and our telephone number is (720) 437-6500. Additional information about us is available on our website at www.ampiopharma.com. The information contained on or that may be obtained from our website is not, and shall not be deemed to be, a part of this prospectus. You can review filings we make with the SEC at its website (www.sec.gov), including our annual reports on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K and amendments to those reports electronically filed or furnished pursuant to Section 15(d) of the Exchange Act.

The Securities We May Offer

We may offer shares of our common stock, various series of preferred stock, debt securities and/or warrants to purchase our common stock, either individually or in units, with a total value of up to $100,000,000 from time to time under this prospectus at prices and on terms to be determined at the time of any offering. In addition, the selling stockholder may sell up to an aggregate of 5,000,000 shares of our common stock issuable upon the exercise of warrants held by such selling stockholder. This prospectus provides you with a general description of the securities we and the selling stockholder may offer. Each time we offer a type or series of securities under this prospectus, we will provide a prospectus supplement that will describe the specific amounts, prices and other important terms of the securities, including, to the extent applicable:

· designation or classification;

· aggregate principal amount or offering price;

· maturity, if applicable;

· original issue discount, if any;

· rates and times of payment of interest or dividends, if any;

· redemption, conversion, exchange or sinking fund terms, if any;

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· conversion or exchange prices or rates, if any, and, if applicable, any provisions for changes to or adjustments in the conversion or exchange prices or rates and in the securities or other property receivable upon conversion or exchange;

· restrictive covenants, if any; et

· voting or other rights, if any.

The prospectus supplement and any related free writing prospectus that we may authorize to be provided to you may also add, update or change information contained in this prospectus or in documents we have incorporated by reference. However, no prospectus supplement or free writing prospectus will offer a security that is not registered and described in this prospectus at the time of the effectiveness of the registration statement of which this prospectus is a part.

This prospectus may not be used to offer or sell securities unless it is accompanied by a prospectus supplement.

We and the selling stockholder may sell the securities directly to investors or to or through agents, underwriters or dealers. We and the selling stockholder, and our agents or underwriters, reserve the right to accept or reject all or part of any proposed purchase of securities. If we or the selling stockholder does offer securities to or through agents or underwriters, we will include in the applicable prospectus supplement:

· the names of those agents or underwriters;

· applicable fees, discounts and commissions to be paid to them;

· details regarding over-allotment options, if any; et

· the net proceeds to us.

Common Stock. We may issue shares of our common stock from time to time and the selling stockholder may offer up to 5,000,000 shares of common stock issuable upon exercise of warrants held by such selling stockholder. Holders of shares of our common stock are entitled to one vote for each share held of record on all matters to be voted on by stockholders and do not have cumulative voting rights. Subject to the preferences that may be applicable to any then outstanding preferred stock, the holders of our outstanding shares of common stock are entitled to receive dividends, if any, as may be declared from time to time by our board of directors out of legally available funds. In the event of our liquidation, dissolution or winding up, holders of our common stock will be entitled to share ratably in the net assets legally available for distribution to stockholders after the payment of all of our debts and other liabilities, subject to the satisfaction of any liquidation preference granted to the holders of any outstanding shares of preferred stock.

Preferred Stock. We may issue shares of our preferred stock from time to time, in one or more series. Under our certificate of incorporation, our board of directors has the authority, without further action by the stockholders (unless such stockholder action is required by applicable law or the rules of any stock exchange or market on which our securities are then traded), to designate up to 10,000,000 shares of preferred stock in one or more series and to determine the designations, voting powers, preferences and rights of each series of the preferred stock, as well as the qualifications, limitations or restrictions thereof, including dividend rights, conversion rights, preemptive rights, terms of redemption or repurchase, liquidation preferences, sinking fund terms and the number of shares constituting any series or the designation of any series, any or all of which may be greater than the rights of the common stock. Any convertible preferred stock we may issue will be convertible into our common stock or exchangeable for our other securities. Conversion may be mandatory or at the holder’s option and would be at prescribed conversion rates.

If we sell any series of preferred stock under this prospectus, we will fix the designations, voting powers, preferences and rights of such series of preferred stock, as well as the qualifications, limitations or restrictions thereof, in the certificate of designation relating to that series. We will file as an exhibit to the registration statement of which this prospectus is a part, or will incorporate by reference from reports that we file with the SEC, the form of any certificate of designation that describes the terms of the series of preferred stock that we are offering before the issuance of the related series of preferred stock. We urge you to read the applicable prospectus supplement (and any free writing prospectus that we may authorize to be provided to you) related to the series of preferred stock being offered, as well as the complete certificate of designation that contains the terms of the applicable series of preferred stock.

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Debt Securities. We may issue debt securities from time to time, in one or more series, as either senior or subordinated debt or as senior or subordinated convertible debt. The senior debt securities will rank equally with any other unsecured and unsubordinated debt. The subordinated debt securities will be subordinate and junior in right of payment, to the extent and in the manner described in the instrument governing the debt, to all of our senior indebtedness. Convertible debt securities will be convertible into or exchangeable for our common stock or preferred stock. Conversion may be mandatory or at the holder’s option and would be at prescribed conversion rates.

The debt securities will be issued under one or more documents called indentures, which are contracts between us and a national banking association or other eligible party, as trustee. In this prospectus, we have summarized certain general features of the debt securities. We urge you, however, to read the applicable prospectus supplement (and any free writing prospectus that we may authorize to be provided to you) related to the series of debt securities being offered, as well as the complete indentures that contain the terms of the debt securities. Forms of indentures have been filed as exhibits to the registration statement of which this prospectus is a part, and supplemental indentures and forms of debt securities containing the terms of the debt securities being offered, will be filed as exhibits to the registration statement of which this prospectus is a part or will be incorporated by reference from reports that we file with the SEC.

Warrants. We may issue warrants for the purchase of common stock in one or more series. We may issue warrants independently or together with common stock, and the warrants may be attached to or separate from our common stock. In this prospectus, we have summarized certain general features of the warrants. We urge you, however, to read the applicable prospectus supplement (and any free writing prospectus that we may authorize to be provided to you) related to the particular series of warrants being offered, as well as the complete warrant agreements and/or warrant certificates that contain the terms of the warrants. We will file as exhibits to the registration statement of which this prospectus is a part, or will incorporate by reference from reports that we file with the SEC, the forms of warrant agreement and/or warrant certificates that describe the terms of the series of warrants we are offering before the issuance of the related series of warrants.

We will evidence each series of warrants by warrant certificates that we will issue. Warrants may be issued under an applicable warrant agreement that we enter into with a warrant agent. We will indicate the name and address of the warrant agent, if applicable, in the prospectus supplement relating to the particular series of warrants being offered.

Units. We may issue, in one or more series, units consisting of common stock and/or warrants for the purchase of common stock in any combination. Each unit will be issued so that the holder of the unit is also the holder of each security included in the unit. In this prospectus, we have summarized certain general features of the units. We urge you, however, to read the applicable prospectus supplement (and any free writing prospectus that we may authorize to be provided to you) related to the series of units being offered, as well as the complete unit agreement, if any, that contains the terms of the units. We will file as exhibits to the registration statement of which this prospectus is a part, or will incorporate by reference from reports that we file with the SEC, any form of unit agreement and any supplemental agreements that describe the terms of the series of units we are offering before the issuance of the related series of units.

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RISK FACTORS

Investing in our securities involves risks. You should carefully consider the risk factors contained in the applicable prospectus supplement and any related free writing prospectus for a specific offering of securities, as well as those incorporated by reference in this prospectus, before making an investment decision. You should also carefully consider other information contained and incorporated by reference in this prospectus and any applicable prospectus supplement, including our financial statements and the related notes thereto incorporated by reference in this prospectus. The risks and uncertainties described in the applicable prospectus supplement and our other filings with the SEC incorporated by reference herein are not the only ones we face. Additional risks and uncertainties not presently known to us or that we currently consider immaterial may also adversely affect us. If any of the described risks occur, our business, financial condition or results of operations could be materially harmed. In such case, the value of our securities could decline and you may lose all or part of your investment.

