Joel I. Papernik, Esq. Mintz, Levin, Cohn, Ferris, Glovsky, and Popeo, P.C. 919 Third Avenue New York, NY 10022 (212) 935-3000 |
Large accelerated filer o | Accelerated filer o | |||||||
Non-accelerated filer x | Smaller reporting company x | |||||||
Emerging growth company o |
Exhibit No. | Description of Exhibit | |||||||
Amended and Restated Certificate of Incorporation, as amended, of the Registrant (filed as Exhibit 3.1 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-33133) on August 9, 2018 and incorporated herein by reference) | ||||||||
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of the Registrant (filed as Exhibit 3.1 to the Registrant’s Current Report on Form 8-K (File No. 001-33133) on January 15, 2020 and incorporated herein by reference) | ||||||||
Amended and Restated By-laws of the Registrant (filed as Exhibit 3.1 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-33133) on November 10, 2021 and incorporated herein by reference) | ||||||||
Specimen Stock Certificate (filed as Exhibit 4.1 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-33133) on November 12, 2020 and incorporated herein by reference) | ||||||||
* | Opinion of Mintz, Levin, Cohn, Ferris, Glovsky, and Popeo, P.C. | |||||||
Consent of Mintz, Levin, Cohn, Ferris, Glovsky, and Popeo, P.C. (included in Exhibit 5.1) | ||||||||
* | Consent of RSM US LLP, an independent registered public accounting firm | |||||||
24.1 | Power of Attorney (included as part of the signature page of this Registration Statement) | |||||||
Yield10 Bioscience, Inc. Amended and Restated 2018 Stock Option and Incentive Plan (filed as Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 001-33133) on May 30, 2023 and incorporated herein by reference) | ||||||||
Amended and Restated 2018 Stock Option and Incentive Plan, Form of Stock Option Agreement (filed as Exhibit 10.2.5 to the Registrant’s Annual Report on Form 10-K (File No. 001-33133) on March 28, 2019 and incorporated herein by reference) | ||||||||
Amended and Restated 2018 Stock Option and Incentive Plan, Form of Restricted Stock Unit Agreement (filed as Exhibit 10.2.6 to the Registrant’s Annual Report on Form 10-K (File No. 001-33133) on March 25, 2020 and incorporated herein by reference) | ||||||||
* | Filing Fee Table |
YIELD10 BIOSCIENCE, INC. | ||||||||
By: | /s/ Oliver P. Peoples | |||||||
Oliver P. Peoples | ||||||||
President and Chief Executive Officer |
/s/ Oliver P. Peoples | President, Chief Executive Officer and Director | June 14, 2023 | ||||||||||||
Oliver P. Peoples | (Principal Executive Officer) | |||||||||||||
/s/ Charles B. Haaser | Vice President, Finance, and Chief Accounting Officer | June 14, 2023 | ||||||||||||
Charles B. Haaser | (Principal Financial and Accounting Officer) | |||||||||||||
/s/ Sherri M. Brown | Director | June 14, 2023 | ||||||||||||
Sherri M. Brown | ||||||||||||||
/s/ Richard W. Hamilton | Director | June 14, 2023 | ||||||||||||
Richard W. Hamilton | ||||||||||||||
/s/ Willie Loh | Director | June 14, 2023 | ||||||||||||
Willie Loh | ||||||||||||||
/s/ Anthony J. Sinskey | Director | June 14, 2023 | ||||||||||||
Anthony J. Sinskey | ||||||||||||||
/s/ Robert L. Van Nostrand | Chairman | June 14, 2023 | ||||||||||||
Robert L. Van Nostrand |
Table 1 — Newly Registered Securities |
Security Type | Security Class Title | Fee Calculation Rule | Amount Registered (1)(2) | Proposed Maximum Offering Price Per Unit (3) | Maximum Aggregate Offering Price | Fee Rate | Amount of Registration Fee | ||||||||||||||||
Equity | Common stock, par value $0.01 per share | 457(c) and 457(h) | 500,000 | $2.50 | $1,250,000.00 | $0.00011020 | $137.75 | ||||||||||||||||
Total Offering Amount | $1,250,000.00 | $137.75 | |||||||||||||||||||||
Total Fees Previously Paid | — | ||||||||||||||||||||||
Total Fee Offsets | — | ||||||||||||||||||||||
Net Fee Due | $137.75 |
(1) | This registration statement relates to an additional 500,000 shares of common stock, $0.01 par value per share (the “Common Stock”), of Yield10 Bioscience, Inc. (the “Registrant”) reserved for issuance under the Amended and Restated 2018 Stock Option and Incentive Plan (the “2018 Plan”), added pursuant to an amendment to the 2018 Plan adopted by the Registrant's stockholders on May 25, 2023. | ||||
(2) | Pursuant to Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”), this registration statement shall also cover any additional shares of Common Stock which become issuable under the 2018 Plan by reason of any stock dividend, stock split, recapitalization or any other similar transaction effected without the receipt of consideration which results in an increase in the number of outstanding shares of Common Stock. | ||||
(3) | The price of $2.50 per share, which is the average of the high and low sales price for a share of Common Stock as reported on the Nasdaq Capital Market on June 9, 2023, is set forth solely for purposes of calculating the registration fee pursuant to Rule 457(c) and (h) of the Securities Act. |
Exhibit 5.1 | ||||||||
919 Third Avenue New York, NY 10022 212-935-3000 mintz.com |
Very truly yours. | ||||||||
/s/ Mintz, Levin, Cohn, Ferris, Glovsky and | ||||||||
Popeo, P.C. | ||||||||
MINTZ, LEVIN, COHN, FERRIS, GLOVSKY AND | ||||||||
POPEO, P.C. |
/s/ RSM US LLP | ||||||||
Boston, Massachusetts | ||||||||
June 14, 2023 |