As filed with the Securities and Exchange Commission on February 26, 2010
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
Genoptix, Inc.
(Exact name of registrant as specified in its charter)
| Delaware | 33-0840570 | |||
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
1811 Aston Avenue
Carlsbad, California 92008
Tel: (858) 268-6200
(Address of Principal Executive Offices including zip code)
2007 Equity Incentive Plan
2007 Employee Stock Purchase Plan
2007 Non-Employee Directors’ Stock Option Plan
(Full titles of the plans)
Tina S. Nova, Ph.D.
President and Chief Executive Officer
Genoptix, Inc.
1811 Aston Avenue
Carlsbad, California 92008
Tel: (858) 268-6200
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
Christian V. Kuhlen, M.D., Esq. Vice President, General Counsel and Corporate Secretary GENOPTIX, INC. 1811 Aston Avenue Carlsbad, California 92008 Tel: (858) 268-6200 | Frederick T. Muto, Esq. J. Patrick Loofbourrow, Esq. COOLEY GODWARD KRONISHLLP 4401 Eastgate Mall San Diego, California 92121 Tel: (858) 550-6000 |
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-2 of the Exchange Act.
| Large accelerated filer | ¨ | Accelerated filer | x | |||
| Non-accelerated filer | ¨ (Do not check if 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(2) | Proposed maximum aggregate | Amount of registration fee | ||||
2007 Equity Incentive Plan Common Stock (par value $0.001) | 518,274 shares(3) | $32.06 | $16,615,864.44 | $1,184.71 | ||||
2007 Employee Stock Purchase Plan Common Stock (par value $0.001) | 172,758 shares(4) | $32.06 | $5,538,621.48 | $394.90 | ||||
2007 Non-Employee Directors’ Stock Option Plan Common Stock (par value $0.001) | 38,125 shares(5) | $32.06 | $1,222,287.50 | $87.15 | ||||
| (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 Registrant’s Common Stock (the“Common Stock”) that become issuable under the plans by reason of any stock dividend, stock split, recapitalization or other similar transaction. |
| (2) | Estimated solely for the purpose of calculating the amount of the registration fee pursuant to Rule 457(c) and Rule 457(h)(1) under the Securities Act. The price per share and aggregate offering price are based upon the average of the high and low prices of the Common Stock on February 23, 2010, as reported on The Nasdaq Global Select Market. |
| (3) | Represents shares of Common Stock that were automatically added to the shares authorized for issuance under the Genoptix, Inc. 2007 Equity Incentive Plan (the “2007 EIP”) on January 1, 2010 pursuant to an “evergreen” provision contained in the 2007 EIP. Pursuant to such provision, on January 1st of each year commencing in 2008 and ending on (and including) January 1, 2017, the number of shares authorized for issuance under the 2007 EIP is automatically increased by a number equal to the lesser of (i) 3% of the aggregate number of shares of Common Stock outstanding on December 31 of the preceding year, (ii) 750,000 shares of Common Stock or (iii) a lesser number of shares of Common Stock that may be determined each year by the Registrant’s Board of Directors. |
| (4) | Represents shares of Common Stock that were automatically added to the shares authorized for issuance under the Genoptix, Inc. 2007 Employee Stock Purchase Plan (the “2007 ESPP”) on January 1, 2010 pursuant to an “evergreen” provision contained in the 2007 ESPP. Pursuant to such provision, on January 1st of each year commencing in 2008 and ending on (and including) January 1, 2017, the number of shares authorized for issuance under the 2007 ESPP is automatically increased by a number equal to the lesser of (i) 1% of the aggregate number of shares of Common Stock outstanding on December 31 of the preceding year, (ii) 250,000 shares of Common Stock, or (iii) a lesser number of shares of Common Stock that may be determined each year by the Registrant’s Board of Directors. |
| (5) | Represents shares of Common Stock that were automatically added to the shares authorized for issuance under the Genoptix, Inc. 2007 Non-Employee Directors’ Stock Option Plan (the “2007 NEDSOP”) on January 1, 2010 pursuant to an “evergreen” provision contained in the 2007 NEDSOP. Pursuant to such provision, on January 1st of each year commencing in 2008 and ending on (and including) January 1, 2017, the number of shares authorized for issuance under the 2007 NEDSOP is automatically increased by a number equal to (i) the aggregate number of shares of Common Stock subject to options granted as initial grants and annual grants under the 2007 NEDSOP during the immediately preceding year, or (ii) a lesser number of shares of Common Stock that may be determined each year by the Registrant’s Board of Directors. |
INCORPORATION BY REFERENCE OF CONTENTS OF
REGISTRATION STATEMENTS ON FORM S-8 NOS. 333-147021, 333-151892 AND 333-157601
This Registration Statement is being filed for the purpose of increasing the number of securities of the same class as other securities for which a Registration Statement on Form S-8 relating to the same benefit plans is effective. The Registrant previously registered shares of its Common Stock for issuance under the 2007 EIP, the 2007 ESPP and the 2007 NEDSOP under Registration Statements on Form S-8 filed with the Securities and Exchange Commission on October 30, 2007 (File No. 333-147021), June 24, 2008 (File No. 333-151892) and February 27, 2009 (File No. 333-157601). Pursuant to General Instruction E to Form S-8, this Registration Statement hereby incorporates by reference the contents of the Registration Statements referenced above.