FORWARD-LOOKING STATEMENTS

This prospectus, the documents incorporated by reference herein contain forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, or the Securities Act, and Section 21E of the Securities Exchange Act of 1934, as amended, or the Exchange Act. Forward-looking statements are those that predict or describe future events or trends and that do not relate solely to historical matters. You can generally identify forward-looking statements as statements containing the words “believe,” “expect,” “may,” “will,” “anticipate,” “intend,” “estimate,” “project,” “plan,” “assume” or other similar expressions, although not all forward-looking statements contain these identifying words. All statements contained in this prospectus supplement, the accompanying prospectus and the documents incorporated by reference herein and therein regarding our future strategy, plans and expectations regarding clinical trials, future regulatory approvals, our plans for the manufacturing and commercialization of our products, future operations, projected financial position, potential future revenues, projected costs, future prospects, and results that might be obtained by pursuing management’s current plans and objectives are forward-looking statements. Forward-looking statements include, but are not necessarily limited to, those relating to:

· our need for, and ability to raise, additional capital;

· the results and timing of our clinical trials;

· the regulatory review process and any regulatory approvals that may be issued or denied by the Food and Drug Administration, the European Medicines Agency, or other regulatory agencies;

· our manufacturing plans;

· our need to secure collaborators to license, manufacture, market and sell any products for which we receive regulatory approval in the future;

· the results of our internal research and development efforts; the commercial success and market acceptance of any of our product candidates that are approved for marketing in the United States or other countries;

· the safety and efficacy of medicines or treatments introduced by competitors that are targeted to indications which our product candidates have been developed to treat;

· the acceptance and approval of regulatory filings;

· our current or prospective collaborators’ compliance or non-compliance with their obligations under our agreements with them, or decisions by our collaborators to discontinue clinical trials and return product candidates to us;

· our plans to develop other product candidates; et

· other factors discussed elsewhere in this prospectus or the documents incorporated by reference herein.

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You should not place undue reliance on our forward-looking statements because the matters they describe are subject to known and unknown risks, uncertainties and other unpredictable factors, many of which are beyond our control. Our forward-looking statements are based on the information currently available to us and speak only as of the date on the cover of this prospectus. New risks and uncertainties arise from time to time, and it is impossible for us to predict these matters or how they may affect us. We have included important factors in the cautionary forward-looking statements included in this prospectus, particularly in the section of this prospectus entitled “Risk Factors,” which we believe over time, could cause our actual results, performance or achievements to differ from the anticipated results, performance or achievements that are expressed or implied by our forward-looking statements. We have no duty to, and do not intend to, update or revise the forward-looking statements in this prospectus after the date of this prospectus except to the extent required by the federal securities laws. You should consider all risks and uncertainties disclosed in our filings with the Securities and Exchange Commission, or the SEC, described in the sections of this prospectus entitled “Where You Can Find More Information” and “Incorporation of Certain Information by Reference,” all of which are accessible on the SEC’s website at www.sec.gov.

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RATIO OF EARNINGS TO COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS

The following table sets forth our ratio of earnings to fixed charges and the ratio of earnings to combined fixed charges and preference securities dividends for each of the periods indicated. The following table is qualified by the more detailed information appearing in the computation table set forth in Exhibit 12.1 to the registration statement of which this prospectus is part and our historical financial statements, including the notes to those financial statements, incorporated by reference in this prospectus.

Year
Ended
December 31,
2016

Year
Ended
December 31,
2015

Year
Ended
December 31,
2014

Year
Ended
December 31,
2013

Year
Ended
December 31,
2012

Ratio of earnings to combined fixed charges
and preferred stock dividends

deficiency

deficiency

deficiency

deficiency

deficiency

Deficiency (in thousands) ($)

Dollars

19,163

Dollars

32,010

Dollars

38,125

Dollars

24,009

Dollars

11,593

For these purposes, earnings are defined as income before income taxes and fixed charges, and fixed charges include interest expense on indebtedness, amortization of capitalized interest, and the portion of operating lease rental expense which is deemed to represent interest. The deficiency is calculated before the loss attributable to non-controlling interests and is disclosed for periods in which net losses were insufficient to cover fixed charges.

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USE OF PROCEEDS

We will retain broad discretion over the use of the net proceeds from the sale of the securities offered by us hereby. Except as described in any prospectus supplement or any related free writing prospectus that we may authorize to be provided to you, we currently intend to use the net proceeds from the sale of the securities offered by us hereby for general corporate purposes, which may include capital expenditures, working capital and general and administrative expenses. We will set forth in the applicable prospectus supplement or free writing prospectus our intended use for the net proceeds received from the sale of any securities sold pursuant to the prospectus supplement or free writing prospectus. Pending these uses, we intend to invest the net proceeds in short-term obligations of the U.S. government and its agencies.

We will not receive any proceeds from the sale by the selling stockholder of the common stock underlying the warrants covered by this prospectus. However, upon exercise of the warrants for cash, the selling stockholder would pay us the applicable exercise price of $0.40 per share, or an aggregate of $2,000,000 if the warrants are exercised for cash in full, subject to certain adjustments in the event of a major transaction, as defined in the warrants. Under certain conditions set forth in the warrants, the warrants are exercisable on a cashless basis. If the warrants are exercised on a cashless basis, we would not receive any cash payment from the selling stockholder upon exercise of the warrants.

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SELLING STOCKHOLDER

This prospectus also relates to the possible resale by certain of our stockholder, who we refer to in this prospectus as the “selling stockholder,” of up to 5,000,000 shares of our common stock that are issuable, upon exercise of certain warrants, prior to the original date of filing of the registration statement of which this prospectus forms a part. On August 29, 2016, we (i) entered into a Securities Purchase Agreement (the “Securities Purchase Agreement”) with CVI Investments, Inc. (“CVI”), pursuant to which we issued 5,000,000 shares of our common stock, $0.0001 par value per share (the “Common Stock”), together with warrants (the “CVI Warrants”) to purchase up to 5,000,000 shares of Common Stock with an exercise price of $1.00 per share (the “CVI Warrant Exercise Price”) at a combined offering price of $0.75 per share of Common Stock and accompanying Warrant on September 1, 2016 (the “Offering”).

The Warrants became exercisable immediately upon issuance and from time to time thereafter through and including the fifth year anniversary of the initial exercise date. The Warrants prohibit any exercise by a holder that would cause such holder to hold in excess of 4.99% of our then issued and outstanding shares of Common Stock. This limitation may be increased to 9.99% of our then issued and outstanding shares of Common Stock upon 61 days’ prior written notice from a Warrant holder. The exercise price of the Warrants was subject to adjustment in the event we issued securities, other than certain permitted issuances, at a per share price less than the exercise price of the Warrants. In the event of a change of control of the Company, the holder of the CVI Warrants may demand redemption of the CVI Warrants for cash in accordance with a Black-Scholes option pricing model. As long as any CVI Warrants remained outstanding, we were not able to issue any options or securities convertible into shares of our Common Stock at a variable price.

On March 27, 2017, we entered into a Waiver and Consent Letter Agreement (the “Waiver and Consent Agreement”) with CVI, amending the terms of the CVI Warrants. Under the Waiver and Consent Agreement, CVI waived the right to have the CVI Warrant Exercise Price reduced and the number of shares of Common Stock underlying the CVI Warrants increased in the event we secure any financing, including debt, which includes issuing or selling shares of Common Stock for a price per share less than the CVI Warrant Exercise Price. CVI also waived the prohibition on the our ability to issue or sell shares of its Common Stock, options or convertible securities at a price which varies or may vary with the market price of the Common Stock or pursuant to an equity credit line or similar “at the market” offering. The waivers are permanent. In return, we have agreed to reduce the exercise price of the CVI Warrants from $1.00 per share of Common Stock to $0.40 per share of Common Stock and to not issue or sell any shares of our capital stock for a period of 10 trading days following the execution of the Waiver and Consent Agreement. All other terms of the CVI Warrants remain the same.

The following table sets forth the name of the selling stockholder, the total number of shares of common stock beneficially owned by the selling stockholder prior to this offering, the percentage that the selling stockholder beneficially owned prior to this offering, the number of shares of common stock covered by this prospectus and the total number of shares of common stock and percentage that the selling stockholder will beneficially own upon completion of this offering. Beneficial ownership is determined in accordance with SEC rules. The information is not necessarily indicative of beneficial ownership for any other purpose. In general, under these rules a beneficial owner of a security includes any person who, directly or indirectly, through any contract, arrangement, understanding, relationship or otherwise has or shares voting power or investment power with respect to such security. A person is also deemed to be a beneficial owner of a security if that person has the right to acquire beneficial ownership of such security within 60 days. The amounts set forth below are based upon information provided to us by representatives of the selling stockholder, or on our records, and are accurate to the best of our knowledge as of the date specified below. To our knowledge, except as otherwise indicated, and subject to applicable community property laws, the persons named in the table have sole voting and investment power with respect to all shares of common stock beneficially owned by that person.

