Securities Registration: Employee Benefit Plan (s-8)
February 24 2022 - 7:26AM
Edgar (US Regulatory)
As
filed with the Securities and Exchange Commission on February 24, 2022
Registration
No. 333-
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
S-8
REGISTRATION
STATEMENT
UNDER
THE SECURITIES ACT OF 1933
Provention
Bio, Inc.
(Exact
name of registrant as specified in its charter)
Delaware |
|
81-5245912 |
(State or other jurisdiction of
incorporation or organization) |
|
(I.R.S.
Employer
Identification
No.) |
55
Broad Street, 2nd Floor
Red
Bank, New Jersey 07701
(Address
of Principal Executive Offices) (Zip Code)
Provention
Bio, Inc. Amended and Restated 2017 Equity Incentive Plan
(Full
title of the plan)
Ashleigh
Palmer
Chief
Executive Officer
Provention
Bio, Inc.
55
Broad Street, 2nd Floor
Red
Bank, New Jersey 07701
(908)
336-0360
(Name,
address and telephone number, including area code, of agent for service)
with
copies to:
Thomas
J. Danielski
Ropes
& Gray LLP
800
Boylston Street
Boston,
Massachusetts 02199
(617)
951-7000
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 ☐ |
Accelerated
filer ☐ |
Non-accelerated
filer ☒ |
Smaller
reporting company ☒ |
|
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 is being filed to register an additional 1,768,825 shares of the registrant’s common stock, $0.0001
par value per share, for issuance under the Amended and Restated Provention Bio, Inc. 2017 Equity Incentive Plan. Pursuant to
General Instruction E to Form S-8, the registrant incorporates by reference, except to the extent supplemented, amended or
superseded by the information set forth herein, into this Registration Statement the entire contents of its Registration Statement
on Form S-8 (File No. 333-226814) filed with the Securities and Exchange Commission on August 13, 2018, its Registration Statement
on Form S-8 (File No. 333-230400) filed with the Securities and Exchange Commission on March 19, 2019, its Registration Statement on
Form S-8 (File No. 333-237113) filed with the Securities and Exchange Commission on March 12, 2020, and its Registration Statement
on Form S-8 (File No. 333-253657) filed with the Securities and Exchange Commission on February 26, 2021.
PART
II
INFORMATION
REQUIRED IN THE REGISTRATION STATEMENT
Item 8. Exhibits
Exhibit
Number |
|
Description |
3.1 |
|
Second Amended and Restated Certificate of Incorporation of Provention Bio, Inc. (incorporated by reference to Exhibit 3.1 to the registrant’s Form 8-K filed with the Securities and Exchange Commission on July 19, 2018) |
3.2 |
|
Certificate of Amendment to the Second Amended and Restated Certificate of Incorporation of Provention Bio, Inc. (incorporated by reference to Exhibit 3.1 to the registrant’s Form 8-K filed with the SEC on May 14, 2021) |
3.3 |
|
Amended and Restated Bylaws of Provention Bio, Inc. (incorporated by reference to Exhibit 3.1 to the registrant’s Form 8-K filed with the Securities and Exchange Commission on May 20, 2020) |
4.1 |
|
Provention Bio, Inc. Amended and Restated 2017 Equity Incentive Plan (incorporated by reference to Exhibit 4.4 to the registrant’s Form S-8 Registration Statement filed with the Securities and Exchange Commission on August 13, 2018) |
4.2 |
|
Form of Stock Option Award under 2017 Provention Bio, Inc. Stock Incentive Plan (incorporated by reference to Exhibit 10.4 to the registrant’s Form S-1 Registration Statement filed with the Securities and Exchange Commission on May 9, 2018) |
5.1 |
|
Opinion of Ropes & Gray LLP |
23.1 |
|
Consent of EisnerAmper LLP |
23.2 |
|
Consent of Ropes & Gray LLP (included in Exhibit 5.1) |
24.1 |
|
Power of Attorney (included on the signature page of this Registration Statement under the caption “Power of Attorney”) |
107 |
|
Filing Fee Table |
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 Red Bank, State of New Jersey, on February 24, 2022.
|
Provention
Bio, Inc. |
|
|
|
|
By: |
/s/
Ashleigh Palmer |
|
|
Ashleigh
Palmer |
|
|
Chief
Executive Officer |
POWER
OF ATTORNEY
Each
person whose signature appears below constitutes and appoints Ashleigh Palmer, Thierry Chauche and Heidy King-Jones, and each of them
acting individually, his or her true and lawful attorney-in-fact and agent with full power of substitution and resubstitution, for him
or her and in his or her name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments)
to this Registration Statement, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the
Securities and Exchange Commission, granting unto said attorneys-in-fact and agents full power and authority to do and perform each and
every act and thing requisite and necessary to be done in connection therewith, as fully to all intents and purposes as he or she might
or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or their 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 date indicated.
Signature |
|
Title |
|
Date |
|
|
|
|
|
/s/
Ashleigh Palmer |
|
Chief
Executive Officer and Director |
|
February
24, 2022 |
Ashleigh
Palmer |
|
(Principal Executive Officer) |
|
|
|
|
|
|
|
/s/
Thierry Chauche |
|
Chief
Financial Officer |
|
February
24, 2022 |
Thierry
Chauche |
|
(Principal Financial and Accounting Officer) |
|
|
|
|
|
|
|
/s/
Jeffrey Bluestone, PhD |
|
Director |
|
February
24, 2022 |
Jeffrey
Bluestone, PhD |
|
|
|
|
|
|
|
|
|
/s/
Avery Catlin |
|
Director |
|
February
24, 2022 |
Avery
Catlin |
|
|
|
|
|
|
|
|
|
/s/
Sean Doherty |
|
Director |
|
February
24, 2022 |
Sean
Doherty |
|
|
|
|
|
|
|
|
|
/s/
John Jenkins, MD |
|
Director |
|
February
24, 2022 |
John
Jenkins, MD |
|
|
|
|
|
|
|
|
|
/s/
Wayne Pisano |
|
Director |
|
February
24, 2022 |
Wayne
Pisano |
|
|
|
|
|
|
|
|
|
/s/
Nancy Wysenski |
|
Director |
|
February
24, 2022 |
Nancy
Wysenski |
|
|
|
|
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