Securities Registration: Employee Benefit Plan (s-8)
December 22 2017 - 1:12PM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on December 22, 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
Curis, Inc.
(Exact Name
of Registrant as Specified in Its Charter)
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Delaware
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04-3416587
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(State or Other Jurisdiction of
Incorporationor Organization)
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(I.R.S. Employer
Identification No.)
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4 Maguire Road
Lexington, MA
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02421
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(Address of Principal Executive Offices)
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(Zip Code)
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Inducement Stock Option Awards (April 1, 2017 July 3, 2017)
(Full Title of the Plan)
Ali Fattaey
President
and Chief Executive Officer
4 Maguire Road
Lexington, MA 02421
(Name
and Address of Agent For Service)
(617)
503-6500
(Telephone Number, Including Area Code, of Agent For Service)
with copies to:
Steven D. Singer, Esq. and Cynthia T. Mazareas, Esq.
Wilmer Cutler Pickering Hale and Dorr LLP
60 State Street
Boston,
MA 02109
(617)
526-6000
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 pursuant to Section 7(a)(2)(B) of the Securities Act. ☐
CALCULATION
OF REGISTRATION FEE
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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, $0.01 par value per share
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259,000 shares (2)
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$2.78 (4)
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$720,020 (4)
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$90
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Common Stock, $0.01 par value per share
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200,000 shares (3)
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$1.95 (4)
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$390,000 (4)
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$49
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(1)
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In accordance with Rule 416 under the Securities Act of 1933, as amended, this registration statement shall be deemed to cover any additional securities that may from time to time 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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Consists of shares issuable under a new hire inducement stock option award granted on April 1, 2017 in accordance with NASDAQ Listing Rule 5635(c)(4).
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(3)
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Consists of shares issuable under new hire inducement stock option awards granted on July 3, 2017 in accordance with NASDAQ Listing Rule 5635(c)(4).
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(4)
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Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457(h) of the Securities Act of 1933, as amended, based upon the exercise price of the options outstanding under the applicable
inducement stock option award.
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PART I
INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS
Item 1.
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Plan Information.
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The information required by Item 1 is included in documents sent or
given to participants in the award agreements covered by this registration statement pursuant to Rule 428(b)(1) of the Securities Act of 1933, as amended (the Securities Act).
Item 2.
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Registrant Information and Employee Plan Annual Information.
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The information required
by Item 2 is included in documents sent or given to participants in the award agreements covered by this registration statement pursuant to Rule 428(b)(1) of the Securities Act.
PART II
INFORMATION
REQUIRED IN THE REGISTRATION STATEMENT
Item 3.
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Incorporation of Documents by Reference.
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The registrant is subject to the informational
and reporting requirements of Sections 13(a), 14 and 15(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act), and in accordance therewith files reports, proxy statements and other information with the Securities and
Exchange Commission (the Commission). The following documents, which are on file with the Commission, are incorporated in this registration statement by reference:
(a) The registrants latest annual report filed pursuant to Section 13(a) or 15(d) of the Exchange Act or the latest prospectus filed
pursuant to Rule 424(b) under the Securities Act that contains audited financial statements for the registrants latest fiscal year for which such statements have been filed.
(b) All other reports filed pursuant to Section 13(a) or 15(d) of the Exchange Act since the end of the fiscal year covered by the
document referred to in (a) above.
(c) The description of the securities contained in the registrants registration statement on
Form
8-A
filed under the Exchange Act, including any amendment or report filed for the purpose of updating such description.
All documents subsequently filed by the registrant pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act, prior to the filing of
a post-effective amendment which indicates that all securities offered hereby have been sold or which deregisters all securities then remaining unsold, shall be deemed to be incorporated by reference in this registration statement and to be part
hereof from the date of the filing of such documents. Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for the purposes of this registration statement to
the extent that a statement contained herein or in any other subsequently filed document which also is or is deemed to be incorporated by reference herein modifies or supersedes such statement. Any statement so modified or superseded shall not be
deemed, except as so modified or superseded, to constitute a part of this registration statement.
Item 4.
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Description of Securities.
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Not applicable.
Item 5.
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Interests of Named Experts and Counsel.
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Not applicable.
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Item 6.
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Indemnification of Directors and Officers.
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Section 102 of the Delaware General
Corporation Law, or the DGCL, allows a corporation to eliminate the personal liability of directors of a corporation to the corporation or its stockholders for monetary damages for a breach of fiduciary duty as a director, except where the director
breached his duty of loyalty, failed to act in good faith, engaged in intentional misconduct or knowingly violated a law, authorized the payment of a dividend or approved a stock repurchase in violation of the DGCL or obtained an improper personal
benefit. The registrants restated certificate of incorporation, as amended, includes such a provision.
