Securities Registration: Employee Benefit Plan (s-8)
April 12 2017 - 4:47PM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on April 12,
2017
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF
1933
INNOVUS PHARMACEUTICALS, INC.
(Exact name of registrant as specified in its charter)
Nevada
(State
or other jurisdiction of
incorporation
or organization)
|
90-0814124
(I.R.S.
Employer
Identification
No.)
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9171 Towne Centre Drive, Suite 440
San Diego, California 92122
(Address of principal executive offices) (Zip Code)
Innovus Pharmaceuticals, Inc. Amended and Restated
2016 Equity Incentive Plan
(Full title of the
plan)
Randy Berholtz, Executive Vice President,
Corporate Development and General Counsel
Innovus Pharmaceuticals, Inc.
9171 Towne Centre Drive, Suite 440
San Diego, California 92122
(Name and address of agent for service)
(858) 964-5123
(Telephone number, including area code, of agent for
service)
With a copy to:
Daniel W.
Rumsey
Disclosure Law Group,
One America Plaza
600 West Broadway
Suite
700
San Diego, CA 92101
(619) 272-7062
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 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 [ ]
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Non-accelerated
filer [ ]
(Do not
check if a smaller reporting company)
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Smaller
reporting company [X]
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CALCULATION OF REGISTRATION FEE
Title
of Securities
to
be Registered
|
Amount
to be Registered(1)
|
Proposed
Maximum Offering Price Per Share
(2)
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Proposed
Maximum Aggregate Offering Price
|
Amount
of
Registration
Fee
|
Common Stock,
$0.001 par value, to be issued under the Amended and Restated 2016
Equity Incentive Plan(3)
|
5,663,199
|
$
0.10125
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$
573,399
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$
66.46
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Total
|
|
|
|
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(1)
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Pursuant
to Rule 416 (c) under the Securities Act of 1933, as amended, this
Registration Statement also covers any additional shares of common
stock that may become issuable under the Amended and Restated 2016
Equity Incentive Plan, by reason of any stock dividend, stock
split, recapitalization or other similar transaction that increases
the number of the outstanding shares of the Registrant’s
common stock.
|
|
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(2)
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Estimated
pursuant to Rules 457(c) and 457(h) under the Securities Act solely
for the purpose of calculating the registration fee, based on the
average of the high and low prices of the Registrant’s common
stock as reported on the OTCQB tier of the OTC Marketplace on April
11, 2017.
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(3)
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Represents
shares of Registrant’s common stock that were added to the
shares authorized for issuance under the “evergreen”
provision included in the Amended and Restated 2016 Equity
Incentive Plan. Pursuant to such “evergreen” provision,
on January 1 of each year, from January 1, 2017 to January 1, 2026,
the number of shares authorized for issuance under the Amended and
Restated 2016 Equity Incentive Plan can be increased by the lesser
of: (a) 4% of the number of shares of Registrant’s common
stock issued and outstanding on a fully-diluted basis as of the
close of business on the immediately preceding December 31 or (b) a
number of shares of Registrant’s common stock set by the
board of directors.
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INCORPORATION OF DOCUMENTS BY REFERENCE
This Registration Statement is being filed for the purpose of
increasing the number of securities of the same class as other
securities for which a Registration Statement of the Registrant on
Form S-8 relating to the same Amended and Restated 2016 Equity
Incentive Plan is effective.
The Registrant previously registered shares of its common stock for
issuance under the Amended and Restated 2016 Equity Incentive Plan
under Registration Statement on Form S-8 filed with the Securities
Exchange Commission (the “Commission”) on November 28,
2016 (File No. 333-214821). Pursuant to General Instructions E to
Form S-8, this Registration Statement hereby incorporates by
reference the contents of the Registrations Statement referenced
above.
Item 8. Exhibits.
Exhibit
|
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Description
|
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4.01(1)
|
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Amended and Restated Articles of Incorporation of Innovus
Pharmaceuticals, Inc. dated October 10, 2016
|
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4.02(2)
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Amended and Restated Bylaws of Innovus Pharmaceuticals, Inc. dated
October 10, 2016
|
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4.03(3)
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Innovus Pharmaceuticals, Inc. Amended and Restated 2016 Equity
Incentive Plan
|
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5.1*
|
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Opinion of Randy Berholtz, Executive Vice President, Corporate
Development and General Counsel, Innovus Pharmaceuticals,
Inc.
|
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23.1*
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Consent of Hall and Company
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(1)
Previously filed as
Exhibit 4.01 to the Registrant’s Registration Statement on
Form S-8, filed with the Commission on November 28, 2016, and
incorporated herein by reference.
(2)
Previously filed as
Exhibit 4.02 to the Registrant’s Registration Statement on
Form S-8, filed with the Commission on November 28, 2016, and
incorporated herein by reference.
(3)
Previously filed as
Exhibit 4.03 to the Registrant’s Registration Statement on
Form S-8, filed with the Commission on November 28, 2016, and
incorporated herein by reference.
‘*’ filed herewith
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 to be signed on its behalf
by the undersigned, thereunto duly authorized, in San Diego,
California, on April 12, 2017.
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INNOVUS PHARMACEUTICALS, INC.
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By:
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/s/
Robert E. Hoffman
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Robert
E. Hoffman
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Executive
Vice President, and Chief Financial Officer
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POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature
appears below constitutes and appoints Robert E. Hoffman his/her
true and lawful attorney-in-fact and agent with full power of
substitution and re-substitution, for him/her and in his/her name,
place and stead, in any and all capacities to sign any or all
amendments (including, without limitation, post-effective
amendments) to this Registration Statement, any related
Registration Statement filed pursuant to
Rule 462(b) under the Securities Act of 1933 and any or
all pre- or post-effective amendments thereto, and to file the
same, with all exhibits thereto, and all other documents in
connection therewith, with the Securities and Exchange Commission,
granting unto said attorney-in-fact and agent, full power and
authority to do and perform each and every act and thing requisite
and necessary to be done in and about the premises, as fully for
all intents and purposes as he or she might or could do in person,
hereby ratifying and confirming that said attorney-in-fact and
agent, or any substitute or substitutes for him, may lawfully do or
cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, as
amended, the following persons in the capacities and on the dates
indicated have signed this Registration Statement
below.
Signatures
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Title
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Date
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/s/
Bassam Damaj
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Chief
Executive Officer, President and Director
(Principal
executive officer)
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April
12, 2017
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Bassam
Damaj
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/s/
Robert E. Hoffman
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Executive
Vice President and Chief Financial Officer
(Principal
financial and accounting officer)
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April
12, 2017
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Robert
E. Hoffman
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/s/
Henry Esber
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Director
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April
12, 2017
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Henry
Esber
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/s/
Ziad Mirza
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Director
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April
12, 2017
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Ziad
Mirza
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/s/
Vivian Liu
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Director
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April
12, 2017
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Vivian
Liu
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EXHIBIT INDEX
Exhibit
Number
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Description
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5.1
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Opinion of Randy Berholtz, Executive Vice President, Corporate
Development and General Counsel, Innovus Pharmaceuticals,
Inc.
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23.1
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Consent of Hall and Company
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