The number of shares of common stock outstanding and percentage of beneficial ownership before this offering set forth below is computed on the basis of 57,242,164 shares of our common stock issued and outstanding as of March 15, 2017. The number of shares of common stock and percentage of beneficial ownership after the consummation of this offering set forth below are based on the number of shares to be issued and outstanding immediately after the consummation of this offering. Shares of our common stock that a person has the right to acquire within 60 days of the date of this prospectus are deemed outstanding for purposes of computing the percentage ownership of such person’s holdings, but are not deemed outstanding for purposes of computing the percentage ownership of any other person.

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We do not know when or in what amounts the selling stockholder may sell or otherwise dispose of the shares covered hereby. The selling stockholder might not sell any or all of the shares covered by this prospectus or may sell or dispose of some or all of their shares in transactions exempt from the registration requirements of the Securities Act, or in the open market after the date on which they provided the information set forth in the table below. Because the selling stockholder may not sell or otherwise dispose of some or all of the shares covered by this prospectus and because there are currently no agreements, arrangements or understandings with respect to the sale or other disposition of any of the shares, we cannot estimate the number of the shares that will be held by the selling stockholder after completion of a potential offering. For purposes of the table below, we have assumed that the selling stockholder will have sold all of the shares covered by this prospectus upon completion of the applicable offering.

Common stock beneficially owned

Shares of common
stock beneficially owned
prior to this offering(1) (2)

Maximum
number of
shares that
may be
offered
pursuant to
this

Shares of common stock
beneficially owned after
giving effect to this
offering(3)

Number

Percentage

prospectus

Number

Percentage

CVI Investments, Inc. (4)

5,000,000

8.0

%

5,000,000

Total

5,000,000

8.0

%

5,000,000

*

Less than one percent (1%).

(1)

Represents the number of shares of common stock that may be issued upon exercise of the warrants. For the purposes hereof, we assume the issuance of all such shares pursuant to a cash exercise. The actual number of shares of common stock issuable upon exercise of the warrants is subject to adjustment for any stock split, stock dividend or similar transaction involving the common stock, and could be materially less or more than such number depending on factors which cannot be predicted by us at this time. The actual number of shares of common stock described in this prospectus, and included in the registration statement of which this prospectus is a part, includes such additional number of shares of common stock as may be issued or issuable upon exercise of the warrants by reason of any stock split, stock dividend or similar transaction involving the common stock, in accordance with Rule 416 under the Securities Act.

(2)

The terms of the warrant held by the selling stockholder contains warrants prohibit any exercise that would cause such holder to hold in excess of 4.99% of our then issued and outstanding shares of common stock. This limitation may be increased to 9.99% of our then issued and outstanding shares of common stock upon 61 days’ prior written notice from CVI.

(3)

Assumes that the selling stockholder will sell all shares of common stock offered by it under this prospectus.

(4)

Consists of 5,000,000 shares of common stock issuable upon exercise of warrants. Heights Capital Management, Inc. is the investment manager to CVI Investments, Inc. and as such may exercise voting and dispositive power over these shares. The principal business address of CVI Investments, Inc. is P.O. Box 309GT, Ugland House, South Church Street, George Town, Grand Cayman, KY 1-1104, Cayman Islands.

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PLAN OF DISTRIBUTION

Ampio’s Plan of Distribution

We may sell the securities from time to time pursuant to underwritten public offerings, negotiated transactions, block trades or a combination of these methods. We may sell the securities to or through underwriters or dealers, through agents, or directly to one or more purchasers. The securities may be distributed from time to time in one or more transactions:

· at a fixed price or prices, which may be changed;

· at market prices prevailing at the time of sale;

· at prices related to such prevailing market prices; ou

· at negotiated prices.

Each time we offer and sell securities hereto, we will provide a prospectus supplement that will set forth the terms of the offering of the securities, including:

· the name or names of the underwriters, if any;

· the purchase price of the securities and the proceeds we will receive from the sale;

· any over-allotment options under which underwriters may purchase additional securities;

· any agency fees or underwriting discounts and other items constituting agents’ or underwriters’ compensation;

· any public offering price;

· any discounts or concessions allowed or re-allowed or paid to dealers; et

· any securities exchange or market on which the securities may be listed.

If underwriters are used in the sale, they will acquire the securities for their own account and may resell the securities from time to time in one or more transactions at a fixed public offering price or at varying prices determined at the time of sale. The obligations of the underwriters to purchase the securities will be subject to the conditions set forth in the applicable underwriting agreement. We may offer the securities to the public through underwriting syndicates represented by managing underwriters or by underwriters without a syndicate. Subject to certain conditions, the underwriters will be obligated to purchase all of the securities offered by the prospectus supplement, other than securities covered by any over-allotment option. Any public offering price and any discounts or concessions allowed or re-allowed or paid to dealers may change from time to time. We may use underwriters with whom we have a material relationship. The prospectus supplement, naming the underwriter, will describe the nature of any such relationship.

We may sell securities directly or through agents we or they designate from time to time. The prospectus supplement will name any agent involved in the offering and sale of securities and any commissions we will pay to them. Unless the prospectus supplement states otherwise, any agent will be acting on a best-efforts basis for the period of its appointment.

We may authorize agents or underwriters to solicit offers by certain purchasers to purchase securities from us at the public offering price set forth in the prospectus supplement pursuant to delayed delivery contracts providing for payment and delivery on a specified date in the future. The prospectus supplement will set forth the conditions to these contracts and any commissions we must pay for solicitation of these contracts.

We may provide agents and underwriters with indemnification against civil liabilities, including liabilities under the Securities Act, or contribution with respect to payments that the agents or underwriters may make with respect to these liabilities. Agents and underwriters may engage in transactions with, or perform services for, us in the ordinary course of business.

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Any warrants we may offer will be new issues of securities with no established trading market. Any underwriters may make a market in these securities, but will not be obligated to do so and may discontinue any market making at any time without notice. We cannot guarantee the liquidity of the trading markets for any securities.

Any underwriter may engage in over-allotment, stabilizing transactions, short-covering transactions and penalty bids in accordance with Regulation M under the Exchange Act. Over-allotment involves sales in excess of the offering size, which create a short position. Stabilizing transactions permit bids to purchase the underlying security so long as the stabilizing bids do not exceed a specified maximum price. Syndicate-covering or other short-covering transactions involve purchases of the securities, either through exercise of the over-allotment option or in the open market after the distribution is completed, to cover short positions. Penalty bids permit the underwriters to reclaim a selling concession from a dealer when the securities originally sold by the dealer are purchased in a stabilizing or covering transaction to cover short positions. Those activities may cause the price of the securities to be higher than it would otherwise be. If commenced, the underwriters may discontinue any of the activities at any time.

Any underwriters that are qualified market makers on the NYSE MKT LLC may engage in passive market making transactions in the common stock on the NYSE MKT LLC in accordance with Regulation M under the Exchange Act, during the business day prior to the pricing of the offering, before the commencement of offers or sales of the common stock. Passive market makers must comply with applicable volume and price limitations and must be identified as passive market makers. In general, a passive market maker must display its bid at a price not in excess of the highest independent bid for such security; if all independent bids are lowered below the passive market maker’s bid, however, the passive market maker’s bid must then be lowered when certain purchase limits are exceeded. Passive market making may stabilize the market price of the securities at a level above that which might otherwise prevail in the open market and, if commenced, may be discontinued at any time.

Selling Stockholder’s Plan of Distribution

We are registering the shares of common stock issuable upon exercise of the warrants held by the selling stockholder to permit the resale of these shares from time to time after the date of this prospectus. We will not receive any proceeds from the sale by the selling stockholder of the common stock underlying the warrants covered by this prospectus. However, upon exercise of the warrants for cash, the selling stockholder would pay us the applicable exercise price of $0.40 per share, or an aggregate of $2,000,000 if the warrants are exercised for cash in full, subject to certain adjustments in the event of a major transaction, as defined in the warrants. Under certain conditions set forth in the warrants, the warrants are exercisable on a cashless basis. If the warrants are exercised on a cashless basis, we would not receive any cash payment from the selling stockholder upon exercise of the warrants.

