Securities Registration: Employee Benefit Plan (s-8)
June 02 2023 - 4:16PM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission
on June 2, 2023
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT UNDER THE
SECURITIES ACT OF 1933
GEVO, INC.
(Exact name of registrant as specified in its charter)
Delaware |
87-0747704 |
(State or other jurisdiction of
incorporation or organization) |
(I.R.S. Employer
Identification No.) |
345 Inverness Drive South, Building C, Suite 310
Englewood, Colorado
(Address of principal executive offices) |
80112
(Zip code) |
Gevo, Inc. Amended and Restated 2010 Stock
Incentive Plan
(Full title of the plan)
Patrick R. Gruber
Chief Executive Officer
Gevo, Inc.
345 Inverness Drive South, Building C, Suite 310
Englewood, Colorado 80112
(Name and address of agent for service)
(303) 858-8358
(Telephone number, including area code, of agent
for service)
Copy to:
Jason Day
Ned A.
Prusse
Perkins Coie LLP
1900 Sixteenth Street, Suite 1400
Denver, Colorado 80202-5255
(303) 291-2300 |
Indicate by check mark whether the registrant
is a large accelerated filer, an accelerated filer, a non-accelerated filer, 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:
Large accelerated filer |
¨ |
|
Accelerated filer |
¨ |
Non-accelerated filer |
x |
|
Smaller reporting company |
x |
|
Emerging growth company |
¨ |
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 pursuant to Section 7(a)(2)(B) of the Securities Act. ¨
EXPLANATORY NOTE
This registration statement
on Form S-8 is filed by Gevo, Inc. relating to 15,000,000 additional shares of common stock, par value $0.01 per share, authorized
to be issued pursuant to the Gevo, Inc. Amended and Restated 2010 Stock Incentive Plan.
PART II
INFORMATION REQUIRED IN REGISTRATION STATEMENT
| Item 3. | Incorporation of Documents by Reference. |
The following documents filed
with the Securities and Exchange Commission (the “SEC”) are hereby incorporated by reference in this registration statement:
All
documents filed by the registrant pursuant to Section 13(a), 13(c), 14 or 15(d) of the Securities Exchange Act of 1934, as amended,
after the date hereof, and prior to the filing of a post-effective amendment that indicates that all the securities offered hereby have
been sold or that deregisters the securities offered hereby then remaining unsold, shall also 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; provided, however, that
documents or information deemed to have been furnished and not filed in accordance with the rules of the SEC shall not be deemed
incorporated by reference in this registration statement.
| Item 4. | Description of Securities. |
Not applicable.
| Item 5. | Interests of Named Experts and Counsel. |
None.
| Item 6. | Indemnification of Directors and Officers. |
Under Section 145 of
the Delaware General Corporation Law (the “DGCL”), a corporation has the power to indemnify its directors and officers under
certain prescribed circumstances and, subject to certain limitations, against certain costs and expenses, including attorneys’ fees,
judgments, fines and amounts paid in settlement, actually and reasonably incurred in connection with any threatened, pending or completed
action, suit or proceeding, whether criminal, civil, administrative or investigative, to which any of them is a party by reason of his
being a director or officer of the corporation if it is determined that he acted in accordance with the applicable standard of conduct
set forth in such statutory provision. In addition, a corporation may advance expenses incurred by a director or officer in defending
a proceeding upon receipt of an undertaking from such person to repay any amount so advanced if it is ultimately determined that such
person is not eligible for indemnification. The registrant’s amended and restated certificate of incorporation provides that, pursuant
to the DGCL, the registrant’s directors shall not be liable for monetary damages to the fullest extent authorized under applicable
law, including for breach of the directors’ fiduciary duty of care to the registrant and the registrant’s stockholders. This
provision in the registrant’s amended and restated certificate of incorporation does not eliminate the duty of care, and in appropriate
circumstances equitable remedies such as injunctive or other forms of non-monetary relief will remain available under Delaware law. In
addition, each director will continue to be subject to liability for breach of the director’s duty of loyalty, for acts or omissions
not in good faith or involving intentional misconduct or knowing violations of the law, for actions leading to improper personal benefit
to the director, and for payment of dividends or approval of stock repurchases or redemptions that are unlawful under Delaware law. The
provision also does not affect a director’s responsibilities under any other law, such as the federal securities laws or state or
federal environmental laws.
