Securities Registration: Employee Benefit Plan (s-8)
December 12 2016 - 5:12PM
Edgar (US Regulatory)
As filed with the Securities and Exchange
Commission on December 12, 2016
Registration No. 333-
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM S-8
REGISTRATION
STATEMENT UNDER THE SECURITIES ACT OF 1933
PEREGRINE PHARMACEUTICALS, INC.
(Exact name of registrant as specified in
its charter)
Delaware
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95-3698422
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(State or other jurisdiction of
of incorporation or
organization)
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(IRS Employer
Identification No.)
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14282 Franklin Avenue
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Tustin, California
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92780-7017
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(Address of principal executive offices)
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(Zip Code)
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2010 Employee Stock Purchase Plan
(Full title of the plan)
Mark R. Ziebell
Vice President and General Counsel
14282 Franklin Avenue
Tustin, California 92780-7017
(714) 508-6000
(Name, address and telephone number, including
area code, of agent for service)
Indicate by check mark whether the registrant is a large accelerated
filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated
filer,” “accelerated filer,” and “smaller reporting company” in Rule 12b-2 of the Exchange Act (check
one):
Large accelerated filer
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Accelerated filer
x
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Non-accelerated filer
o
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Smaller reporting company
o
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(Do not check if a smaller
reporting company)
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CALCULATION OF REGISTRATION FEE
Title of Securities to be Registered
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Amount to be Registered
(1)
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Proposed Maximum Offering Price Per Share
(2)
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Proposed Maximum Aggregate Offering Price
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Amount of Registration Fee
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Common Stock, $0.001 par value
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10,000,000 shares
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$ 0.26435
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$ 2,643,500
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$ 306.38
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TOTAL
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10,000,000 shares
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$ 2,643,500
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$ 306.38
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(1)
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Pursuant to Rule 416(a) under the
Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement shall also cover any additional
shares of common stock that may become issuable under the 2010 Employee Stock Purchase Plan, as amended (the “ESPP”),
by reason of any stock dividend, stock split, recapitalization or similar adjustments.
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(2)
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Estimated solely for purposes of calculating
the registration fee pursuant to Rules 457(c) and 457(h) under the Securities Act based upon 85% of the average of the high and
low prices of the Registrant’s common stock as reported on the NASDAQ Capital Market on December 7, 2016. Pursuant to the
ESPP, which is incorporated by reference herein, the purchase price per share at which shares of common stock are sold in an offering
period will be equal to 85% of the lower of the fair market value of the common stock on the first trading day of the offering
period or on the last trading day of the offering period.
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EXPLANATORY NOTE
This Registration Statement on Form S-8
is filed by the Registrant to register an additional 10,000,000 shares of common stock, par value $0.001 per share, of Peregrine
Pharmaceuticals, Inc., (the “Company”) reserved and available for issuance under the 2010 Employee Stock Purchase Plan,
as amended, pursuant to an amendment of such plan authorized by the stockholders of the Registrant on October 13, 2016. Pursuant
to General Instruction E of Form S-8, the contents of the Registration Statement on Form S-8 previously filed with the Securities
and Exchange Commission (the “SEC”) on December 9, 2010 (File No. 333-171067) are incorporated herein by reference
and made a part hereof.
PART II
INFORMATION REQUIRED IN THE REGISTRATION
STATEMENT
Item 3. Incorporation of Certain Documents by Reference.
The following documents
filed by the Company with the SEC are incorporated by reference into this Registration Statement and are deemed to be a part hereof
from the date of filing:
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1.
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The Company’s Annual Report on Form 10-K for the fiscal year ended April 30, 2016, as filed with the SEC on July 14, 2016.
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2.
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The information specifically incorporated by reference into the Annual Report from the Company's Definitive Proxy Statement with
respect to the 2016 Annual Meeting of Stockholders held on October 13, 2016, as filed with the SEC on August 26, 2016.
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3.
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The Company’s Quarterly Report on Form 10-Q for the quarterly periods ended July 31, 2016 and October 31, 2016, as
filed with the SEC on September 8, 2016, and December 12, 2016, respectively.
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4.
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The Company’s Current Reports on Form 8-K as filed with the SEC on June 2, 2016, June 3, 2016, July 14, 2016, September
6, 2016, September 8, 2016, October 11, 2016, October 12, 2016, October 13, 2016, December 6, 2016, and December 12, 2016.
