As filed with the Securities and Exchange Commission on June 26, 2019
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
Trovagene, Inc.
(Exact name of registrant as specified in its charter)
Delaware | | 27-2004382 |
(State or other jurisdiction of incorporation or organization) | | (IRS Employer Identification Number) |
11055 Flintkote Avenue
San Diego, CA 92121
(858) 952-7570
(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)
2014 Equity Incentive Plan, as amended
(Full title of the plan)
Thomas H. Adams
Chief Executive Officer
Trovagene, Inc.
11055 Flintkote Avenue
San Diego, CA 92121
(858) 952-7570
(Name, address, including zip code, and telephone number, including area code, of agent for service)
With copies to:
Jeffrey J. Fessler, Esq.
Sheppard, Mullin, Richter & Hampton LLP
30 Rockefeller Plaza, 39th Floor
New York, New York 10112
(212) 653-8700
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act. (Check one):
Large accelerated filer | o | Accelerated filer | o |
Non-accelerated filer | x | Smaller reporting company | x |
| | | |
| | Emerging growth company | o |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. o
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
Offering Price(2) | | Amount of
Registration Fee | |
| | | | | | | | | |
Common Stock, $0.0001 par value per share | | 1,000,000 Shares | | $ | 2.52 | | $ | 2,520,000 | | $ | 306 | |
| | | | | | | | | | | | |
(1) Pursuant to Rule 416(a) of the Securities Act of 1933 (the “Securities Act”), as amended, this Registration Statement shall also cover any additional shares of the Registrant’s common stock that become issuable under the Company’s 2014 Equity Incentive Plan, as amended, pursuant to this Registration Statement by reason of any stock dividend, stock split, recapitalization or any other similar transaction which results in an increase in the number of the Registrant’s outstanding shares of common stock.
(2) For purposes of computing the registration fee only. Pursuant to Rule 457(c) and (h), the Proposed Maximum Offering Price Per Share is based upon the average of the high and low prices for the Registrant’s common stock on The Nasdaq Capital Market on June 25, 2019.
EXPLANATORY NOTE
This Registration Statement registers an additional 1,000,000 shares of the Registrant’s common stock that may be offered and sold under the Trovagene, Inc. 2014 Equity Incentive Plan, as amended (the “Plan”). This Registration Statement relates solely to the registration of additional securities of the same class as other securities for which one or more other registration statements filed on this form relating to the same employee benefit plan are effective. Registrant initially registered 69,444 shares (on a post-reverse stock split basis) of its common stock issuable under the Plan pursuant to a Registration Statement on Form S-8 filed with the Securities and Exchange Commission (the “Commission”) on July 1, 2015 (File No. 333-205424) (the “Initial S-8”). Registrant registered an additional 34,722 shares (on a post-reverse stock split basis) of its common stock issuable under the Plan pursuant to the Registration Statement on Form S-8 filed with the Commission on June 6, 2016 (File No. 333-211846) (the “2016 S-8”). Registrant registered an additional 27,778 shares (on a post-reverse stock split basis) of its common stock issuable under the Plan pursuant to the Registration Statement on Form S-8 filed with the Commission on August 18, 2017 (File No. 333-220060) (the “2017 S-8”). Registrant registered an additional 111,112 shares (on a post-reverse stock split basis) issuable under the Plan pursuant to the Registration Statement on Form S-8 filed with the Commission on July 13, 2018 (File No. 333- 226172) (the “2018 S-8,” and together with the Initial S-8, the 2016 S-8 and the 2017 S-8, the “Prior Registration Statements”).
On June 6, 2019, the Registrant held its 2019 Annual Meeting of Stockholders (the “2019 Annual Meeting”). At the 2019 Annual Meeting, the Registrant’s stockholders voted affirmatively, among other things, to amend the Plan to increase the number of shares of common stock authorized to be issued pursuant to the Plan to 1,243,056 shares (on a post-reverse stock split basis) from 243,056 shares (on a post-reverse stock split basis) of common stock (the “Amendment”).
Pursuant to the Amendment, the total number of shares of the Registrant’s common stock available for grant and issuance under the Plan increased by 1,000,000 shares (on a post-reverse stock split basis). Accordingly, the content of the Prior Registration Statements are incorporated herein by reference pursuant to General Instruction E of Form S-8.
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PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 3. Incorporation of Documents by Reference.
The following documents filed by Trovagene, Inc. (the “Company”) with the Commission are hereby incorporated by reference in this Registration Statement:
1. The Company’s Annual Report on Form 10-K for the year ended December 31, 2018, filed with the SEC on March 6, 2019;
2. The Company’s Quarterly Report on Form 10-Q filed with the SEC on May 7, 2019;
3. The Company’s Current Reports on Form 8-K filed on January 15, 2019; January 23, 2019; January 29, 2019; January 31, 2019; February 12, 2019; February 14, 2019; February 20, 2019; February 28, 2019; March 4, 2019; March 12, 2019; March 13, 2019; April 1, 2019; April 2, 2019; April 5, 2019; April 23, 2019; May 13, 2019; May 23, 2019, May 31, 2019; and June 6, 2019; and
4. The description of the Company’s common stock contained in the registration statement on Form 8-A filed with the SEC on May 23, 2012.
All other reports and documents subsequently filed by the Company pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) (other than Current Reports furnished under Item 2.02 or Item 7.01 of Form 8-K and exhibits furnished on such form that related to such items) on or after the date of this Registration Statement and prior to the filing of a post-effective amendment that indicates that all securities offered have been sold or which deregisters all securities then remaining unsold, are incorporated by reference in this Registration Statement and are a part hereof from the date of filing such reports and documents.
Any statement contained in any document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained herein or in any other subsequently filed document which also is or is deemed to be incorporated by reference herein modifies or supersedes such statement. Any such statement so modified or superseded shall not be deemed, except as so modified or superseded, to constitute a part of this Registration Statement.
EXHIBIT INDEX
* Filed herewith
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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 San Diego, California, on June 26, 2019.
| TROVAGENE, INC. |
| |
| |
| By: | /s/ Thomas H. Adams |
| | Thomas H. Adams |
| | Chief Executive Officer |
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below does hereby constitute and appoint Thomas H. Adams, with full power of substitution, his or her true and lawful attorney-in-fact to act for him or her in any and all capacities, to sign any and all amendments (including post-effective amendments) to this registration statement, and to file each of the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorney-in-fact, 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 order to effectuate the same as fully, to all intents and purposes, as he or she could do in person, hereby ratifying and confirming all that said attorneys-in-fact or substitutes, or any of them, 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 each of the following persons in the capacities and on the dates indicated.
Signature | | Title | | Date |
| | | | |
/s/ Thomas H. Adams | | Chairman and Chief Executive Officer | | June 26, 2019 |
Thomas H. Adams, Ph.D. | | (Principal Executive Officer) | | |
| | | | |
/s/ Brigitte Lindsay | | VP, Finance | | June 26, 2019 |
Brigitte Lindsay | | (Principal Financial and Accounting Officer) | | |
| | | | |
/s/ John Brancaccio | | Director | | June 26, 2019 |
John P. Brancaccio | | | | |
| | | | |
/s/ Gary Jacob | | Director | | June 26, 2019 |
Gary S. Jacob, Ph.D. | | | | |
| | | | |
/s/ Rodney Markin | | Director | | June 26, 2019 |
Rodney S. Markin, M.D., Ph.D. | | | | |
| | | | |
/s/ Athena Countouriotis | | Director | | June 26, 2019 |
Athena Countouriotis, M.D. | | | | |
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