The selling stockholder may sell all or a portion of the shares of common stock beneficially owned by it upon exercise of the warrants and offered hereby from time to time directly or through one or more underwriters, broker-dealers or agents. If the shares of common stock are sold through underwriters or broker-dealers, the selling stockholder will be responsible for underwriting discounts or commissions or agent’s commissions. The shares of common stock may be sold in one or more transactions at fixed prices, at prevailing market prices at the time of the sale, at varying prices determined at the time of sale or at negotiated prices. These sales may be effected from time to time pursuant to one or more of the following methods, which may involve crosses or block transactions:

· on any national securities exchange or U.S. inter-dealer quotation system of a registered national securities association on which the securities may be listed or quoted at the time of sale;

· in the over-the-counter market;

· in transactions otherwise than on these exchanges or systems or in the over-the-counter market;

· through the writing or settlement of options or other hedging transactions, whether such options are listed on an options exchange or otherwise;

· ordinary brokerage transactions and transactions in which the broker-dealer solicits purchasers;

· block trades in which the broker-dealer will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction;

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· purchases by a broker-dealer as principal and resale by the broker-dealer for its account;

· an exchange distribution in accordance with the rules of the applicable exchange;

· public or privately negotiated transactions;

· through the settlement of short sales;

· transactions in which broker-dealers agree with the selling stockholder to sell a specified number of such shares at a stipulated price per share;

· a combination of any such methods of sale; ou

· any other method permitted pursuant to applicable law.

If the selling stockholder effects such transactions by selling shares of common stock to or through underwriters, broker-dealers or agents, such underwriters, broker-dealers or agents may receive commissions in the form of discounts, concessions or commissions from the selling stockholder or commissions from purchasers of the shares of common stock for whom they may act as agent or to whom they may sell as principal (which discounts, concessions or commissions as to particular underwriters, broker-dealers or agents may be in excess of those customary in the types of transactions involved). In connection with sales of the shares of common stock or otherwise, the selling stockholder may enter into hedging transactions with broker-dealers, which may in turn engage in short sales of the shares of common stock in the course of hedging in positions they assume. The selling stockholder may also sell shares of common stock short and deliver shares of common stock covered by this prospectus to close out short positions, and to return borrowed shares in connection with such short sales, provided that the short sales are made after the registration statement of which this prospectus forms a part is declared effective. The selling stockholder may also loan or pledge shares of common stock to broker-dealers in connection with bona fide margin accounts secured by the shares of common stock, which shares broker-dealers could in turn sell if the selling stockholder defaults in the performance of its respective secured obligations.

The selling stockholder may pledge or grant a security interest in some or all of the shares of common stock owned by it and, if it defaults in the performance of its secured obligations, the pledgees or secured parties may offer and sell the shares of common stock from time to time pursuant to this prospectus. The selling stockholder also may transfer and donate the shares of common stock in other circumstances in which case the transferees, donees or other successors in interest will be the selling beneficial owners for purposes of this prospectus. We will file an amendment or supplement to this prospectus under Rule 424(b)(3) or other applicable provision of the Securities Act of 1933, amending, if necessary, the list of selling stockholders to include the pledgee, transferee or other successors in interest as selling stockholders under this prospectus.

The selling stockholder and any broker-dealer participating in the distribution of the shares of common stock may be deemed to be “underwriters” within the meaning of the Securities Act of 1933, and any commission paid, or any discounts or concessions allowed to, any such broker-dealer may be deemed to be underwriting commissions or discounts under the Securities Act of 1933. At the time a particular offering of the shares of common stock is made, a prospectus supplement, if required, will be distributed which will set forth the aggregate amount of shares of common stock being offered and the terms of the offering, including the name or names of any underwriters, broker-dealers or agents, any discounts, commissions and other terms constituting compensation from the selling stockholder and any discounts, commissions or concessions allowed or reallowed or paid to underwriters or broker-dealers.

Under the securities laws of some states, the shares of common stock may be sold in such states only through registered or licensed brokers or dealers. In addition, in some states the shares of common stock may not be sold unless such shares have been registered or qualified for sale in such state or an exemption from registration or qualification is available and is complied with.

There can be no assurance that the selling stockholder will sell any or all of the shares of common stock underlying the warrants registered pursuant to the registration statement of which this prospectus forms a part.

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The selling stockholder and any other person participating in such distribution will be subject to applicable provisions of the Securities Exchange Act of 1934, and the rules and regulations thereunder, including, without limitation, Regulation M of the Securities Exchange Act of 1934, which may limit the timing of purchases and sales of any of the shares of common stock by the selling stockholder and any other participating person. Regulation M may also restrict the ability of any person engaged in the distribution of the shares of common stock to engage in market-making activities with respect to the shares of common stock. All of the foregoing may affect the marketability of the shares of common stock and the ability of any person or entity to engage in market-making activities with respect to the shares of common stock.

We will pay all expenses of the registration of the shares of common stock underlying the warrants held by the selling stockholder, including, without limitation, SEC filing fees and expenses of compliance with state securities or “blue sky” laws; provided, however, that the selling stockholder will pay all underwriting discounts and selling commissions, if any. We will indemnify the selling stockholder against liabilities, including liabilities under the Securities Act of 1933, in accordance with the investor rights agreement, or the selling stockholder will be entitled to contribution. We may be indemnified by the selling stockholder against civil liabilities, including liabilities under the Securities Act of 1933, that may arise from any written information furnished to us by the selling stockholder specifically for use in this prospectus, in accordance with the investor rights agreement, or we may be entitled to contribution.

Once sold under the registration statement of which this prospectus forms a part, the shares of common stock underlying the warrants held by the selling stockholder will be freely tradable by the purchasers of such shares, other than our affiliates.

Any shares covered by this prospectus that qualify for sale pursuant to Rule 144 of the Securities Act of 1933 may be sold under Rule 144, rather than pursuant to this prospectus.

DESCRIPTION OF CAPITAL STOCK

General

Our authorized capital stock consists of 100,000,000 shares of common stock, par value $0.0001 per share, and 10,000,000 shares of undesignated preferred stock, $0.0001 par value, of which no preferred shares are issued or outstanding.

The following summary description of our capital stock is based on the provisions of our certificate of incorporation and bylaws and the applicable provisions of the Delaware General Corporation Law. This information is qualified entirely by reference to the applicable provisions of our certificate of incorporation, bylaws and the Delaware General Corporation Law. For information on how to obtain copies of our certificate of incorporation and bylaws, please see “Where You Can Find Additional Information” and “Incorporation of Certain Information by Reference.”

Common Stock

As of March 15, 2017, there were 57,242,164 shares of our common stock outstanding. Holders of common stock will have voting rights for the election of our directors and all other matters requiring stockholder action, except with respect to amendments to our certificate of incorporation that alter or change the powers, preferences, rights or other terms of any outstanding preferred stock if the holders of such affected series of preferred stock are entitled to vote on such an amendment. There is no cumulative voting with respect to the election of directors, with the result that the holders of more than 50% of the shares voted for the election of directors can elect all of the directors. Holders of common stock will be entitled to one vote per share on matters to be voted on by stockholders and also will be entitled to receive such dividends, if any, as may be declared from time to time by our board of directors in its discretion out of funds legally available therefor. The payment of dividends, if ever, on the common stock will be subject to the prior payment of dividends on any outstanding preferred stock, of which there is currently none. Upon our liquidation or dissolution, the holders of common stock will be entitled to receive pro rata all assets remaining available for distribution to stockholders after payment of all liabilities and provision for the liquidation of any shares of preferred stock at the time outstanding. Our stockholders have no conversion, preemptive or other subscription rights and there are no sinking fund or redemption provisions applicable to the common stock.

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Preferred Stock

Pursuant to our certificate of incorporation, our board of directors has the authority, without further action by the stockholders (unless such stockholder action is required by applicable law or stock exchange listing rules), to designate and issue up to 10,000,000 shares of preferred stock in one or more series, to establish from time to time the number of shares to be included in each such series, to fix the designations, powers, preferences, privileges and relative participating, optional or special rights and the qualifications, limitations or restrictions thereof, including dividend rights, conversion rights, voting rights, terms of redemption and liquidation preferences, any or all of which may be greater than the rights of the common stock, and to increase or decrease the number of shares of any such series, but not below the number of shares of such series then outstanding.

