Delaware
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11-3516358
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|||
(State or other jurisdiction of
incorporation or organization)
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(I.R.S. Employer Identification No.)
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37000 Grand River
Avenue, Suite 120
Farmington Hills, MI
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48335
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|||
(Address of principal executive offices)
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(Zip code)
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Ocuphire Pharma, Inc. 2020 Equity Incentive Plan
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(Full title of the plan)
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Mina Sooch
President and Chief Executive Officer
Ocuphire Pharma, Inc.
37000 Grand River Avenue, Suite 120
Farmington Hills, MI 48335
(248) 681-9815
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(Name, address, and telephone number, including area code, of agent for service)
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Item 3. | Incorporation of Documents By Reference. |
(a) |
the Registrant’s Annual Report on Form 10-K filed on March 24, 2022;
|
(b) |
the Registrant’s Current Reports on Form 8-K filed on January 31, 2022 and March 29, 2022; and
|
(c) |
the description of the Company’s Common Stock contained in the Company’s Form 8-A (File No. 001-34079), as filed with
the Commission pursuant to Sections 12(b) and 12(g) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), on May 23, 2008.
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Item 8. | Exhibits. |
Exhibit
Number
|
Description
|
|
Amended and Restated Certificate of Incorporation (incorporated by reference to Appendix G to the Company’s Definitive Proxy Statement on Schedule
14A filed on April 29, 2005)
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||
Certificate of Amendment of Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the Company’s Current
Report on Form 8-K, filed on May 5, 2017)
|
||
Certificate of Amendment of Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the Company’s Current
Report on Form 8-K, filed on August 30, 2018)
|
||
Certificate of Amendment of Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the Company’s Current
Report on Form 8-K, filed on April 12, 2019).
|
||
Certificate of Amendment of Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the Company’s Current
Report on Form 8-K, filed on November 6, 2020)
|
||
Certificate of Amendment of Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.2 to the Company’s Current
Report on Form 8-K, filed on November 6, 2020)
|
||
Second Amended and Restated Bylaws of the Registrant (incorporated by reference to Exhibit 3.3 to the Company’s Current Report on Form 8-K, filed
on November 6, 2020)
|
||
Ocuphire Pharma, Inc. 2020 Equity Incentive Plan (incorporated by reference to Annex D to the Company’s Registration Statement on Form S-4, filed
on September 30, 2020)
|
||
Opinion of Honigman LLP
|
||
Consent of Ernst & Young LLP
|
||
23.2 |
Consent of Honigman LLP (included in Exhibit 5.1)
|
|
Power of Attorney (included after the signature of the Registrant contained on Signature Page of this Registration Statement)
|
||
Filing Fee Table
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OCUPHIRE PHARMA, INC.
|
|||
By:
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/s/ Mina Sooch
|
||
Name:
|
Mina Sooch
|
||
Title:
|
President and Chief Executive Officer
|
SIGNATURE
|
TITLE
|
DATE
|
||
/s/ Mina Sooch
|
||||
Mina Sooch
|
President, Chief Executive Officer & Director
(Principal Executive Officer)
|
April 5, 2022
|
||
/s/ Amy Rabourn | ||||
Amy Rabourn
|
Vice President of Finance
(Principal Financial and Accounting Officer)
|
April 5, 2022
|
||
/s/ Sean Ainsworth |
|
|
||
Sean Ainsworth
|
Director |
April 5, 2022
|
||
/s/ James S. Manuso | ||||
James S. Manuso
|
Director
|
April 5, 2022
|
||
/s/ Cam Gallagher
|
|
|
||
Cam Gallagher
|
Director
|
April 5, 2022
|
||
/s/ Jay Pepose
|
||||
Jay Pepose
|
Director
|
April 5, 2022
|
/s/ Richard J. Rodgers
|
|
|
||
Richard J. Rodgers
|
Director
|
April 5, 2022 | ||
/s/ Susan K. Benton
|
|
|||
Susan K. Benton
|
Director
|
April 5, 2022
|
![]() |
269.337.7700
|
Ocuphire Pharma, Inc.
|
|
37000 Grand River Avenue, Suite 120
|
|
Farmington Hills, Michigan 48335
|
Re:
|
Registration Statement on Form S-8
|
![]() |
April 5, 2022
|
Page 2
|
Security Type
|
Security Class Title
|
Fee Calculation Rule
|
Amount Registered (1) (3)
|
Proposed Maximum Offering Price Per Unit(2)
|
Maximum Aggregate Offering Price (2)
|
Fee Rate
|
Amount of Registration Fee
|
|||||||||||||||
Equity
|
Common stock, $0.0001 par value per share
|
Rule 457(c) and Rule 457(h)
|
942,291
|
$
|
3.32
|
$
|
3,128,406.12
|
0.0000927
|
$
|
290
|
||||||||||||
Total Offering Amounts
|
$
|
3,128,406.12
|
$
|
290
|
||||||||||||||||||
Total Fee Offsets
|
$
|
-
|
||||||||||||||||||||
Net Fee Due
|
$
|
290
|
(1) |
Ocuphire Pharma, Inc., a Delaware corporation (the “Registrant”), is registering 942,291 shares of common stock that may be issued under the
Ocuphire Pharma, Inc. 2020 Equity Incentive Plan (the “2020 Plan”). Pursuant to Rule 416(a) promulgated under the Securities Act of 1933, as amended, (the “Securities Act”), this Registration Statement shall also cover any additional
shares of common stock that become issuable under the plans set forth herein by reason of any stock dividend, stock split, recapitalization, or other similar transaction effected without receipt of consideration that increases the number
of outstanding shares of common stock, as applicable.
|
(2) |
Estimated solely for the purpose of calculating the amount of the registration fee pursuant to Rule 457(c) and
Rule 457(h) under the Act. The proposed maximum offering price per unit and maximum aggregate offering price are based on the average of the high
and low prices of the Registrant’s common stock as reported on the Nasdaq Capital Market on March 31, 2022.
|
(3) |
The number of shares of common stock available for issuance under the 2020 Plan is subject to an automatic annual
increase on the first day of each fiscal year, beginning on January 1, 2021 and ending on (and including) January 1, 2030, with such annual increase equal to the lesser of (i) 5% of the total number of shares of common stock outstanding
on December 31 of the preceding year and (ii) an amount determined by the board of directors of the Registrant. Accordingly, the number of shares of common stock available for issuance under the 2020 Plan was automatically increased by
942,291 shares effective January 1, 2022, which is equal to 5% of the total number of shares of common stock outstanding as of December 31, 2021.
|
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