S-8 1 d147702ds8.htm S-8 S-8

As filed with the Securities and Exchange Commission on March 3, 2016

Registration No. 333-            

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM S-8

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

 

 

PRONAI THERAPEUTICS, INC.

(Exact name of Registrant as specified in its charter)

 

 

 

Delaware   20-0138994

(State or other jurisdiction of

incorporation or organization)

  

(I.R.S. Employer

Identification Number)

2150 – 885 West Georgia Street

Vancouver, British Columbia, Canada V6C 3E8

(604) 558-6536

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

2015 Equity Incentive Plan

(Full title of the plan)

Nick Glover

President and Chief Executive Officer

ProNAi Therapeutics, Inc.

2150 – 885 West Georgia Street

Vancouver, British Columbia, Canada V6C 3E8

(604) 558-6536

(Name, address, including zip code, and telephone number, including area code, of agent for service)

Please send copies of all communications to:

Stephen M. Graham, Esq.

Robert A. Freedman, Esq.

James D. Evans, Esq.

Fenwick & West LLP

1191 Second Avenue

Seattle, WA 98101

(206) 389-4510

 

 

Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer or a smaller reporting company (as defined in Rule 12b-2 of the Exchange Act):

 

Large Accelerated Filer   ¨    Accelerated Filer   ¨
Non-accelerated Filer   x  (Do not check if a smaller reporting company)    Smaller Reporting Company   ¨

 

 

CALCULATION OF REGISTRATION FEE

 

 

Title of Each Class of Securities

to be Registered

  

Amount

to be
Registered(1)

   Proposed
Maximum
Offering Price
Per Unit		  

Proposed
Maximum
Aggregate

Offering Price

  

Amount of

Registration Fee

Common Stock, $0.001 par value

                

– To be issued under the 2015 Equity Incentive Plan

   1,202,324(2)   $5.97(3)   $7,177,874   $723

 

 

(1) Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement shall also cover any additional shares of the Registrant’s common stock that become issuable under the Registrant’s 2015 Equity Incentive Plan by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without the receipt of consideration that increases the number of the Registrant’s outstanding shares of common stock.
(2) Represents additional shares of common stock reserved for issuance under the Registrant’s 2015 Equity Incentive Plan as of January 1, 2016.
(3) Calculated solely for the purposes of this offering under Rules 457(c) and (h) of the Securities Act on the basis of the average of the high and low prices of the Registrant’s common stock as reported on The NASDAQ Global Market on February 29, 2016.

 

 

 

REGISTRATION OF ADDITIONAL SHARES

PURSUANT TO GENERAL INSTRUCTION E

Pursuant to General Instruction E of Form S-8, ProNAi Therapeutics, Inc. (the “Registrant”) is filing this Registration Statement with the SEC to register 1,202,324 additional shares of common stock under the Registrant’s 2015 Equity Incentive Plan (“EIP”), pursuant to the provisions of the EIP providing for an automatic increase in the number of shares reserved for issuance under the EIP on January 1, 2016.

This Registration Statement hereby incorporates by reference the contents of the Registrant’s registration statement on Form S-8 filed with the Securities and Exchange Commission (the “Commission”) on July 16, 2015 (Registration No. 333-205693). In accordance with the instructional note to Part I of Form S-8 as promulgated by the Commission, the information specified by Part I of Form S-8 has been omitted from this Registration Statement.

PART II

INFORMATION REQUIRED IN THE REGISTRATION STATEMENT

Item 3. Incorporation of Documents by Reference.

The following documents filed by the Registrant with the Commission pursuant to the Securities Act and the Securities Exchange Act of 1934, as amended (the “Exchange Act”) are incorporated herein by reference:

 

  (a) the Registrant’s Annual Report on Form 10-K for the year ended December 31, 2015 filed with the Commission on March 3, 2016 pursuant to Section 13 of the Exchange Act;

 

  (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 Registrant’s Annual Report on Form 10-K referred to in (a) above; and

 

  (b) the description of the Registrant’s common stock contained in the Registrant’s registration statement on Form 8-A (File No. 001- 37490) filed on July 8, 2015 under Section 12(b) of the Exchange Act, including any amendment or report filed for the purpose of updating such description.