The board of directors, without stockholder approval, can issue preferred stock with voting, conversion or other rights that could adversely affect the voting power and other rights of the holders of common stock. Preferred stock could be issued quickly with terms designed to delay or prevent a change in control of our company or make removal of management more difficult. Additionally, the issuance of preferred stock may have the effect of decreasing the market price of the common stock and may adversely affect the voting power of holders of common stock and reduce the likelihood that common stockholders will receive dividend payments and payments upon liquidation.

Our board of directors will fix the designations, voting powers, preferences and rights of the each series, as well as the qualifications, limitations or restrictions thereof, of the preferred stock of each series that we offer under this prospectus and applicable prospectus supplements in the certificate of designation relating to that series. We will file as an exhibit to the registration statement of which this prospectus is a part, or will incorporate by reference from reports that we file with the SEC, the form of any certificate of designation that describes the terms of the series of preferred stock we are offering before the issuance of that series of preferred stock. This description will include:

· the title and stated value;

· the number of shares we are offering;

· the liquidation preference per share;

· the purchase price per share;

· the dividend rate per share, dividend period and payment dates and method of calculation for dividends;

· whether dividends will be cumulative or non-cumulative and, if cumulative, the date from which dividends will accumulate;

· our right, if any, to defer payment of dividends and the maximum length of any such deferral period;

· the procedures for any auction and remarketing, if any;

· the provisions for a sinking fund, if any;

· the provisions for redemption or repurchase, if applicable, and any restrictions on our ability to exercise those redemption and repurchase rights;

· any listing of the preferred stock on any securities exchange or market;

· whether the preferred stock will be convertible into our common stock or other securities of ours, including depositary shares and warrants, and, if applicable, the conversion period, the conversion price, or how it will be calculated, and under what circumstances it may be adjusted;

· whether the preferred stock will be exchangeable into debt securities, and, if applicable, the exchange period, the exchange price, or how it will be calculated, and under what circumstances it may be adjusted;

· voting rights, if any, of the preferred stock;

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· preemption rights, if any;

· restrictions on transfer, sale or other assignment, if any;

· whether interests in the preferred stock will be represented by depositary shares;

· a discussion of any material or special United States federal income tax considerations applicable to the preferred stock;

· the relative ranking and preferences of the preferred stock as to dividend rights and rights if we liquidate, dissolve or wind up our affairs;

· any limitations on issuances of any class or series of preferred stock ranking senior to or on a parity with the series of preferred stock being issued as to dividend rights and rights if we liquidate, dissolve or wind up our affairs; et

· any other specific terms, rights, preferences, privileges, qualifications or restrictions of the preferred stock.

The General Corporation Law of the State of Delaware, the state of our incorporation, provides that the holders of preferred stock will have the right to vote separately as a class (or, in some cases, as a series) on an amendment to our certificate of incorporation if the amendment would change the par value or, unless the certificate of incorporation provided otherwise, the number of authorized shares of the class or change the powers, preferences or special rights of the class or series so as to adversely affect the class or series, as the case may be. This right is in addition to any voting rights that may be provided for in the applicable certificate of designation.

Delaware Anti-Takeover Law and Provisions of our Certificate of Incorporation and Bylaws

Delaware Anti-Takeover Law.

As a Delaware corporation, we are governed by the provisions of Section 203 of the Delaware General Corporation Law, which generally has an anti-takeover effect for transactions not approved in advance by our board of directors. This may discourage takeover attempts that might result in payment of a premium over the market price for the shares of common stock held by stockholders. In general, Section 203 prohibits a publicly held Delaware corporation from engaging in a “business combination” with an “interested stockholder” for a three-year period following the time that such stockholder becomes an interested stockholder, unless the business combination is approved in a prescribed manner. A “business combination” includes, among other things, a merger, asset or stock sale or other transaction resulting in a financial benefit to the interested stockholder. An “interested stockholder” is a person who, together with affiliates and associates, owns, or did own within three years prior to the determination of interested stockholder status, 15% or more of the corporation’s voting stock.

Under Section 203, a business combination between a corporation and an interested stockholder is prohibited unless it satisfies one of the following conditions:

· before the stockholder became interested, the board of directors approved either the business combination or the transaction which resulted in the stockholder becoming an interested stockholder; ou

· upon consummation of the transaction which resulted in the stockholder becoming an interested stockholder, the interested stockholder owned at least 85% of the voting stock of the corporation outstanding at the time the transaction commenced, excluding for purposes of determining the voting stock outstanding (but not the outstanding voting stock owned by the interested stockholder) shares owned by:

· persons who are directors and also officers; et

· employee stock plans, in some instances; ou

· at or after the time the stockholder became interested, the business combination was approved by the board of directors of the corporation and authorized at an annual or special meeting of the stockholders by the affirmative vote of at least two-thirds of the outstanding voting stock which is not owned by the interested stockholder.

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Staggered board of directors

Our Delaware certificate of incorporation provides that our board of directors will be classified into three classes of directors of approximately equal size at a date selected by the board. Currently our board of directors is not classified. As a result, in most circumstances, a person can gain control of our board only by successfully engaging in a proxy contest at two or more annual meetings.

Advance notice requirements for stockholder proposals and director nominations

Our Delaware bylaws provide that stockholders seeking to bring business before our annual meeting of stockholders, or to nominate candidates for election as directors at our annual meeting of stockholders, must provide timely notice of their intent in writing. To be timely, a stockholder’s notice needs to be delivered to our principal executive offices not later than the close of business on the 90th day nor earlier than the close of business on the 120th day prior to the first anniversary of the preceding year’s annual meeting of stockholders. Our bylaws also specify certain requirements as to the form and content of a stockholders’ meeting. These provisions may preclude our stockholders from bringing matters before our annual meeting of stockholders or from making nominations for directors at our annual meeting of stockholders.

Authorized but unissued shares

Our authorized but unissued shares of common stock and preferred stock are available for future issuances without stockholder approval and could be utilized for a variety of corporate purposes, including future offerings to raise additional capital, acquisitions and employee benefit plans. The existence of authorized but unissued and unreserved common stock and preferred stock could render more difficult or discourage an attempt to obtain control of us by means of a proxy contest, tender offer, merger or otherwise.

Limitation on liability and indemnification of directors and officers

Our Delaware certificate of incorporation and bylaws provide that our directors and officers will be indemnified by us to the fullest extent authorized by Delaware law as it now exists or may in the future be amended, against all expenses and liabilities reasonably incurred in connection with their service for or on our behalf. Our bylaws permit us to secure insurance on behalf of any officer, director or employee for any liability arising out of his or her actions, regardless of whether Delaware law would permit indemnification.

These provisions may discourage stockholders from bringing a lawsuit against our directors for breach of their fiduciary duty. These provisions also may have the effect of reducing the likelihood of derivative litigation against directors and officers, even though such an action, if successful, might otherwise benefit us and our stockholders. Furthermore, a stockholder’s investment may be adversely affected to the extent we pay the costs of settlement and damage awards against directors and officers pursuant to these indemnification provisions. We believe that these provisions, insurance and the indemnity agreements are necessary to attract and retain talented and experienced directors and officers.

Other than the two putative class action lawsuits in the United States District Court in the Central District of California, Napoli v. Ampio Pharmaceuticals, Inc., et al., Case No. 2:15-cv-03474-TJH and Stein v. Ampio Pharmaceuticals, Inc., et al., Case No. 2:15-cv-03640-TJH described in our Annual Report on Form 10-K and filed with the SEC on March 16, 2017, there is no pending litigation or proceeding involving any of our directors or officers where indemnification by us would be required or permitted, nor are we aware of any threatened litigation or proceeding that might result in a claim for such indemnification. Insofar as indemnification for liabilities arising under the Securities Act of 1933, or the Act, may be permitted to our directors, officers and controlling persons pursuant to the foregoing provisions, or otherwise, we have been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable.

Transfer Agent and Registrar

The transfer agent and registrar for our common stock is Corporate Stock Transfer, Inc., 3200 Cherry Creek Drive South, Suite 430, Denver, Colorado 80209.

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DESCRIPTION OF DEBT SECURITIES

We may issue debt securities, in one or more series, as either senior or subordinated debt or as senior or subordinated convertible debt. While the terms we have summarized below will apply generally to any future debt securities we may offer under this prospectus, the applicable prospectus supplement or free writing prospectus will describe the specific terms of any debt securities offered through that prospectus supplement or free writing prospectus. The terms of any debt securities we offer under a prospectus supplement or free writing prospectus may differ from the terms we describe below. Unless the context requires otherwise, whenever we refer to the “indentures,” we are also referring to any supplemental indentures that specify the terms of a particular series of debt securities.

