Post-effective Amendment to Registration Statement (pos Am)

Date : 09/27/2019 @ 8:18PM
Source : Edgar (US Regulatory)
Stock : Vaxart Inc (VXRT)
Quote : 0.3189  0.0039 (1.24%) @ 12:59AM

Post-effective Amendment to Registration Statement (pos Am)


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As filed with the U.S. Securities and Exchange Commission on September 27, 2019

Registration No. 333-233717


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549



POST-EFFECTIVE AMENDMENT NO. 1
TO

FORM S-1
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933



VAXART, INC.
(Exact name of registrant as specified in its charter)

Delaware
(State or other jurisdiction of
incorporation or organization)
  2834
(Primary Standard Industrial
Classification Code Number)
  59-1212264
(I.R.S. Employer
Identification No.)



290 Utah Ave
Suite 200
South San Francisco, California 94080
(650) 550-3500

(Address, including zip code, and telephone number, including area code, of registrant's principal executive offices)



Wouter W. Latour M.D.
President and Chief Executive Officer
290 Utah Ave
Suite 200
South San Francisco, California 94080
(650) 550-3500
(Name, address, including zip code, and telephone number, including area code, of agent for service)



Copies to:

John T. McKenna
Josh Seidenfeld
Cooley LLP
3175 Hanover Street
Palo Alto, California 94304
(650) 843-5000

 

Gary Emmanuel
Heidi Steele
McDermott Will & Emery LLP
340 Madison Avenue
New York, New York 10173
(212) 547-5400



Approximate date of commencement of proposed sale to 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, check the following box:    ý

         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:    o

         If this Form is a post-effective amendment filed pursuant to Rule 462(c) 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:    o

         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:    ý (File No. 333-233717)

         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.

Large accelerated filer o   Accelerated filer o   Non-accelerated filer ý   Smaller reporting company ý

Emerging growth company o

         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 of 1933, as amended.    o

         This post-effective amendment shall become effective upon filing with the Securities and Exchange Commission in accordance with Rule 462(d) under the Securities Act of 1933, as amended.

   



Explanatory Note

        This Post-Effective Amendment No. 1 (this "Amendment") relates to the Registrant's Registration Statement on Form S-1 (File No. 333-233717), as amended, declared effective on September 26, 2019 by the Securities and Exchange Commission. The Registrant is filing this Amendment for the sole purpose of replacing Exhibit 5.1 to the Registration Statement. This Amendment does not modify any provision of Part I or Part II of the Registration Statement other than Item 16(a) of Part II as set forth below.



PART II—INFORMATION NOT REQUIRED IN PROSPECTUS

ITEM 16.    EXHIBITS AND FINANCIAL STATEMENT SCHEDULES

(a)
Exhibits.
 
   
  Incorporated by Reference
Exhibit
Number
  Description   Schedule/
Form
  File
Number
  Exhibit   File Date
  1.1   Underwriting Agreement   S-1   333-233717     1.1   September 24, 2019
                          
  2.1   Agreement and Plan of Merger and Reorganization, dated October 27, 2017, by and among Aviragen Therapeutics, Inc., Vaxart,  Inc. and Agora Merger Sub, Inc.   8-K   001-35285     2.1   October 30, 2017
                          
  2.2   Amendment No. 1, dated as of February 7, 2018, to the Agreement and Plan of Merger and Reorganization, dated October 27, 2017, by and among Aviragen Therapeutics, Inc., Vaxart, Inc. and Agora Merger Sub, Inc.   8-K   001-35285     2.1   February 7, 2018
                          
  3.1   Restated Certificate of Incorporation of Aviragen Therapeutics, Inc.   10-K   001-35285     3.1   September 13, 2016
                          
  3.2   Certificate of Amendment to Restated Certificate of Incorporation of Aviragen Therapeutics, Inc.   8-K   001-35285     3.1   February 20, 2018
                          
  3.3   Certificate of Amendment to Restated Certificate of Incorporation of Vaxart, Inc.   8-K   001-35285     3.2   February 20, 2018
                          
  3.4   Certificate of Amendment to Restated Certificate of Incorporation of Vaxart, Inc.   8-K   001-35285     3.1   April 24, 2019
                          
  3.5   Restated By-laws of Aviragen Therapeutics, Inc.   10-K   001-35285     3.2   September 13, 2016
                          
  4.1   Reference is made to Exhibits 3.1 to 3.5.                  
                          
  4.2   Specimen Common Stock Certificate   S-3   333-228910     4.2   December 20, 2018
                          
  4.3   Form of Pre-Funded Warrant   S-1   333-233717     4.3   September 11, 2019
                          
  4.4   Form of Common Warrant   S-1   333-233717     4.4   September 11, 2019
                          
  4.5   Form of Representative Warrant   S-1   333-233717     4.5   September 24, 2019
 
                     

II-1


 
   