Article 10 of the registrant’s
second amended and restated bylaws provides that the registrant will indemnify, to the fullest extent authorized by the DGCL, each person
who was or is made a party or is threatened to be made a party to or is otherwise involved in any action, suit or proceeding, whether
civil, criminal, administrative or investigative, by reason of the fact that he or she, or a person for whom he or she is the legal representative,
is or was a director or officer of the registrant, or is or, while a director or officer of the registrant, was serving at the request
of the registrant as a director, officer, employee, agent or trustee of another corporation or of a partnership, joint venture, trust
or other enterprise, including service with respect to an employee benefit plan, whether the basis of such proceeding is alleged action
in an official capacity as a director, officer, employee, agent or trustee or in any other capacity while serving as a director, officer,
employee, agent or trustee, against all expenses, liability and loss (including attorneys’ fees, judgments, fines, ERISA excise
taxes or penalties and amounts paid in settlement) reasonably incurred or suffered by such person in connection therewith.
In addition to the above,
the registrant has entered into indemnification agreements with each of the registrant’s directors and officers. These indemnification
agreements provide the registrant’s directors and officers with the same indemnification and advancement of expenses as described
above, and provide that the registrant’s directors and officers will be indemnified to the fullest extent authorized by any future
Delaware law that expands the permissible scope of indemnification. The registrant also has directors’ and officers’ liability
insurance, which provides coverage against certain liabilities that may be incurred by the registrant’s directors and officers in
their capacities as directors and officers of the registrant.
| Item 7. | Exemption from Registration Claimed. |
Not applicable.
A. The undersigned
registrant hereby undertakes:
(1) To
file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:
(a) To
include any prospectus required by Section 10(a)(3) of the Securities Act;
(b) To
reflect in the prospectus any facts or events arising after the effective date of this registration statement (or the most recent post-effective
amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in this registration
statement; and
(c) To
include any material information with respect to the plan of distribution not previously disclosed in this registration statement or any
material change to such information in this registration statement;
provided, however,
that paragraphs (1)(a) and (1)(b) above do not apply if the information required to be included in a post-effective amendment
by those paragraphs is contained in reports filed with or furnished to the Commission by the registrant pursuant to Section 13 or
Section 15(d) of the Exchange Act that are incorporated by reference in this registration statement.
(2) That,
for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new
registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to
be the initial bona fide offering thereof.
(3) To
remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination
of the offering.
B.
The undersigned registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of
the registrant’s annual report pursuant to Section 13(a) or 15(d) of the Exchange Act (and, where applicable, each
filing of an employee benefit plan’s annual report pursuant to Section 15(d) of the Exchange Act) that is incorporated
by reference in this registration statement shall be deemed to be a new registration statement relating to the securities offered therein,
and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
C.
Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons
of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that, in the opinion of the SEC,
such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a
claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director,
officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director,
officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel
the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification
by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.
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 the City of Englewood, State of Colorado, on June 2, 2023.
| GEVO, INC. |
| |
| By: |
/s/ Patrick R. Gruber |
| |
Patrick R. Gruber |
| |
Chief Executive Officer |
POWER OF ATTORNEY
Each person whose individual
signature appears below hereby authorizes Patrick R. Gruber and Geoffrey T. Williams, Jr., or either of them, as attorneys-in-fact,
with full power of substitution, to execute in the name and on the behalf of each person, individually and in each capacity stated below,
and to file, any and all amendments to this Registration Statement, including any and all post-effective amendments.
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 |
|
Title |
|
Date |
/s/ Patrick R. Gruber |
|
Chief Executive Officer (Principal Executive Officer) and Director |
|
June 2, 2023 |
Patrick R. Gruber |
|
|
|
|
|
|
|
|
|
/s/ L. Lynn Smull |
|
Chief Financial Officer
(Principal Financial Officer) |
|
June 2, 2023 |
L. Lynn Smull |
|
|
|
|
|
|
|
|
|
/s/ Alisher Nurmat |
|
Vice President and Controller
(Principal Accounting Officer) |
|
June 2, 2023 |
Alisher Nurmat, CPA |
|
|
|
|
|
|
|
|
|
/s/ William H. Baum |
|
Chairman
of the Board of Directors |
|
June 2, 2023 |
William H. Baum |
|
|
|
|
|
|
|
|
|
/s/ Carol Battershell |
|
Director |
|
June 2, 2023 |
Carol Battershell |
|
|
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|
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|
/s/ Jaime Guillen |
|
Director |
|
June 2, 2023 |
Jaime Guillen |
|
|
|
|
|
|
|
|
|
/s/ Andrew J. Marsh |
|
Director |
|
June 2, 2023 |
Andrew J. Marsh
|
|
|
|
|
/s/ Gary W. Mize |
|
Director |
|
June 2, 2023 |
Gary W. Mize |
|
|
|
|
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