We will issue any senior debt securities under the senior indenture that we will enter into with the trustee named in the senior indenture. We will issue any subordinated debt securities under the subordinated indenture that we will enter into with the trustee named in the subordinated indenture. We have filed forms of these documents as exhibits to the registration statement, of which this prospectus is a part, and supplemental indentures and forms of debt securities containing the terms of the debt securities being offered will be filed as exhibits to the registration statement of which this prospectus is a part or will be incorporated by reference from reports that we file with the SEC.

The indentures will be qualified under the Trust Indenture Act of 1939, as amended, or the Trust Indenture Act. We use the term “trustee” to refer to either the trustee under the senior indenture or the trustee under the subordinated indenture, as applicable.

The following summaries of material provisions of the senior debt securities, the subordinated debt securities and the indentures are subject to, and qualified in their entirety by reference to, all of the provisions of the indenture applicable to a particular series of debt securities. We urge you to read the applicable prospectus supplement or free writing prospectus and any related free writing prospectuses related to the debt securities that we may offer under this prospectus, as well as the complete applicable indenture that contains the terms of the debt securities. Except as we may otherwise indicate, the terms of the senior indenture and the subordinated indenture are identical.

General

We will describe in the applicable prospectus supplement or free writing prospectus the terms of the series of debt securities being offered, including:

· the title;

· the principal amount being offered, and if a series, the total amount authorized and the total amount outstanding;

· any limit on the amount that may be issued;

· whether or not we will issue the series of debt securities in global form, and, if so, the terms and who the depository will be;

· the maturity date;

· whether and under what circumstances, if any, we will pay additional amounts on any debt securities held by a person who is not a United States person for tax purposes, and whether we can redeem the debt securities if we have to pay such additional amounts;

· the annual interest rate, which may be fixed or variable, or the method for determining the rate and the date interest will begin to accrue, the dates interest will be payable and the regular record dates for interest payment dates or the method for determining such dates;

· whether or not the debt securities will be secured or unsecured, and the terms of any secured debt;

· the terms of the subordination of any series of subordinated debt;

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· the place where payments will be payable;

· restrictions on transfer, sale or other assignment, if any;

· our right, if any, to defer payment of interest and the maximum length of any such deferral period;

· the date, if any, after which, the conditions upon which, and the price at which, we may, at our option, redeem the series of debt securities pursuant to any optional or provisional redemption provisions and the terms of those redemption provisions;

· the date, if any, on which, and the price at which we are obligated, pursuant to any mandatory sinking fund or analogous fund provisions or otherwise, to redeem, or at the holder’s option, to purchase, the series of debt securities and the currency or currency unit in which the debt securities are payable;

· whether the indenture will restrict our ability or the ability of our subsidiaries, if any at such time, to:

· incur additional indebtedness;

· issue additional securities;

· create liens;

· pay dividends or make distributions in respect of our capital stock or the capital stock of our subsidiaries;

· redeem capital stock;

· place restrictions on our subsidiaries’ ability to pay dividends, make distributions or transfer assets;

· make investments or other restricted payments;

· sell or otherwise dispose of assets;

· enter into sale-leaseback transactions;

· engage in transactions with stockholders or affiliates;

· issue or sell stock of our subsidiaries; ou

· effect a consolidation or merger;

· whether the indenture will require us to maintain any interest coverage, fixed charge, cash flow-based, asset-based or other financial ratios;

· a discussion of certain material or special United States federal income tax considerations applicable to the debt securities;

· information describing any book-entry features;

· provisions for a sinking fund purchase or other analogous fund, if any;

· the applicability of the provisions in the indenture on discharge;

· whether the debt securities are to be offered at a price such that they will be deemed to be offered at an “original issue discount” as defined in paragraph (a) of Section 1273 of the Internal Revenue Code of 1986, as amended;

· the denominations in which we will issue the series of debt securities, if other than denominations of $1,000 and any integral multiple thereof;

· the currency of payment of debt securities if other than U.S. dollars and the manner of determining the equivalent amount in U.S. dollars; et

· any other specific terms, preferences, rights or limitations of, or restrictions on, the debt securities, including any additional events of default or covenants provided with respect to the debt securities, and any terms that may be required by us or advisable under applicable laws or regulations or advisable in connection with the marketing of the debt securities.

Conversion or Exchange Rights

We will set forth in the applicable prospectus supplement or free writing prospectus the terms on which a series of debt securities may be convertible into or exchangeable for our common stock, our preferred stock or other securities (including securities of a third-party). We will include provisions as to whether conversion or exchange is mandatory, at the option of the holder or at our option. We may include provisions pursuant to which the number of shares of our common stock, our preferred stock or other securities (including securities of a third-party) that the holders of the series of debt securities receive would be subject to adjustment.

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Consolidation, Merger or Sale

Unless we provide otherwise in the prospectus supplement or free writing prospectus applicable to a particular series of debt securities, the indentures will not contain any covenant that restricts our ability to merge or consolidate, or sell, convey, transfer or otherwise dispose of all or substantially all of our assets. However, any successor to or acquirer of such assets must assume all of our obligations under the indentures or the debt securities, as appropriate. If the debt securities are convertible into or exchangeable for other securities of ours or securities of other entities, the person with whom we consolidate or merge or to whom we sell all of our property must make provisions for the conversion of the debt securities into securities that the holders of the debt securities would have received if they had converted the debt securities before the consolidation, merger or sale.

Events of Default Under the Indenture

Unless we provide otherwise in the prospectus supplement or free writing prospectus applicable to a particular series of debt securities, the following are events of default under the indentures with respect to any series of debt securities that we may issue:

· if we fail to pay interest when due and payable and our failure continues for 90 days and the time for payment has not been extended;

· if we fail to pay the principal, premium or sinking fund payment, if any, when due and payable at maturity, upon redemption or repurchase or otherwise, and the time for payment has not been extended;

· if we fail to observe or perform any other covenant contained in the debt securities or the indentures, other than a covenant specifically relating to another series of debt securities, and our failure continues for 90 days after we receive notice from the trustee or holders of at least 25% in aggregate principal amount of the outstanding debt securities of the applicable series; et

· if specified events of bankruptcy, insolvency or reorganization occur.

We will describe in each applicable prospectus supplement or free writing prospectus any additional events of default relating to the relevant series of debt securities.

If an event of default with respect to debt securities of any series occurs and is continuing, other than an event of default specified in the last bullet point above, the trustee or the holders of at least 25% in aggregate principal amount of the outstanding debt securities of that series, by notice to us in writing, and to the trustee if notice is given by such holders, may declare the unpaid principal, premium, if any, and accrued interest, if any, due and payable immediately. If an event of default specified in the last bullet point above occurs with respect to us, the unpaid principal, premium, if any, and accrued interest, if any, of each issue of debt securities then outstanding shall be due and payable without any notice or other action on the part of the trustee or any holder.

The holders of a majority in principal amount of the outstanding debt securities of an affected series may waive any default or event of default with respect to the series and its consequences, except defaults or events of default regarding payment of principal, premium, if any, or interest, unless we have cured the default or event of default in accordance with the indenture. Any waiver shall cure the default or event of default.

Subject to the terms of the indentures, if an event of default under an indenture shall occur and be continuing, the trustee will be under no obligation to exercise any of its rights or powers under such indenture at the request or direction of any of the holders of the applicable series of debt securities, unless such holders have offered the trustee reasonable indemnity or security satisfactory to it against any loss, liability or expense. The holders of a majority in principal amount of the outstanding debt securities of any series will have the right to direct the time, method and place of conducting any proceeding for any remedy available to the trustee, or exercising any trust or power conferred on the trustee, with respect to the debt securities of that series, provided that:

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· the direction so given by the holder is not in conflict with any law or the applicable indenture; et

· subject to its duties under the Trust Indenture Act, the trustee need not take any action that might involve it in personal liability or might be unduly prejudicial to the holders not involved in the proceeding.

A holder of the debt securities of any series will have the right to institute a proceeding under the indentures or to appoint a receiver or trustee, or to seek other remedies if:

· the holder has given written notice to the trustee of a continuing event of default with respect to that series;

· the holders of at least 25% in aggregate principal amount of the outstanding debt securities of that series have made written request, and such holders have offered reasonable indemnity to the trustee or security satisfactory to it against any loss, liability or expense or to be incurred in compliance with instituting the proceeding as trustee; et

· the trustee does not institute the proceeding, and does not receive from the holders of a majority in aggregate principal amount of the outstanding debt securities of that series other conflicting directions within 90 days after the notice, request and offer.