  Incorporated by Reference
Exhibit
Number
  Description   Schedule/
Form
  File
Number
  Exhibit   File Date
  5.1   Opinion of Cooley LLP                  
                          
  10.1+   Collaboration and License Agreement dated September 29, 2003, between Biota Holdings Limited and Sankyo Co.,  Ltd.   10-Q   001-35285     10.5   May 10, 2013
                          
  10.2+   Amendment #1 to Collaboration and License Agreement dated June 30, 2005, between Biota Holdings Limited, Biota Scientific Management Pty. Ltd. and Sankyo Company, Ltd.   10-Q   001-35285     10.6   May 10, 2013
                          
  10.3   Amendment #2 to Collaboration and License Agreement, dated March 27, 2009, between Biota Holdings Limited, Biota Scientific Management Pty. Ltd. and Daiichi Sankyo Company, Limited   10-Q   001-35285     10.7   May 10, 2013
                          
  10.4+   Commercialization Agreement dated March 27, 2009, between Biota Holdings Limited, Biota Scientific Management Pty. Ltd and Daiichi Sankyo Company, Ltd.   10-Q   001-35285     10.8   May 10, 2013
                          
  10.5+   Contract dated March 31, 2011, between Biota Scientific Management Pty. Ltd. and Office of Biomedical Advanced Research and Development Authority within the Office of the Assistant Secretary for preparedness and Response at the U.S. Department of Health and Human Services   10-Q   001-35285     10.9   May 10, 2013
                          
  10.6   Research and License Agreement dated February 21, 1990, by and among Biota Scientific Management Pty. Ltd., Biota Holdings Limited, Glaxo Australia Pty. Ltd. and Glaxo Group Limited   10-K   001-35285     10.6   September 27, 2013
                          
  10.7#   2007 Omnibus Equity and Incentive Plan (included as Appendix A to the proxy statement)   DEF 14A   000-04829       April 12, 2007
 
                     

II-2


 
   
  Incorporated by Reference
Exhibit
Number
  Description   Schedule/
Form
  File
Number
  Exhibit   File Date
  10.8#   Form of Employee Stock Option Agreement under the 2007 Omnibus Equity and Incentive Plan   8-K   001-35285     10.1   December 10, 2013
                          
  10.9+   Royalty Interest Acquisition Agreement by and between Aviragen Therapeutics, Inc., Biota Holdings Pty Ltd, Biota Scientific Management Pty. Ltd. and HealthCare Royalty Partners III, L.P. dated April 22, 2016   8-K   001-35285     10.1   April 26, 2016
                          
  10.10   Protective Rights Agreement between Aviragen Therapeutics, Inc. and HealthCare Royalty Partners III, L.P. dated April 22, 2016   8-K   001-35285     10.2   April 26, 2016
                          
  10.11#   Form of Employee Stock Option Agreement under the 2016 Equity Incentive Plan   10-Q   001-35285     10.1   May 8, 2017
                          
  10.12#   2016 Equity Incentive Plan (included as Appendix A to the proxy statement)   DEF 14A   001-35285       September 27, 2016
                          
  10.13#   Director Stock Option Agreement   S-4   333-222009     10.22   December 12, 2017
                          
  10.14   Form of Indemnification Agreement by and between Vaxart, Inc. and its Directors and Executive Officers   8-K   001-35285     10.3   February 20, 2018
                          
  10.15#   Vaxart, Inc. Amended and Restated 2007 Equity Incentive Plan, Stock Option Agreement, form of Notice of Stock Option Grant, form of Additional Terms and Conditions to Option and Stock Option Exercise Agreement   S-4/A   333-222009     10.24   December 29, 2017
                          
  10.16#   Offer Letter, dated May 25, 2011, and Amendment to Offer Letter and Option Grant Agreement, dated October 1, 2011, by and between Vaxart, Inc. and Wouter W. Latour, M.D.   S-4/A   333-222009     10.25   December 29, 2017
                          
  10.17   Industrial Lease dated October 28, 2013, by and between Vaxart, Inc. and Oyster Point LLC   S-4/A   333-222009     10.26   December 29, 2017
 
                     

II-3


 
   
  Incorporated by Reference
Exhibit
Number
  Description   Schedule/
Form
  File
Number
  Exhibit   File Date
  10.18   Lease Agreement dated April 17, 2015, by and between Vaxart, Inc. and CRP Edgewater, LLC   S-4/A   333-222009     10.27   December 29, 2017
                          
  10.19   Loan and Security Agreement dated December 22, 2016, by and between Vaxart, Inc. and Oxford Finance LLC   S-4/A   333-222009     10.28   December 29, 2017
                          
  10.20   Second Amendment to the Loan Agreement, dated February 13, 2018, between Vaxart, Inc. and Oxford Finance LLC   8-K   001-35285     10.1   February 20, 2018
                          
  10.21#   Severance Benefit Plan and Form of Severance Benefit Plan Participation Notice   8-K   001-35285     10.1   June 6, 2018
                          