Item 8. Exhibits
Exhibit Number | Description of Document | |
| 3.1(1) | Amended and Restated Certificate of Incorporation of the Registrant. | |
| 3.2(4) | Amended and Restated Bylaws of the Registrant. | |
| 4.1 | Reference is made to Exhibits 3.1 and 3.2. | |
| 4.2(2) | Form of the Registrant’s Common Stock Certificate. | |
| 5.1 | Opinion of Cooley Godward KronishLLP. | |
| 23.1 | Consent of Ernst & Young LLP, independent registered public accounting firm. | |
| 23.2 | Consent of Cooley Godward KronishLLP. Reference is made to Exhibit 5.1. | |
| 24.1 | Power of Attorney. Reference is made to the signature page hereto. | |
| 99.1(2) | 2007 Equity Incentive Plan and Form of Stock Option Agreement, Form of Stock Option Grant Notice and Notice of Exercise thereunder. | |
| 99.2(2) | 2007 Employee Stock Purchase Plan and Form of Offering Document thereunder. | |
| 99.3(3) | 2007 Non-Employee Directors’ Stock Option Plan, as amended. | |
| 99.4(5) | Form of Stock Option Agreement and Form of Initial and Annual Stock Option Grant Notice under 2007 Non-Employee Directors’ Stock Option Plan. | |
| 99.5(5) | Form of Restricted Stock Unit Award Agreement for Non-Executives and Form of Restricted Stock Unit Award Grant Notice for Non-Executives. | |
| 99.6(6) | Form of Restricted Stock Unit Award Agreement for Directors and Form of Restricted Stock Unit Award Grant Notice for Directors. | |
| 99.7(7) | Form of Restricted Stock Unit Award Agreement for Executives and Form of Restricted Stock Unit Award Grant Notice for Executives. | |
| (1) | Filed as an exhibit to the Registrant’s Current Report on Form 8-K, filed with the Commission on November 2, 2007, and incorporated herein by reference. |
| (2) | Filed as an exhibit to Amendment No. 2 to the Registrant’s Registration Statement on Form S-1 (File No. 333-144997), filed with the Commission on October 9, 2007, and incorporated herein by reference. |
| (3) | Filed as an exhibit to the Registrant’s Current Report on Form 8-K, filed with the Commission on May 13, 2008, and incorporated herein by reference. |
| (4) | Filed as an exhibit to the Registrant’s Current Report on Form 8-K, filed with the Commission on January 8, 2009, and incorporated herein by reference. |
| (5) | Filed as an exhibit to the Registrant’s Annual Report on Form 10-K, filed with the Commission on February 26, 2009, and incorporated herein by reference. |
| (6) | Filed as an exhibit to the Registrant’s Quarterly Report on Form 10-Q, filed with the Commission on July 30, 2009, and incorporated herein by reference. |
| (7) | Filed as an exhibit to the Registrant’s Current Report on Form 8-K, filed with the Commission on December 22, 2009, and incorporated herein by reference. |
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, 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 Carlsbad, State of California, on February 26, 2010.
| Genoptix, Inc. | ||
| By: | /s/ Douglas A. Schuling | |
| Douglas A. Schuling | ||
| Executive Vice President and Chief Financial Officer | ||
| (Principal Financial and Accounting Officer) | ||
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Tina S. Nova, Ph.D. and Douglas A. Schuling, and each of them, his true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for him and in his name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them, 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 to all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or either of them, or their or his substitutes or substitute, may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated.