All documents filed by the Registrant pursuant to Section 13(a), 13(c), 14 or 15(d) of the Exchange Act subsequent to the filing of this Registration Statement and 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 into this Registration Statement and to be a part hereof from the date of filing such documents, except as to specific sections of such documents as set forth therein. Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained in any subsequently filed document which also is deemed to be incorporated by reference herein modifies or supersedes such statement.

Item 8. Exhibits.

The following exhibits are filed herewith:

 

Exhibit
Number

         Incorporated by Reference    Filed
Herewith
  

Exhibit Description

   

Form

    File No.   

Exhibit

   

Filing Date

   
  4.1    Restated Certificate of Incorporation of the Registrant    S-1    333-204921    3.2    6/12/2015   
  4.2    Restated Bylaws of the Registrant    S-1    333-204921    3.4    6/12/2015   
  4.3    Form of Registrant’s Common Stock certificate    S-1    333-204921    4.1    7/06/2015   
  5.1    Opinion of Fenwick & West LLP                X
23.1    Consent of Fenwick & West LLP (contained in Exhibit 5.1)                X
23.2    Consent of Deloitte & Touche LLP, independent registered public accounting firm                X
24.1    Power of Attorney (included on the signature page to this Registration Statement)                X
99.1    2015 Equity Incentive Plan and forms of award agreements thereunder    S-1    333-204921    10.3    7/06/2015   

SIGNATURES

Pursuant to the requirements of the Securities Act, 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 Vancouver, Province of British Columbia, on this 3rd day of March 2016.

 

PRONAI THERAPEUTICS, INC.
By:  

/s/ Nick Glover

  Nick Glover
  President and Chief Executive Officer

POWER OF ATTORNEY

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Nick Glover and Sukhi Jagpal, and each of them, as his or her true and lawful attorney-in-fact and agent with full power of substitution, for him or her in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement on Form S-8, and to file the same, with all exhibits thereto and other 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 connection therewith, as fully for 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 or her substitute, may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Act, this Registration Statement has been signed by the following persons in the capacities and on the date indicated.

 

Name

   

Title

  

Date

/s/ Nick Glover

Nick Glover

   

President, Chief Executive Officer and Director

(Principal Executive Officer)

   March 3, 2016

/s/ Sukhi Jagpal

Sukhi Jagpal

   

Chief Financial Officer

(Principal Financial and Accounting Officer)

   March 3, 2016

/s/ Donald Parfet

Donald Parfet

   

Director

   March 3, 2016

/s/ Albert Cha

Albert Cha

   

Director

   March 3, 2016

/s/ Nicole Onetto

Nicole Onetto

   

Director

   March 3, 2016

/s/ Robert Pelzer

Robert Pelzer

   

Director

   March 3, 2016

/s/ James Topper

James Topper

   

Director

   March 3, 2016

/s/ Alvin Vitangcol

Alvin Vitangcol

   

Director

   March 3, 2016

EXHIBIT INDEX

 

Exhibit
Number

   

Exhibit Description

    Incorporated by Reference    Filed
Herewith
      Form    File No.    Exhibit    Filing Date   
  4.1    Restated Certificate of Incorporation of the Registrant    S-1    333-204921    3.2    6/12/2015   
  4.2    Restated Bylaws of the Registrant    S-1    333-204921    3.4    6/12/2015   
  4.3    Form of Registrant’s Common Stock certificate    S-1    333-204921    4.1    7/06/2015   
  5.1    Opinion of Fenwick & West LLP                X
23.1    Consent of Fenwick & West LLP (contained in Exhibit 5.1)                X
23.2    Consent of Deloitte & Touche LLP, independent registered public accounting firm                X
24.1    Power of Attorney (included on the signature page to this Registration Statement)                X
99.1    2015 Equity Incentive Plan and forms of award agreements thereunder    S-1    333-204921    10.3    7/06/2015