Securities Registration: Employee Benefit Plan (s-8)
August 07 2017 - 7:04AM
Edgar (US Regulatory)
As filed with the Securities and Exchange
Commission on August 7, 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
Second Sight Medical Products, Inc.
(Exact name of registrant as specified
in its charter)
California
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02-0692322
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(State or other jurisdiction of
incorporation or organization)
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(I.R.S. Employer
Identification No.)
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12744 San Fernando Road, Suite 400
Sylmar, California 91342
(818) 833-5000
(Address of Principal Executive Offices,
including Zip Code)
Second Sight Medical Products Inc.
2011 Equity Incentive Plan, as amended
Second Sight Medical Products Inc. 2015
Employee Stock Purchase Plan, as amended
(Full title of the plans)
Will McGuire
Chief Executive Officer
Second Sight Medical Products, Inc.
12744 San Fernando Road, Suite 400
Sylmar, California 91342
(Name and address of agent for service)
(818) 833-5000
(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:
Large accelerated filer
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☐
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Accelerated filer
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☒
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Non-accelerated filer
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☐
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(do not check if a small reporting
company)
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Smaller reporting company
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☐
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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
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Proposed
Maximum
Aggregate
Offering Price
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Amount of Registration
Fee
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Common Stock, no par value per share
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2,000,000 (2)
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$
1.23
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$
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2,460,000
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$
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285.11
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Common Stock, no par value per share
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500,000 (3)
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$
1.23
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$
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615,000
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$
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71.28
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Total
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2,500,000
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$
1.23
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$
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3,075,000 (4)
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$
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356.39
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(1) Pursuant to Rule 416(a) of the Securities
Act of 1933, as amended, this registration statement also covers any additional shares of common stock that become issuable by
reason of any stock dividend, stock split, recapitalization or other similar transactions effected without the registrant’s receipt
of consideration that results in an increase in the number of registrant’s outstanding shares of common stock.
(2) Represents additional shares issuable
upon exercise of options reserved pursuant to future awards under the amended 2011 Equity Plan.
(3) Represents additional shares of common stock reserved
for issuance pursuant to future awards under the 2015 Employee Stock Purchase Plan, as amended.
(4) Estimated in accordance with paragraphs (c) and
(h) of Rule 457 under the 1933 Act solely for the purpose of calculating the registration fee on the basis of $1.23 per share which
represents the average of the high and low price per share of the Company’s common stock on August 3, 2017 as reported on
the Nasdaq Capital Market.
Explanatory Note
This Registration Statement on Form S-8 is
being filed by Second Sight Medical Products, Inc. (the “Registrant”) to register a total of (i) 2,000,000 additional
shares of common stock issuable under the Registrant’s 2011 Equity Incentive Plan, as amended, (the “Option Shares”)
and (ii) 500,000 shares of common stock (the “Plan Shares”) issuable under the Registrant’s 2015 Employee Stock Purchase
Plan, as amended. The Option Shares and the Plan Shares are in addition to the common stock previously registered for issuance
on the Registrant’s Registration Statement on Form S-8 filed with the Securities and Exchange Commission on May 15, 2017 (File No. 333-218016)
(the “Prior Registration Statement”).
This Registration Statement relates to securities
of the same class as that to which the Prior Registration Statement relates, and is submitted in accordance with General Instruction
E to Form S-8 regarding registration of additional securities. Pursuant to such instruction, the contents of the Prior Registration
Statement are incorporated by reference and made part of this Registration Statement.
ITEM 8. EXHIBITS.
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Exhibit No.
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Description of Exhibits
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Method of Filing
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5.1
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Opinion and Consent of Aaron A. Grunfeld
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Filed electronically herewith
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10.4
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2011 Equity Incentive Plan, as amended (1)
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10.17
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2015 Employee Stock Purchase Plan, as amended (1)
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23.1*
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Consent of Gumbiner Savett Inc.
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Filed electronically herewith
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23.2*
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Consent of Aaron A. Grunfeld (included in Exhibit 5.1).
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24.1
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Power of Attorney (Included on the signature page to this registration statement)
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(1)
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Incorporated by reference to the registrant’s definitive proxy statement on Schedule 14A filed with the Securities and Exchange Commission on May 1, 2017
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SIGNATURES
Pursuant
to the requirements of the Securities Act, 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 the City of Sylmar, State of California, on August 4, 2017.
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SECOND
SIGHT MEDICAL PRODUCTS, INC.
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By:
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/s/
Jonathan Will McGuire
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Jonathan
Will McGuire
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President
and Chief Executive Officer
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POWER
OF ATTORNEY
Each
person whose signature appears below hereby constitutes and appoints Jonathan Will McGuire and Thomas Miller, and each of them,
as such person’s true and lawful attorney-in-fact and agent, each with full powers of substitution and re-substitution,
for such person and in such person’s name, place and stead, in any and all capacities, to sign any or all amendments (including
post effective amendments) to this Registration Statement, and to file the same, with all exhibits thereto, and 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 or necessary to be done in and about the premises, as fully
to all intents and purposes as such person might or could do in person, hereby ratifying and confirming all that said attorney-in-fact
and agent or his or her substitute or substitutes, may lawfully do or cause to be done by virtue thereof.
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.
Name
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Title
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Date
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/s/
Jonathan Will McGuire
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President,
Chief Executive Officer and Director
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August 4, 2017
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Jonathan Will McGuire
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(Principal Executive Officer)
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/s/
Thomas B. Miller
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Chief
Financial Officer
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August 4, 2017
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Thomas B. Miller
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(Principal Financial and Accounting Officer)
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/s/
Robert J, Greenberg
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Chairman of the Board of Directors
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August 4, 2017
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Robert J. Greenberg M.D., Ph.D.
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Director
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August __, 2017
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Gregg
Williams
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/s/
William J. Link
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Director
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August 4, 2017
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William J. Link
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/s/
Aaron Mendelsohn
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Director
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August 4, 2017
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Aaron Mendelsohn
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/s/
Matthew Pfeffer
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Director
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August 4, 2017
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Matthew Pfeffer
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