  10.22   Settlement Agreement by and among Vaxart, Inc., Digirad Corporation, East Hill Management Company, LLC, and Aviragen Therapeutics, Inc.   8-K   001-35285     10.1   February 9, 2018
                          
  10.23   Form of Sales Agreement dated December 19, 2018 by and between Vaxart, Inc. and B. Riley FBR, Inc.   S-3   333-228910     1.2   December 20, 2018
                          
  10.24   Amended and Restated Warrant issued to Oxford Finance LLC, dated February 13, 2018   8-K   001-35285     10.2   February 20, 2018
                          
  10.25   Form of Securities Purchase Agreement dated as of March 19, 2019, by and among Vaxart, Inc. and the Purchasers named therein   8-K   001-35285     10.1   March 20, 2019
                          
  10.26   Form of Placement Agent Warrant   8-K   001-35285     10.3   March 20, 2019
                          
  10.27#   2019 Equity Incentive Plan   8-K   001-35285     10.1   April 24, 2019
                          
  10.28#   Form of Stock Option Grant Notice, Stock Option Agreement and Notice of Exercise under the 2019 Equity Incentive Plan   8-K   001-35285     10.2   April 24, 2019
                          
  10.29#   Form of Restricted Stock Unit Grant Notice and Restricted Stock Unit Award Agreement and Notice of Exercise under the 2019 Equity Incentive Plan   8-K   001-35285     10.3   April 24, 2019
 
                     

II-4


 
   
  Incorporated by Reference
Exhibit
Number
  Description   Schedule/
Form
  File
Number
  Exhibit   File Date
  10.30+   Manufacturing Services Agreement dated July 17, 2019, by and between Vaxart, Inc. and Lonza Houston,  Inc.   S-1   333-233717     10.30   September 24, 2019
                          
  10.31   First Amendment to Lease Agreement, dated September 17, 2019, by and between Vaxart, Inc. and HCP,  Inc.   8-K   001-35285     10.1   September 19, 2019
                          
  16.1   Letter dated February 16, 2018 from Ernst & Young LLP to the Securities and Exchange Commission   8-K   001-35285     16.1   February 20, 2018
                          
  21.1   List of Subsidiaries   10-K   001-35285     21.1   February 6, 2019
                          
  23.1   Consent of KPMG LLP, Independent Registered Public Accounting Firm   S-1   333-233717     23.1   September 20, 2019
                          
  23.2   Consent of Cooley LLP is contained in Exhibit 5.1 to this Registration Statement                  
                          
  24.1   Power of Attorney (see the signature page to the initial filing of this registration statement on Form S-1)   S-1   333-233717       September 11, 2019

#
Management contract or compensation plan or arrangement.

+
Portions of this exhibit (indicated by asterisks) have been omitted as the Registrant has determined that (i) the omitted information is not material and (ii) the omitted information would likely cause competitive harm to the Registrant if publicly disclosed.
(b)
Financial Statement Schedules.

        Financial statement schedules have been omitted, as the information required to be set forth therein is included in the Consolidated Financial Statements or Notes thereto appearing in the prospectus made part of this registration statement.

II-5



SIGNATURES

        Pursuant to the requirements of the Securities Act of 1933, the Registrant has duly caused this Post-Effective Amendment No. 1 to Registration Statement to be signed on its behalf by the undersigned, in the City of South San Francisco, State of California, on September 27, 2019.

    VAXART, INC.

 

 

By:

 

/s/ WOUTER W. LATOUR, M.D.

Wouter W. Latour, M.D.
President and Chief Executive Officer

        Pursuant to the requirements of the Securities Act of 1933, this Post-Effective Amendment No. 1 to Registration Statement has been signed below by the following persons in the capacities and on the dates indicated.

Signatures
 
Title
 
Date

 

 

 

 

 

 

 
/s/ WOUTER W. LATOUR, M.D.

Wouter W. Latour, M.D.
  President, Chief Executive Officer and Director (Principal Executive Officer and Principal Financial Officer)   September 27, 2019

/s/ MARGARET A. ECHERD

Margaret A. Echerd

 

Vice President, Corporate Controller (Principal Accounting Officer)

 

September 27, 2019

*

Richard J. Markham

 

Chairman of the Board

 

September 27, 2019

*

Michael J. Finney, Ph.D.

 

Director

 

September 27, 2019

*

Anne M. VanLent

 

Director

 

September 27, 2019

*

Geoffrey F. Cox, Ph.D.

 

Director

 

September 27, 2019

*

John P. Richard

 

Director

 

September 27, 2019

*By:

 

/s/ WOUTER W. LATOUR, M.D.

Wouter W. Latour, M.D.
Attorney-in-Fact

 

 

 

 

II-6




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Explanatory Note
PART II—INFORMATION NOT REQUIRED IN PROSPECTUS
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