Delaware
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94-3171943
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(State or Other Jurisdiction of Incorporation)
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(I.R.S. Employer Identification Number)
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Large accelerated filer ☐
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Accelerated filer ☐
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Non-accelerated filer ☐ (Do not check if a smaller reporting company
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Smaller reporting company ☒
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Title of Securities
to be Registered
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Amount to be
Registered
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Proposed Maximum Offering
Price Per Share(2)
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Proposed Maximum
Aggregate Offering
Price(2)
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Amount of
Registration
Fee
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Common Stock, $0.001 par value
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1,071,429 (1)
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$ 1.70
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$ 1,821,430
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$ 183.42
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(1)
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Represents an additional 1,071,429 previously unregistered shares of common stock, par value $0.001 per share (the “Common Stock”), of Discovery Laboratories, Inc. (the “Company”) issuable under the Company’s 2011 Long-Term Incentive Plan (the “2011 Plan”). The 2011 Plan qualifies as an employee benefit plan as defined under Rule 405 of Regulation C. Pursuant to Rule 416 promulgated under the Securities Act of 1933, as amended (the “Securities Act”), this registration statement shall be deemed to cover any additional securities that become issuable under the 2011 Plan by reason of any stock splits, stock dividends or recapitalizations or other similar transactions.
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(2)
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Estimated solely for the purpose of calculating the registration fee pursuant to Rules 457(c) and (h) promulgated under the Securities Act by taking the average of the high and low sales price per share of the Common Stock on The Nasdaq Capital Market on January 26, 2016.
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ITEM 3.
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INCORPORATION OF DOCUMENTS BY REFERENCE.
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(a)
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The Company’s Annual Report on Form 10-K for the year ended December 31, 2014, filed on March 16, 2015;
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(b)
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The Company’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2015, filed on May 11, 2015;
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(c)
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The Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2015, filed on August 10, 2015;
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(d)
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The Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2015, filed on November 5, 2015;
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(e)
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The Company’s Current Reports on Form 8-K filed on January 2, 2015, March 17, 2015 (excluding the matters in Item 2.02 and any information pertaining to such Item in Exhibit 99.1 therein, which are not incorporated by reference herein), March 31, 2015, April 16, 2015, May 8, 2015 (excluding the matters in Item 2.02 and any information pertaining to such Item in Exhibit 99.1 therein, which are not incorporated by reference herein), May 15, 2015, June 9, 2015, July 1, 2015, July 9, 2015, July 17, 2015, July 24, 2015, August 10, 2015 (excluding the matters in Item 2.02 and any information pertaining to such Item in Exhibit 99.1 therein, which are not incorporated by reference herein), November 5, 2015 (excluding the matters in Item 2.02 and any information pertaining to such Item in Exhibit 99.1 therein, which are not incorporated by reference herein), November 12, 2015 (excluding the matters in Item 7.01 and any information pertaining to such Item in Exhibit 99.1 therein, which are not incorporated by reference herein); December 29, 2015; and January 21, 2016;
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(f)
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The Company’s Definitive Proxy Statement filed with the Commission on April 29, 2015, including any amendments or supplements filed for the purpose of updating same;
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(g)
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The Company’s Definitive Proxy Statement filed with the Commission on December 14, 2015, including any amendments, supplements or revision filed for the purpose of updating same; and
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(h)
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The description of the Company’s Common Stock contained in the Company’s registration statement on Form 8-A filed with the SEC on July 13, 1995 and February 6, 2004.
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ITEM 8.
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EXHIBITS
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Exhibit No.
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Description
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Method of Filing
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Opinion of Dentons US LLP, legal counsel.*
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Filed herewith.
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23.1
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Consent of Dentons US LLP (included in Exhibit 5.1)
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Filed herewith.
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Consent of Ernst & Young LLP, independent registered public accounting firm.
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Filed herewith.
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24.1
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Powers of Attorney (included on signature page to this registration statement).
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Filed herewith.
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DISCOVERY LABORATORIES, INC.
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(Registrant)
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By:
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/s/ John G. Cooper
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John G. Cooper
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President and Chief Executive Officer
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Signature
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Name and Title
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Date
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John G. Cooper
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President, Chief Executive Officer
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and Director
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/s/ John G. Cooper
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(Principal Executive Officer)
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January 27, 2016
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John A. Tattory
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Senior Vice President and Chief Financial Officer
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(Principal Financial Officer and
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/s/ John A. Tattory
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Principal Accounting Officer)
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January 27, 2016
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John R. Leone
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/s/ John R. Leone
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Chairman of the Board of Directors
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January 27, 2016
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Joseph M. Mahady
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/s/ Joseph M. Mahady
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Director
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January 27, 2016
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Bruce A. Peacock
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/s/ Bruce A. Peacock
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Director
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January 27, 2016
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Marvin E. Rosenthale, Ph.D.
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/s/ Marvin E. Rosenthale
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Director
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January 27, 2016
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![]() |
Dentons US LLP
1221 Avenue of the Americas
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T+1 212 768 6700
F+1 212 768 6800
Salans FMC SNR Denton
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New York, New York 10020
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dentons.com
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Re:
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Discovery Laboratories, Inc. -- Registration Statement on Form S-8
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(a)
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the Registration Statement;
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(b)
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the Restated Certificate of Incorporation of the Company, as amended and restated to date;
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(c)
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the Amended and Restated Bylaws of the Company, as amended to date;
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(d)
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corporate proceedings of the Company relating to its proposed issuance of the Shares;
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(e)
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the Plan; and
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(f)
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such other instruments and documents as we have deemed relevant or necessary in connection with our opinion set forth herein.
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![]() |
Discovery Laboratories, Inc.
January 27, 2016
Page 2
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Salans FMC SNR Denton
dentons.com
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Very truly yours,
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/s/ Dentons US LLP
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