Section 145 of the DGCL
provides that a corporation has the power to indemnify a director, officer, employee or agent of the corporation and certain other persons serving at the request of the corporation in related capacities against amounts paid and expenses incurred in
connection with an action or proceeding to which he is or is threatened to be made a party by reason of such position, if such person shall have acted in good faith and in a manner he reasonably believed to be in or not opposed to the best interests
of the corporation, and, in any criminal proceeding, if such person had no reasonable cause to believe his conduct was unlawful; provided that, in the case of actions brought by or in the right of the corporation, no indemnification shall be made
with respect to any matter as to which such person shall have been adjudged to be liable to the corporation unless and only to the extent that the adjudicating court determines that such indemnification is proper under the circumstances.
Article Sixth of the registrants restated certificate of incorporation, as amended, provides that no director shall be personally liable
to the registrant or any of its stockholders for any monetary damages for any breach of fiduciary duty as a director of the registrant, except to the extent that the DGCL prohibits the elimination or limitation of liability of directors for breach
of fiduciary duty.
Article Eighth of the registrants restated certificate of incorporation, as amended, provides, in general, that
the registrant shall indemnify each person who was or is a party or is threatened to be made a party to any threatened, pending or completed action, suit or proceeding, whether civil, criminal, administrative or investigative (other than an action
by or in the right of the registrant), by reason of the fact that such person is or was, or has agreed to become, a director or officer of the registrant, or is or was serving or has agreed to serve, at the request of the registrant, as a director,
officer or trustee of, or in a similar capacity with, another corporation (including any partially or wholly owned subsidiary of the registrant), partnership, joint venture, trust or other enterprise (including any employee benefit plan), against
expenses (including attorneys fees), judgments, fines and amounts paid in settlement actually and reasonably incurred in connection with any such action, suit or proceeding to the maximum extent permitted by the DGCL. The foregoing right of
indemnification is in no way exclusive of any other rights of indemnification to which any such director or officer may be entitled, under any
by-law,
agreement, vote of directors or stockholders or otherwise.
In addition to the indemnification provided by the registrants restated certificate of incorporation, as amended, and under the
DGCL, the registrant has entered into indemnification agreements with its executive officers and directors that indemnify them for certain expenses (including attorneys fees), judgments, fines and settlement amounts incurred by them in any
action or proceeding, including any action by or in the right of the registrant, arising out of such persons services as a director or executive officer of the registrant.
The registrant maintains a general liability insurance policy which covers certain liabilities of directors and officers of the registrant
arising out of claims based on acts or omissions in their capacities as directors or officers.
Item 7.
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Exemption from Registration Claimed.
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Not applicable.
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1. 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:
(i) To include any prospectus required by Section 10(a)(3) of the Securities Act;
(ii) To reflect in the prospectus any facts or events arising after the effective date of the 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 the registration statement; and
(iii) To include any material information with respect to the plan of distribution not previously disclosed in the registration statement or
any material change to such information in the registration statement;
provided, however,
that paragraphs (i) and (ii) 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 the 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.
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2. The undersigned registrant hereby undertakes that, for purposes of determining any liability
under the Securities Act, each filing of the registrants annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act that is incorporated by reference in the 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.
3. 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 Securities and Exchange Commission 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.
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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 Lexington,
Commonwealth of Massachusetts, on December 22, 2017.
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CURIS, INC.
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By:
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/s/ James E. Dentzer
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James E. Dentzer
Chief Financial Officer and Chief Administrative Officer
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SIGNATURES AND POWER OF ATTORNEY
We, the undersigned officers and directors of Curis, Inc., hereby severally constitute and appoint Ali Fattaey and James E. Dentzer and each
of them singly, our true and lawful attorneys with full power to any of them, and to each of them singly, to sign for us and in our names in the capacities indicated below the Registration Statement on Form
S-8
filed herewith and any and all
pre-effective
and post-effective amendments to said Registration Statement and generally to do all such things in our name and behalf
in our capacities as officers and directors to enable Curis, Inc. to comply with the provisions of the Securities Act of 1933, as amended, and all requirements of the Securities and Exchange Commission, hereby ratifying and confirming our signatures
as they may be signed by our said attorneys, or any of them, to said Registration Statement and any and all amendments thereto.
Pursuant
to the requirements of the Securities Act of 1933, as amended, 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/ Ali Fattaey
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President, Chief Executive Officer and Director
(Principal Executive Officer)
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December 22, 2017
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Ali Fattaey
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/s/James E. Dentzer
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Chief Financial Officer and Chief Administrative Officer
(Principal Financial and Accounting Officer)
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December 22, 2017
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James E. Dentzer
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/s/ Martyn D. Greenacre
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Chairman of the Board of Directors
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December 22, 2017
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Martyn D. Greenacre
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/s/ Kenneth I. Kaitin
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Director
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December 22, 2017
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Kenneth I. Kaitin
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/s/ Lori A. Kunkel
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Director
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December 21, 2017
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Lori A. Kunkel
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/s/ Robert Martell
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Director
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December 22, 2017
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Robert Martell
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/s/ Marc Rubin
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Director
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December 22, 2017
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Marc Rubin
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