Securities Registration: Employee Benefit Plan (s-8)
August 01 2019 - 5:28PM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on August 1, 2019
Registration
No. 333-
UNITED STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
S-8
REGISTRATION STATEMENT
UNDER
THE
SECURITIES ACT OF 1933
CERUS CORPORATION
(Exact name of registrant as specified in its charter)
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Delaware
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68-0262011
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(State of
Incorporation)
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(I.R.S. Employer
Identification No.)
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1220 Concord Avenue, Suite 600
Concord, California 94520
(925)
288-6000
(Address of principal executive offices)
Amended and Restated 2008 Equity Incentive Plan
(Full title of the plan)
Chrystal N. Menard
Chief Legal Officer
Cerus Corporation
1220
Concord Avenue, Suite 600
Concord, California 94520
(925)
288-6000
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
Chadwick L. Mills
Cooley
LLP
101 California Street, 5th Floor
San Francisco, California 94111-5800
(415)
693-2000
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 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(2)
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Proposed
Maximum
Aggregate
Offering Price(2)
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Amount of
Registration Fee
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Common Stock, par value $0.001 per share
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11,800,000
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$5.815
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$68,617,000
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$8,316.39
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(1)
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Pursuant to Rule 416 under the Securities Act of 1933, as amended (the Act), this Registration
Statement shall cover any additional shares of Common Stock that become issuable under the Registrants Amended and Restated 2008 Equity Incentive Plan (the EIP) by reason of any stock dividend, stock split, recapitalization or any
other similar transaction without receipt of consideration which results in an increase in the number of shares of the Registrants outstanding Common Stock.
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(2)
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Estimated solely for the purpose of calculating the amount of the registration fee pursuant to Rule 457(h) and
Rule 457(c) under the Act. The offering price per share and aggregate offering price are based on the average of the high and low prices of the Registrants Common Stock as reported on The NASDAQ Global Market on July 29, 2019.
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EXPLANATORY NOTE
This Registration Statement on Form
S-8
is being filed for the purpose of registering an additional 11,800,000 shares
of the Registrants Common Stock, $0.001 par value, to be issued pursuant to the EIP. The shares of the Registrants Common Stock previously reserved for issuance under the EIP were registered on the Registrants Registration
Statements on Form
S-8
(File Nos.
333-219730,
333-206231,
333-192061,
333-183232,
333-177751
and
333-152680)
filed with the Securities and Exchange Commission on August 4, 2017, August 7, 2015,
November 1, 2013, August 10, 2012, November 4, 2011 and July 31, 2008, respectively.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 3.
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Incorporation of Documents by Reference.
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The following documents have been filed by the Registrant with the Securities and Exchange Commission (the Commission) and are incorporated herein
by reference:
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the Registrants Annual Report on
Form
10-K
for the fiscal year ended December 31, 2018, filed with the Commission on February 27, 2019 (the 2018 Form
10-K);
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the information specifically incorporated by reference into the 2018 Form
10-K
from the Registrants
definitive proxy statement
on Schedule 14A, filed with the Commission on
April 26, 2019;
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the Registrants Quarterly Report on
Form
10-Q
for the quarterly period ended March 31, 2019 filed with the Commission on May 7, 2019;
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the Registrants Quarterly Report on
Form
10-Q
for the quarterly period ended June 30, 2019 filed with the Commission on August 1, 2019;
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the description of the Registrants Common Stock contained in the Registrants registration statement
on
Form
8-A
filed with the Commission on January 8, 1997, including any amendments or reports filed for the purpose of
updating such description.
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All documents subsequently filed by the Registrant pursuant to Sections 13(a), 13(c), 14 and 15(d) of the
Securities Exchange Act of 1934, as amended (the Exchange Act), other than current reports furnished under Item 2.02 or Item 7.01 of Form
8-K
and exhibits furnished on such form that relate to such
items, prior to the filing of a post-effective amendment to this Registration Statement which indicates that all of the shares of Common Stock offered have been sold or which deregisters all of such shares then remaining unsold, shall be deemed to
be incorporated by reference in this Registration Statement and to be a part hereof from the date of the filing of such documents.
For purposes of this
Registration Statement, any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded 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 such 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.
Item 6.
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Indemnification of Directors and Officers.
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As permitted by Delaware law, the Registrants amended and restated certificate of incorporation provides that no director will be personally liable to
the Registrant or the Registrants stockholders for monetary damages for breach of fiduciary duty as a director, except for liability:
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for any breach of the duty of loyalty to the Registrant or the Registrants stockholders;
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for acts or omissions not in good faith or that involve intentional misconduct or a knowing violation of law;
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for unlawful payment of dividends or unlawful stock repurchases or redemptions under Section 174 of the
Delaware General Corporation Law; and
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for any transaction from which the director derived an improper personal benefit.
