S-8 1 d895424ds8.htm S-8 S-8

As filed with the Securities and Exchange Commission on March 26, 2015

Registration No. 333-            

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM S-8

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

 

 

TOKAI PHARMACEUTICALS, INC.

(Exact Name of Registrant as Specified in Its Charter)

 

 

 

Delaware 20-1000967

(State or Other Jurisdiction of

Incorporation or Organization)

 

(I.R.S. Employer

Identification No.)

One Broadway, 14th floor

Cambridge, MA

  02142
(Address of Principal Executive Offices)   (Zip Code)

2014 Stock Incentive Plan

(Full Title of the Plan)

Jodie P. Morrison

President and Chief Executive Officer

Tokai Pharmaceuticals, Inc.

One Broadway, 14th floor

Cambridge, MA 02142

(Name and Address of Agent For Service)

(617) 225-4305

(Telephone Number, Including Area Code, of Agent For Service)

 

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b 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 Securities

to be Registered

 

Amount

to be

Registered (1)

 

Proposed

Maximum

Offering Price

Per Share

 

Proposed

Maximum
Aggregate

Offering Price

  Amount of
Registration Fee

Common Stock, $0.001 par value per share

  895,305 shares   $13.90 (2)   $12,444,740 (2)   $1,447

 

 

(1) In accordance with Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”), this registration statement shall be deemed to cover any additional securities that may from time to time be offered or issued to prevent dilution resulting from stock splits, stock dividends or similar transactions.
(2) Estimated solely for the purpose of calculating the registration fee pursuant to Rules 457(c) and 457(h) of the Securities Act and based upon the average of the high and low prices of the Registrant’s Common Stock as reported on the NASDAQ Global Market on March 24, 2015.

 

 

 


EXPLANATORY NOTE

This Registration Statement on Form S-8, relating to the 2014 Stock Incentive Plan (the “2014 Plan”) of Tokai Pharmaceuticals, Inc. (the “Registrant”), is being filed for the purpose of registering additional securities of the same class as other securities for which a Registration Statement on Form S-8 has previously been filed and is effective. Accordingly, this Registration Statement incorporates by reference the contents of the Registration Statement on Form S-8, File No. 333-200413, filed with the Securities and Exchange Commission on November 20, 2014 by the Registrant, relating to the 2014 Plan except for Item 8, Exhibits, with respect to which the Exhibit Index immediately preceding the exhibits attached hereto is incorporated herein by reference.

 

- 1 -


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 Cambridge, Commonwealth of Massachusetts, on this 26th day of March, 2015.

 

TOKAI PHARMACEUTICALS, INC.
By:  

/s/ Jodie P. Morrison

  Jodie P. Morrison
  President and Chief Executive Officer

POWER OF ATTORNEY AND SIGNATURES

We, the undersigned officers and directors of Tokai Pharmaceuticals, Inc., hereby severally constitute and appoint Jodie P. Morrison and Lee H. Kalowski, and each of them singly, our true and lawful attorneys with full power to any of them, and to each of them singly, to sign for us and in our names in the capacities indicated below the Registration Statement on Form S-8 filed herewith and any and all amendments to said Registration Statement, and generally to do all such things in our name and on our behalf in our capacities as officers and directors to enable Tokai Pharmaceuticals, Inc. to comply with the provisions of the Securities Act of 1933, as amended, and all requirements of the Securities and Exchange Commission, hereby ratifying and confirming our signatures as they may be signed by our said attorneys, or any of them, to said registration statement and any and all amendments thereto.

Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated.

 

Signature

  

Title

 

Date

/s/ Jodie P. Morrison

  

President, Chief Executive Officer and Director

(Principal Executive Officer)

  March 26, 2015
Jodie P. Morrison     

/s/ Lee H. Kalowski

  

Chief Financial Officer

(Principal Financial and Accounting Officer)

  March 26, 2015
Lee H. Kalowski     

/s/ Seth L. Harrison

   Chairman of the Board   March 26, 2015
Seth L. Harrison     

/s/ Timothy J. Barberich

   Director   March 26, 2015
Timothy J. Barberich     

/s/ Stephen Buckley Jr.

   Director   March 26, 2015
Stephen Buckley, Jr.     

/s/ David A. Kessler

   Director   March 26, 2015
David A. Kessler     

/s/ Joseph A. Yanchik, III

   Director   March 26, 2015
Joseph A. Yanchik, III     


EXHIBIT INDEX

 

Exhibit
Number

 

Description

  4.1(1)   Restated Certificate of Incorporation of the Registrant
  4.2(2)   Amended and Restated Bylaws of the Registrant
  4.3(3)   Fifth Amended and Restated Investor Rights Agreement, dated as of May 13, 2013, among the Registrant and the other parties thereto
  5.1   Opinion of Wilmer Cutler Pickering Hale and Dorr LLP, counsel to the Registrant
23.1   Consent of PricewaterhouseCoopers LLP, Independent Registered Public Accounting Firm
23.2   Consent of Wilmer Cutler Pickering Hale and Dorr LLP (included in Exhibit 5.1)
24.1   Power of attorney (included on the signature pages of this registration statement)
99.1(4)   2014 Stock Incentive Plan

 

(1) Previously filed with the Securities and Exchange Commission on September 26, 2014 as Exhibit 3.1 to the Registrant’s Current Report on Form 8-K (File No. 001-36620) and incorporated herein by reference.
(2) Previously filed with the Securities and Exchange Commission on September 26, 2014 as Exhibit 3.2 to the Registrant’s Current Report on Form 8-K (File No. 001-36620) and incorporated herein by reference.
(3) Previously filed with the Securities and Exchange Commission on August 11, 2014 as Exhibit 10.1 to the Registrant’s Registration Statement on Form S-1 (File No. 333-198052) and incorporated herein by reference.
(4) Previously filed with the Securities and Exchange Commission on September 2, 2014 as Exhibit 10.5 to the Registrant’s Registration Statement on Form S-1, as amended (File No. 333-198052), and incorporated herein by reference.