Signature | Title | Date | ||
/s/ Tina S. Nova Tina S. Nova, Ph.D. | President, Chief Executive Officer and Member of the Board of Directors(Principal Executive Officer) | February 26, 2010 | ||
/s/ Douglas A. Schuling Douglas A. Schuling | Executive Vice President and Chief Financial Officer(Principal Financial and Accounting Officer) | February 26, 2010 | ||
/s/ Andrew E. Senyei Andrew E. Senyei, M.D. | Chairman of the Board of Directors | February 26, 2010 | ||
/s/ Timothy M. Buono Timothy M. Buono | Member of the Board of Directors | February 26, 2010 | ||
/s/ Robert E. Curry Robert E. Curry, Ph.D. | Member of the Board of Directors | February 26, 2010 | ||
/s/ Michael A. Henos Michael A. Henos | Member of the Board of Directors | February 26, 2010 | ||
/s/ Karin Eastham Karin Eastham | Member of the Board of Directors | February 26, 2010 | ||
/s/ Laurence R. McCarthy Laurence R. McCarthy, Ph.D. | Member of the Board of Directors | February 26, 2010 | ||
/s/ Christine A. White Christine A. White, M.D. | Member of the Board of Directors | February 26, 2010 | ||
EXHIBIT INDEX
Exhibit Number | Description of Document | |
| 3.1(1) | Amended and Restated Certificate of Incorporation of the Registrant. | |
| 3.2(4) | Amended and Restated Bylaws of the Registrant. | |
| 4.1 | Reference is made to Exhibits 3.1 and 3.2. | |
| 4.2(2) | Form of the Registrant’s Common Stock Certificate. | |
| 5.1 | Opinion of Cooley Godward KronishLLP. | |
| 23.1 | Consent of Ernst & Young LLP, independent registered public accounting firm. | |
| 23.2 | Consent of Cooley Godward KronishLLP. Reference is made to Exhibit 5.1. | |
| 24.1 | Power of Attorney. Reference is made to the signature page hereto. | |
| 99.1(2) | 2007 Equity Incentive Plan and Form of Stock Option Agreement, Form of Stock Option Grant Notice and Notice of Exercise thereunder. | |
| 99.2(2) | 2007 Employee Stock Purchase Plan and Form of Offering Document thereunder. | |
| 99.3(3) | 2007 Non- Employee Directors’ Stock Option Plan, as amended. | |
| 99.4(5) | Form of Stock Option Agreement and Form of Initial and Annual Stock Option Grant Notice under 2007 Non-Employee Directors’ Stock Option Plan. | |
| 99.5(5) | Form of Restricted Stock Unit Award Agreement for Non-Executives and Form of Restricted Stock Unit Award Grant Notice for Non-Executives. | |
| 99.6(6) | Form of Restricted Stock Unit Award Agreement for Directors and Form of Restricted Stock Unit Award Grant Notice for Directors. | |
| 99.7(7) | Form of Restricted Stock Unit Award Agreement for Executives and Form of Restricted Stock Unit Award Grant Notice for Executives. | |
| (1) | Filed as an exhibit to the Registrant’s Current Report on Form 8-K, filed with the Commission on November 2, 2007, and incorporated herein by reference. |
| (2) | Filed as an exhibit to Amendment No. 2 to the Registrant’s Registration Statement on Form S-1 (File No. 333-144997), filed with the Commission on October 9, 2007, and incorporated herein by reference. |
| (3) | Filed as an exhibit to the Registrant’s Current Report on Form 8-K, filed with the Commission on May 13, 2008, and incorporated herein by reference. |
| (4) | Filed as an exhibit to the Registrant’s Current Report on Form 8-K, filed with the Commission on January 8, 2009, and incorporated herein by reference. |
| (5) | Filed as an exhibit to the Registrant’s Annual Report on Form 10-K, filed with the Commission on February 26, 2009, and incorporated herein by reference. |
| (6) | Filed as an exhibit to the Registrant’s Quarterly Report on Form 10-Q, filed with the Commission on July 30, 2009, and incorporated herein by reference. |
| (7) | Filed as an exhibit to the Registrant’s Current Report on Form 8-K, filed with the Commission on December 22, 2009, and incorporated herein by reference. |