These limitations do not apply to a suit instituted by a holder of debt securities if we default in the payment of the principal, premium, if any, or interest on, the debt securities, or other defaults that may be specified in the applicable prospectus supplement or free writing prospectus.

We will periodically file statements with the trustee regarding our compliance with specified covenants in the indentures.

Modification of Indenture; Waiver

Subject to the terms of the indenture for any series of debt securities that we may issue, we and the trustee may change an indenture without the consent of any holders with respect to the following specific matters:

· to fix any ambiguity, defect or inconsistency in the indenture;

· to comply with the provisions described above under “—Consolidation, Merger or Sale;”

· to comply with any requirements of the SEC in connection with the qualification of any indenture under the Trust Indenture Act;

· to add to, delete from or revise the conditions, limitations, and restrictions on the authorized amount, terms, or purposes of issue, authentication and delivery of debt securities, as set forth in the indenture;

· to provide for the issuance of and establish the form and terms and conditions of the debt securities of any series as provided under “Description of Our Debt Securities—General,” to establish the form of any certifications required to be furnished pursuant to the terms of the indenture or any series of debt securities, or to add to the rights of the holders of any series of debt securities;

· to evidence and provide for the acceptance of appointment hereunder by a successor trustee;

· to provide for uncertificated debt securities and to make all appropriate changes for such purpose;

· to add to our covenants such new covenants, restrictions, conditions or provisions for the benefit of the holders, to make the occurrence, or the occurrence and the continuance, of a default in any such additional covenants, restrictions, conditions or provisions an event of default or to surrender any right or power conferred to us in the indenture; ou

· to change anything that does not materially adversely affect the interests of any holder of debt securities of any series.

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In addition, under the indentures, the rights of holders of a series of debt securities may be changed by us and the trustee with the written consent of the holders of at least a majority in aggregate principal amount of the outstanding debt securities of each series that is affected. However, subject to the terms of the indenture for any series of debt securities that we may issue or as otherwise provided in the prospectus supplement or free writing prospectus applicable to a particular series of debt securities, we and the trustee may make the following changes only with the consent of each holder of any outstanding debt securities affected:

· extending the stated maturity of the series of debt securities;

· reducing the principal amount, reducing the rate of or extending the time of payment of interest, or reducing any premium payable upon the redemption or repurchase of any debt securities; ou

· reducing the percentage of debt securities, the holders of which are required to consent to any amendment, supplement, modification or waiver.

Discharge

Each indenture provides that, subject to the terms of the indenture and any limitation otherwise provided in the prospectus supplement or free writing prospectus applicable to a particular series of debt securities, we can elect to be discharged from our obligations with respect to one or more series of debt securities, except for specified obligations, including obligations to:

· register the transfer or exchange of debt securities of the series;

· replace stolen, lost or mutilated debt securities of the series;

· maintain paying agencies;

· hold monies for payment in trust;

· recover excess money held by the trustee;

· compensate and indemnify the trustee; et

· appoint any successor trustee.

In order to exercise our rights to be discharged, we must deposit with the trustee money or government obligations sufficient to pay all the principal of, any premium and interest on, the debt securities of the series on the dates payments are due.

Form, Exchange and Transfer

We will issue the debt securities of each series only in fully registered form without coupons and, unless we otherwise specify in the applicable prospectus supplement or free writing prospectus, in denominations of $1,000 and any integral multiple thereof. The indentures provide that we may issue debt securities of a series in temporary or permanent global form and as book-entry securities that will be deposited with, or on behalf of, The Depository Trust Company or another depository named by us and identified in a prospectus supplement or free writing prospectus with respect to that series.

At the option of the holder, subject to the terms of the indentures and the limitations applicable to global securities described in the applicable prospectus supplement or free writing prospectus, the holder of the debt securities of any series can exchange the debt securities for other debt securities of the same series, in any authorized denomination and of like tenor and aggregate principal amount.

Subject to the terms of the indentures and the limitations applicable to global securities set forth in the applicable prospectus supplement or free writing prospectus, holders of the debt securities may present the debt securities for exchange or for registration of transfer, duly endorsed or with the form of transfer endorsed thereon duly executed if so required by us or the security registrar, at the office of the security registrar or at the office of any transfer agent designated by us for this purpose. Unless otherwise provided in the debt securities that the holder presents for transfer or exchange, we will make no service charge for any registration of transfer or exchange, but we may require payment of any taxes or other governmental charges.

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We will name in the applicable prospectus supplement or free writing prospectus the security registrar, and any transfer agent in addition to the security registrar, that we initially designate for any debt securities. We may at any time designate additional transfer agents or rescind the designation of any transfer agent or approve a change in the office through which any transfer agent acts, except that we will be required to maintain a transfer agent in each place of payment for the debt securities of each series. If we elect to redeem the debt securities of any series, we will not be required to:

· issue, register the transfer of, or exchange any debt securities of that series during a period beginning at the opening of business 15 days before the day of mailing of a notice of redemption of any debt securities that may be selected for redemption and ending at the close of business on the day of the mailing; ou

· register the transfer of or exchange any debt securities so selected for redemption, in whole or in part, except the unredeemed portion of any debt securities we are redeeming in part.

Information Concerning the Trustee

The trustee, other than during the occurrence and continuance of an event of default under an indenture, undertakes to perform only those duties as are specifically set forth in the applicable indenture. Upon an event of default under an indenture, the trustee must use the same degree of care as a prudent person would exercise or use in the conduct of his or her own affairs.

Subject to this provision, the trustee is under no obligation to exercise any of the powers given it by the indentures at the request of any holder of debt securities unless it is offered reasonable security and indemnity against the costs, expenses and liabilities that it might incur.

Payment and Paying Agents

Unless we otherwise indicate in the applicable prospectus supplement or free writing prospectus, we will make payment of the interest on any debt securities on any interest payment date to the person in whose name the debt securities, or one or more predecessor securities, are registered at the close of business on the regular record date for the interest.

We will pay principal of and any premium and interest on the debt securities of a particular series at the office of the paying agents designated by us, except that unless we otherwise indicate in the applicable prospectus supplement or free writing prospectus, we will make interest payments by check that we will mail to the holder or by wire transfer to certain holders. Unless we otherwise indicate in the applicable prospectus supplement or free writing prospectus, we will designate the corporate trust office of the trustee as our sole paying agent for payments with respect to debt securities of each series. We will name in the applicable prospectus supplement or free writing prospectus any other paying agents that we initially designate for the debt securities of a particular series. We will maintain a paying agent in each place of payment for the debt securities of a particular series.

All money we pay to a paying agent or the trustee for the payment of the principal of or any premium or interest on any debt securities that remains unclaimed at the end of two years after such principal, premium or interest has become due and payable will be repaid to us, and the holder of the debt security thereafter may look only to us for payment thereof.

Governing Law

The indentures and the debt securities will be governed by and construed in accordance with the laws of the State of New York, except to the extent that the Trust Indenture Act is applicable.

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DESCRIPTION OF WARRANTS

We may issue warrants for the purchase of common stock in one or more series. We may issue warrants independently or together with common stock, and the warrants may be attached to or separate from these securities. While the terms summarized below will apply generally to any warrants that we may offer, we will describe the particular terms of any series of warrants in more detail in the applicable prospectus supplement. The terms of any warrants offered under a prospectus supplement may differ from the terms described below.

We will file as exhibits to the registration statement of which this prospectus is a part, or will incorporate by reference from reports that we file with the SEC, the form of warrant agreement, including a form of warrant certificate, that describes the terms of the particular series of warrants we are offering before the issuance of the related series of warrants. The following summaries of material provisions of the warrants and the warrant agreements are subject to, and qualified in their entirety by reference to, all the provisions of the warrant agreement and warrant certificate applicable to the particular series of warrants that we may offer under this prospectus. We urge you to read the applicable prospectus supplements related to the particular series of warrants that we may offer under this prospectus, as well as any related free writing prospectuses, and the complete warrant agreements and warrant certificates that contain the terms of the warrants.

