Registration of Additional Securities (up to 20%) (s-1mef)
November 08 2017 - 6:12AM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on November 8, 2017
Registration
No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
S-1
REGISTRATION STATEMENT
UNDER
THE
SECURITIES ACT OF 1933
VICAL INCORPORATED
(Exact name of registrant as specified in its charter)
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Delaware
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2836
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93-0948554
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(State or other jurisdiction of
incorporation or organization)
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(Primary Standard Industrial
Classification Code Number)
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(I.R.S. Employer
Identification Number)
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10390 Pacific Center Court
San Diego, California 92121
(858)
646-1100
(Address, including zip code, and telephone number, including area code, of registrants principal executive offices)
Vijay B. Samant
President and Chief Executive Officer
Vical Incorporated
10390
Pacific Center Court
San Diego, California 92121
(858)
646-1100
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
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Frederick T. Muto, Esq.
Sean M. Clayton, Esq.
Cooley LLP
4401 Eastgate Mall
San Diego, California 92121
(858)
550-6000
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Matthew T. Bush, Esq.
Latham & Watkins LLP
12670 High Bluff Drive
San Diego, California 92130
(858)
523-5400
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Approximate date of commencement of proposed sale to the public:
As soon as practicable after the effective date of this registration statement.
If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of
1933, as amended (the Securities Act), check the following box. ☒
If this Form is filed to register additional securities for
an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☒ (File
No. 333-220981)
If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act,
check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐
If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act
registration statement number of the earlier effective registration statement for the same offering. ☐
Indicate by check mark whether the
registrant is a large accelerated filer, an accelerated filer, a
non-accelerated
filer, a smaller reporting company or an emerging growth company. See the definitions of large accelerated filer,
accelerated filer, smaller reporting company and emerging growth company in Rule
12b-2
of the Exchange Act.
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Large accelerated filer
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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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☐ (Do not check if a smaller reporting company)
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Smaller reporting company
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☒
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Emerging growth company
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☐
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period
for complying with any new or revised financial accounting standards provided to Section 7(a)(2)(B) of the Securities Act. ☐
CALCULATION
OF REGISTRATION FEE
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Title of each class of securities to be registered
(1)
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Proposed
maximum
aggregate
offering price
(2)
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Amount of
registration fee
(3)
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Common stock, $0.01 par value per share
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$2,375,002.00
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$296.00
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Pre-funded warrants to purchase shares of common stock and
common stock issuable upon exercise thereof
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$2,109,999.50
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$263.00
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Total
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$4,485,001.50
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$559.00
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(1)
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Pursuant to Rule 416 under the Securities Act of 1933, as amended, the securities registered also include such indeterminate amounts and numbers of shares of common stock issuable to cover additional securities that may
be offered or issued to prevent dilution resulting from stock splits, stock dividends or similar transactions.
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(2)
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Estimated solely for the purpose of calculating the amount of the registration fee in accordance with Rule 457(o) under the Securities Act. Includes the offering price of any additional securities that the underwriter
has the option to purchase.
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(3)
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The registrant previously registered $24,265,000 worth of its common stock and
pre-funded
warrants to purchase common stock on a Registration Statement on Form
S-1,
as amended (File
No. 333-220981)
and paid an aggregate registration fee of $3,122 in connection with the filing of such Registration Statement.
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This Registration Statement shall become effective upon filing in accordance with Rule 462(b) under the Securities Act.
EXPLANATORY NOTE AND
INCORPORATION OF CERTAIN INFORMATION BY REFERENCE
This Registration Statement is being filed with the Securities and Exchange Commission (the Commission) with respect to the registration of
(i) additional shares of common stock, par value $0.01 per share, of Vical Incorporated, a Delaware corporation (Common Stock) and (ii) pre-funded warrants to purchase shares of Common Stock, pursuant to Rule 462(b) under the
Securities Act. This Registration Statement incorporates by reference the contents of, including all amendments and exhibits thereto and all information incorporated by reference therein, the Registration Statement on Form
S-1 (Registration
No.
333-220981),
which was declared effective by the Commission on November 7, 2017, and is being filed solely for the purpose of increasing the
aggregate offering price of securities to be offered in the public offering by $4,485,001.50.
EXHIBIT INDEX
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Included on the signature pages of the Registration Statement on Form
S-1,
as amended (File
No. 333-220981),
filed with the Securities
and Exchange Commission on October 16, 2017 and October 30, 2017, and incorporated herein by reference.
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SIGNATURES
Pursuant to the requirements of the Securities Act, the Registrant has duly caused this registration statement to be signed on its behalf by the undersigned,
thereunto duly authorized, in the City of San Diego, California, on the 8
th
day of November, 2017.
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Vical Incorporated
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By:
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/s/ Vijay B. Samant
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Vijay B. Samant
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President and Chief Executive Officer
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Pursuant to the requirements of the Securities Act, this registration statement has been signed by the following persons
in the capacities and on the dates indicated.
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SIGNATURE
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TITLE
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DATE
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/s/ Vijay B. Samant
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President, Chief Executive Officer and Director
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November 8, 2017
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Vijay B. Samant
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(Principal Executive Officer)
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/s/ Anthony A. Ramos
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Vice President, Chief Financial Officer
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November 8, 2017
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Anthony A. Ramos
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(Principal Financial and Accounting Officer)
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/s/ R. Gordon Douglas, M.D.*
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Chairman of the Board of Directors
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November 8, 2017
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R. Gordon Douglas, M.D.
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/s/ Richard M. Beleson*
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Director
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November 8, 2017
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Richard M. Beleson
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/s/ Gary A. Lyons*
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Director
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November 8, 2017
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Gary A. Lyons
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/s/ Robert C. Merton, Ph.D.*
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Director
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November 8, 2017
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Robert C. Merton, Ph.D.
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/s/ George J. Morrow*
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Director
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November 8, 2017
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George J. Morrow
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/s/ Thomas E. Shenk, Ph.D.*
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Director
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November 8, 2017
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Thomas E. Shenk, Ph.D.
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*
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Pursuant to power of attorney
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By:
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/s/ Vijay B. Samant
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Vijay B. Samant
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