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5.
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The description of the Company’s Common Stock, $0.001 par value (the “Common Stock”), is contained in the Company’s
Registration Statements on Form 8-A and Form 8-B (Registration of Successor Issuers) including any amendments or reports filed
for the purpose of updating such information.
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In addition, all documents
subsequently filed by the Company pursuant to Section 13(a), 13(c), 14 and 15(d) of the Securities Exchange Act of 1934, as
amended (the “Act”), after the date of this Registration Statement and prior to the filing of a post-effective amendment
that indicates that all securities offered have been sold or that deregisters all securities then remaining unsold, shall be deemed
to be incorporated by reference into this Registration Statement and to be a part hereof from the date of filing of such documents.
Any statement contained in a document incorporated by reference herein shall be deemed to be modified or superseded for purposes
of this Registration Statement to the extent that a statement contained herein or in any other subsequently filed document that
is incorporated by reference herein modifies or supersedes such earlier statement. Any such statement so modified or superseded
shall not be deemed, except as so modified or superseded, to constitute a part of this Registration Statement.
Nothing in this registration
statement shall be deemed to incorporate information furnished but not filed with the SEC pursuant to Item 2.02 or Item 7.01 of
Form 8-K.
I
tem 5. Interests of Named Experts and
Counsel.
Mark R. Ziebell will
issue an opinion regarding the validity of the Registrant’s common stock offered hereby. Mr. Ziebell is the Registrant’s
Vice President, General Counsel and Corporate Secretary. Mr. Ziebell does not currently own any shares of the Registrant’s
outstanding common stock and is eligible to participate in the ESPP.
Item 8. Exhibits.
Exhibit Number
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Exhibit Description
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4.16
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2010 Employee Stock Purchase Plan (Incorporated by reference to Exhibit B to Registrant’s Definitive Proxy Statement filed with the SEC on August 27, 2010).
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4.27
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Amendment to the 2010 Employee Stock Purchase Plan (Incorporated by reference to Exhibit B to Registrant's Definitive Proxy Statement filed with the SEC on August 26, 2016)
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5.1
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Opinion of Counsel
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23.1
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Consent of Independent Registered Public Accounting Firm
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23.2
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Consent of Counsel (included in Exhibit 5.1)
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24.1
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Power of Attorney (included in this Registration Statement under
“Signatures”)
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SIGNATURES
Pursuant to the requirements
of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements
for filing on Form S-8 and has duly caused this registration statement on Form S-8 to be signed on its behalf by the undersigned,
thereunto duly authorized, in the City of Tustin, State of California, on December 12, 2016.
PEREGRINE PHARMACEUTICALS, INC.
By:
/s/ Steven W. King
Steven W. King,
President and Chief
Executive Officer
POWER OF ATTORNEY
KNOW ALL PERSONS BY
THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints, Steven W. King and Paul J. Lytle,
and each of them, as his attorney-in-fact, each with full power of substitution, for him in any and all capacities, to sign any
and all amendments to this Registration Statement (including post-effective amendments), and any and all Registration Statements
filed pursuant to Rule 462 under the Securities Act of 1933, as amended, in connection with or related to the Offering contemplated
by this Registration Statement and its amendments, if any, and to file the same, with exhibits thereto and other documents in connection
therewith, with the Securities and Exchange Commission, hereby ratifying and confirming our signatures as they may be signed by
our said attorney to any and all amendments to said Registration Statement.
Pursuant to the requirements
of the Securities Act of 1933, this registration statement has been signed by the following persons in the capacities and on the
dates indicated.
SIGNATURE
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TITLE
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DATE
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/s/ Steven W. King
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President and Chief Executive
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December 12, 2016
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Steven W. King
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Officer (Principal Executive Officer),
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and Director
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/s/
Paul J. Lytle
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Chief Financial Officer
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December 12, 2016
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Paul J. Lytle
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(Principal Financial and
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Principal Accounting Officer)
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/s/ Carlton M. Johnson
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Director
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December 12, 2016
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Carlton M. Johnson
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/s/ David H. Pohl
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Director
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December 12, 2016
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David H. Pohl
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/s/ Eric S. Swartz
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Director
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December 12, 2016
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Eric S. Swartz
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