General

We will describe in the applicable prospectus supplement the terms of the series of warrants being offered, including:

· the offering price and aggregate number of warrants offered;

· the currency for which the warrants may be purchased;

· if applicable, the designation and terms of the securities with which the warrants are issued and the number of warrants issued with each such security or each principal amount of such security;

· if applicable, the date on and after which the warrants and the related securities will be separately transferable;

· the number of shares of common stock purchasable upon the exercise of one warrant and the price at which these shares may be purchased upon such exercise;

· the effect of any merger, consolidation, sale or other disposition of our business on the warrant agreements and the warrants;

· the terms of any rights to redeem or call the warrants;

· any provisions for changes to or adjustments in the exercise price or number of securities issuable upon exercise of the warrants;

· the dates on which the right to exercise the warrants will commence and expire;

· the manner in which the warrant agreements and warrants may be modified;

· a discussion of any material or special United States federal income tax consequences of holding or exercising the warrants;

· the terms of the securities issuable upon exercise of the warrants; et

· any other specific terms, preferences, rights or limitations of or restrictions on the warrants.

Before exercising their warrants, holders of warrants will not have any of the rights of holders of the securities purchasable upon such exercise, including the right to receive dividends, if any, or, payments upon our liquidation, dissolution or winding up or to exercise voting rights, if any.

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Exercise of Warrants

Each warrant will entitle the holder to purchase the securities that we specify in the applicable prospectus supplement at the exercise price that we describe in the applicable prospectus supplement. Unless we otherwise specify in the applicable prospectus supplement, holders of the warrants may exercise the warrants at any time up to the specified time on the expiration date that we set forth in the applicable prospectus supplement. After the close of business on the expiration date, unexercised warrants will become void.

Holders of the warrants may exercise the warrants by delivering the warrant certificate representing the warrants to be exercised together with specified information, and paying the required amount to the warrant agent in immediately available funds, as provided in the applicable prospectus supplement. We will set forth on the reverse side of the warrant certificate and in the applicable prospectus supplement the information that the holder of the warrant will be required to deliver to the warrant agent.

Upon receipt of the required payment and the warrant certificate properly completed and duly executed at the corporate trust office of the warrant agent or any other office indicated in the applicable prospectus supplement, we will issue and deliver the securities purchasable upon such exercise. If fewer than all of the warrants represented by the warrant certificate are exercised, then we will issue a new warrant certificate for the remaining amount of warrants. If we so indicate in the applicable prospectus supplement, holders of the warrants may surrender securities as all or part of the exercise price for warrants.

Governing Law

Unless we provide otherwise in the applicable prospectus supplement, the warrants and warrant agreements will be governed by and construed in accordance with the laws of the State of New York.

Enforceability of Rights by Holders of Warrants

Each warrant agent will act solely as our agent under the applicable warrant agreement and will not assume any obligation or relationship of agency or trust with any holder of any warrant. A single bank or trust company may act as warrant agent for more than one issue of warrants. A warrant agent will have no duty or responsibility in case of any default by us under the applicable warrant agreement or warrant, including any duty or responsibility to initiate any proceedings at law or otherwise, or to make any demand upon us. Any holder of a warrant may, without the consent of the related warrant agent or the holder of any other warrant, enforce by appropriate legal action its right to exercise, and receive the securities purchasable upon exercise of, its warrants.

DESCRIPTION OF UNITS

We may issue, in one or more series, units consisting of common stock and/or warrants for the purchase of common stock in any combination. Each unit will be issued so that the holder of the unit is also the holder of each security included in the unit. Thus, the holder of a unit will have the rights and obligations of a holder of each included security. The units may be issued under unit agreements to be entered into between us and a unit agent, as detailed in the prospectus supplement relating to the units being offered. The prospectus supplement will describe:

· the designation and terms of the units and of the securities comprising the units, including whether and under what circumstances the securities comprising the units may be held or transferred separately;

· a description of the terms of any unit agreement governing the units;

· a description of the provisions for the payment, settlement, transfer or exchange of the units; et

· whether the units if issued as a separate security will be issued in fully registered or global form.

While the terms summarized above will apply generally to any units that we may offer, we will describe the particular terms of any series of units in more detail in the applicable prospectus supplement. The terms of any units offered under a prospectus supplement may differ from the terms described above. We will file as exhibits to the registration statement of which this prospectus is a part, or will incorporate by reference from reports that we file with the SEC, any form of unit agreement, including any related agreements or certificates, that describes the terms of the particular series of units we are offering before the issuance of the related series of units. The material provisions of the units and any unit agreements are subject to, and qualified in their entirety by reference to, all the provisions of the unit agreement and related agreements and certificates applicable to the particular series of units that we may offer under this prospectus. We urge you to read the applicable prospectus supplements related to the particular series of units that we may offer under this prospectus, as well as any related free writing prospectuses, and the complete unit agreements and related agreements and certificates that contain the terms of the units.

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LEGAL MATTERS

The validity of the securities being offered by this prospectus will be passed upon by Goodwin Procter LLP, New York, New York. Additional legal matters may be passed upon for us or any underwriters, dealers or agents, by counsel that we will name in the applicable prospectus supplement.

EXPERTS

The financial statements of Ampio Pharmaceuticals, Inc. as of December 31, 2016 and 2015 and for each of the years in the three-year period ended December 31, 2016, have been incorporated by reference herein from our Annual Report on Form 10-K for the year ended December 31, 2016, in reliance upon the report of EKS&H LLLP, independent registered public accounting firm, incorporated by reference herein, and upon the authority of said firm as experts in accounting and auditing.

WHERE YOU CAN FIND ADDITIONAL INFORMATION

This prospectus is part of a registration statement that we have filed with the SEC. Certain information in the registration statement has been omitted from this prospectus in accordance with the rules of the SEC. We are a public company and file proxy statements, annual, quarterly and special reports and other information with the SEC. The registration statement, such reports and other information can be inspected and copied at the Public Reference Room of the SEC located at 100 F Street, N.E., Washington D.C. 20549. Copies of such materials, including copies of all or any portion of the registration statement, can be obtained from the Public Reference Room of the SEC at prescribed rates. You can call the SEC at 1-800-SEC-0330 to obtain information on the operation of the Public Reference Room. Such materials may also be accessed electronically by means of the SEC’s home page on the Internet (www.sec.gov).

INCORPORATION OF CERTAIN INFORMATION BY REFERENCE

The SEC allows us to “incorporate by reference” the information we file with it, which means that we can disclose important information to you by referring you to those documents instead of having to repeat the information in this prospectus. The information incorporated by reference is considered to be part of this prospectus, and later information that we file with the SEC will automatically update and supersede this information. We incorporate by reference the documents listed below that we have filed with the SEC:

· our Annual Report on Form 10-K for the year ended December 31, 2016, filed on March 16, 2017;

· our Current Reports on Form 8-K filed on February 10, 2016, January 10, 2017, March 13, 2017 and March 28, 2017; et

· the description of our common stock contained or incorporated by reference in our Registration Statement on Form 8-A, filed on May 17, 2011, including any amendment or reports filed for the purpose of updating this description.

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We also incorporate by reference into this prospectus all documents (other than current reports furnished under Item 2.02 or Item 7.01 of Form 8-K and exhibits filed on such form that are related to such items) that are filed by us with the SEC pursuant to Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (i) after the date of the initial filing of the registration statement of which this prospectus is a part and prior to effectiveness of the registration statement, or (ii) after the date of this prospectus until we sell all of the shares covered by this prospectus or the sale of shares by us pursuant to this prospectus is terminated.

You may access our Annual Report on Form 10-K, Quarterly Reports on Form 10-Q, Current Reports on Form 8-K and amendments to any of these reports, free of charge on the SEC’s website. You may also access the documents incorporated by reference on our website at www.ampiopharma.com. Other than the foregoing documents incorporated by reference, the information contained in, or that can be accessed through, our website is not part of this prospectus.

In addition, we will furnish without charge to each person, including any beneficial owner, to whom a prospectus is delivered, on written or oral request of such person, a copy of any or all of the documents incorporated by reference in this prospectus (not including exhibits to such documents, unless such exhibits are specifically incorporated by reference in this prospectus or into such documents). Such requests may be directed to Ampio Pharmaceuticals, Inc., 373 Inverness Parkway, Suite 200, Englewood, Colorado 80112 or call (720) 437-6500.

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Up to $50,000,000
Common Stock

Ampio Pharmaceuticals, Inc.

Prospectus Supplement

ThinkEquity

Roth Capital Partners

a division of Fordham Financial Management, Inc.

February 21, 2020

Formulaire 424B5 Ampio Pharmaceuticals, ◄ mutuelle entreprise
4.9 (98%) 32 votes