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The Companys amended and restated certificate of incorporation further provides that the Registrant must indemnify the Registrants directors to
the fullest extent permitted by Delaware law. In addition, the Registrants amended and restated bylaws provide that:
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the Registrant is required to indemnify the Registrants directors and executive officers to the fullest
extent not prohibited by Delaware law, subject to limited exceptions;
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the Registrant may indemnify the Registrants other employees and agents as set forth in the Delaware
General Corporation Law;
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the Registrant is required to advance expenses to the Registrants directors and executive officers as
incurred in connection with legal proceedings against them for which they may be indemnified, against an undertaking by the indemnified party to repay such advances if it is ultimately determined that the indemnified party is not entitled to
indemnification; and
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the rights conferred in the amended and restated bylaws are not exclusive.
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The Company has entered into indemnification agreements with each of the Registrants directors and executive officers that require the Registrant to
indemnify these individuals against expenses, witness fees, damages, judgments, fines and settlement amounts incurred by the director or officer in any action or proceeding, whether actual, pending or threatened, subject to certain limitations, to
which any of these individuals may be made a party by reason of the fact that he or she is or was a director or an executive officer of the Registrant or is or was serving or at any time serves at the request of the Registrant as a director,
officer, employee or other agent of another corporation, partnership, joint venture, trust, employee benefit plan or other enterprise.
Item 7.
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Exemption from Registration Claimed.
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Not Applicable.
Item 8. Exhibits.
(1)
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Incorporated by reference to the Registrants Quarterly on Form
10-Q
(File
No. 000-21937),
filed with the SEC on November 8, 2012.
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(2)
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Incorporated by reference to the Registrants Current Report on Form
8-K
(File
No. 000-21937),
filed with the SEC on June 19, 2008.
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(3)
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Incorporated by reference to the Registrants Registration Statement on Form
S-1
(File
No. 333-11341),
and amendments thereto.
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(4)
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Incorporated by reference to the Registrants Quarterly Report on Form
10-Q
(File
No. 000-21937),
filed with the SEC on August 8, 2014.
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(5)
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Incorporated by reference to the Registrants Current Report on Form
8-K
(File
No. 000-21937),
filed with the SEC on March 5, 2019.
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(6)
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Incorporated by reference to the Registrants Quarterly on Form
10-Q
(File
No. 000-21937),
filed with the SEC on August 1, 2019.
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1.
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The undersigned Registrant hereby undertakes:
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(a) 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 of 1933;
(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. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the
total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to
Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than a 20 percent change in the maximum aggregate offering price set forth in the Calculation of Registration Fee table in the effective
Registration Statement.
(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 (a)(i) and (a)(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 Securities
Exchange Act of 1934 that are incorporated by reference herein.
(b) That, for the purpose of determining any liability under the Securities Act of 1933,
each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered herein, and the offering of such securities at that time shall be deemed to be the initial
bona fide
offering thereof.
(c) 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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The undersigned Registrant hereby undertakes that, for purposes of determining any liability under the
Securities Act of 1933, each filing of the Registrants annual report pursuant to section 13(a) or section 15(d) of the Securities Exchange Act of 1934 (and, where applicable, each filing of an employee benefit plans annual report
pursuant to section 15(d) of the Securities Exchange Act of 1934) that is incorporated by reference in the Registration Statement shall be deemed to be a new registration statement relating to the securities offered herein, and the offering of such
securities at that time shall be deemed to be the initial
bona fide
offering thereof.
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3.
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Insofar as indemnification for liabilities arising under the Securities Act of 1933 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 of 1933 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 of 1933 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, as amended, 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 Concord, State of California, on
this 1st day of August, 2019.
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Cerus Corporation
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By:
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/s/ William M. Greenman
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William M. Greenman
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President and Chief Executive Officer
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POWER OF ATTORNEY
Each person whose signature appears below constitutes and appoints William M. Greenman and Kevin D. Green, each acting alone, as his true and lawful
attorney-in-fact
and agent, with full power of substitution and resubstitution, for him and in his name, place and stead, in any and all capacities, to sign any or all
amendments (including post-effective amendments) to this Registration Statement on Form
S-8,
and to file the same, with all exhibits thereto, and all 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 and necessary to be
done in and about the premises, as fully to all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said
attorney-in-fact
and agent, or his substitute or substitutes, may lawfully do or cause to be done by virtue hereof.
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.
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Signature
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Title
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Date
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/s/ William M. Greenman
William M. Greenman
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President, Chief Executive Officer and Director
(Principal Executive Officer)
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August 1, 2019
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/s/ Kevin D. Green
Kevin D. Green
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Vice President, Finance and Chief Financial Officer
(Principal Financial and Accounting Officer)
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August 1, 2019
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/s/ Daniel N. Swisher, Jr.
Daniel N. Swisher, Jr.
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Chair of the Board of Directors
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August 1, 2019
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/s/ Timothy B. Anderson
Timothy B. Anderson
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Director
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August 1, 2019
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/s/ Eric H. Bjerkholt
Eric H. Bjerkholt
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Director
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August 1, 2019
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/s/ Timothy L. Moore
Timothy L. Moore
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Director
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August 1, 2019
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/s/ Jami Nachtsheim
Jami Nachtsheim
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Director
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August 1, 2019
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/s/ Gail Schulze
Gail Schulze
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Director
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August 1, 2019
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/s/ Frank Witney, Ph.D.
Frank Witney, Ph.D.
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Director
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August 1, 2019
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