As filed with the Securities and Exchange Commission on March 15, 2018
RegistrationNo. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORMS-8
REGISTRATION STATEMENT
Under
The Securities Act of 1933
Histogenics Corporation
(Exact name of Registrant as specified in its charter)
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| Delaware | | 04-3522315 |
(State or Other Jurisdiction of Incorporation or Organization) | | (IRS Employer Identification No.) |
830 Winter Street, 3rd Floor
Waltham, Massachusetts 02451
(781)547-7900
(Address, including zip code, and telephone number, including area code, of Registrant’s principal executive offices)
2013 Equity Incentive Plan, as amended
2013 Employee Stock Purchase Plan
(Full title of plans)
Jonathan Lieber
Chief Financial Officer
830 Winter Street, 3rd Floor
Waltham, Massachusetts 02451
(Name and address of agent for service)
(781)547-7900
(Telephone number, including area code, of agent for service)
Please send copies of all communications to:
Albert W. Vanderlaan, Esq.
Gunderson Dettmer Stough
Villeneuve Franklin & Hachigian, LLP
One Marina Park Drive, Suite 900
Boston, Massachusetts 02210
Telephone: (617)648-9100
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, anon-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 Rule12b-2 of the Exchange Act.
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| Large accelerated filer | | ☐ | | Accelerated filer | | ☐ |
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| Non-accelerated filer | | ☐ (Do not check if a smaller reporting company) | | Smaller reporting company | | ☒ |
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| | | | Emerging growth company | | ☒ |
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. ☐
CALCULATION OF REGISTRATION FEE
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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, $0.01 par value per share | | | | | | | | |
—2013 Equity Incentive Plan, as amended | | 982,841 | | $2.81 | | $2,761,783.21 | | $343.84 |
—2013 Employee Stock Purchase Plan | | 51,832 | | $2.81 | | $145,647.92 | | $18.13 |
TOTAL | | 1,034,673 | | | | $2,907,431.13 | | $361.98 |
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| (1) | 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 Registrant’s 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 that results in an increase to the number of outstanding shares of Registrant’s Common Stock, as applicable. |
| (2) | Estimated solely for the purpose of calculating the amount of the registration fee pursuant to Rule 457(c) and (h)(1) under the Securities Act. The offering price per share and aggregate offering price for the unissued stock options and shares of Common Stock are based upon the average of the high and low prices of the Registrant’s common stock as reported on The Nasdaq Stock Exchange Global Market on March 8, 2018. |
EXPLANATORY NOTE
Information Required in the Section 10(a) Prospectus
Pursuant to General Instruction E to FormS-8 under the Securities Act, this Registration Statement is filed by Histogenics Corporation (the “Company”) for the purpose of registering additional shares of Common Stock under the Company’s 2013 Equity Incentive Plan, as amended (the “EIP”), and the Company’s 2013 Employee Stock Purchase Plan (the “ESPP”).
The number of shares of Common Stock available for issuance under the EIP is subject to an automatic annual increase on the first day of the Company’s calendar year beginning in 2017 equal to the lesser of (a) 4.0% of the total number of shares of Common Stock outstanding on December 31 of the prior year or, (b) the number determined by the Company’s Board of Directors (the “EIP Evergreen Provision”). Accordingly, the number of shares of Common Stock available for issuance under the EIP was increased by 982,841 shares effective January 1, 2018. This Registration Statement registers the 982,841 additional shares of Common Stock available for issuance under the EIP as a result of the EIP Evergreen Provision.
The number of shares of Common Stock available for issuance under the ESPP is subject to an automatic annual increase on the first day of the Company’s calendar year beginning in 2015 equal to the lowest of (a) 1.0% of the total number of shares of Common Stock then outstanding, (b) 51,832 shares of Common Stock or (c) the number determined by the Company’s Board of Directors (the “ESPP Evergreen Provision”). Accordingly, the number of shares of Common Stock available for issuance under the ESPP was increased by 51,832 shares effective January 1, 2018. This Registration Statement registers the 51,832 additional shares of Common Stock available for issuance under the EIP as a result of the EIP Evergreen Provision.
Of the 3,005,702 shares currently authorized by the EIP, 2,022,861 have already been registered pursuant to the currently effective Registration Statements onForm S-8 (Registration Nos.333-201552,333-210075,333-212358 and333-216743) filed on January 16, 2015, March 3, 2016, June 30, 2016 and March 16, 2017, respectively (collectively, the “Original Registration Statement”). Of the 465,637 shares currently authorized by the ESPP, 413,805 have already been registered pursuant to the Original Registration Statement. The contents of the Original Registration Statement, including any amendments thereto or filings incorporated therein, are incorporated herein by this reference. Any items in the Original Registration Statement not expressly changed hereby shall be as set forth in the Original Registration Statement.
I-1
PART II
Information Required in the Registration Statement
Item 8.Exhibits.
II-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 FormS-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Waltham, Commonwealth of Massachusetts, on this 15th day of March, 2018.
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| HISTOGENICS CORPORATION |
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| /s/ Jonathan Lieber |
| Jonathan Lieber |
| Chief Financial Officer |
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned officers and directors of Histogenics Corporation, a Delaware corporation, do hereby constitute and appoint Adam Gridley and Jonathan Lieber, and each of them, the lawfulattorneys-in-fact and agents with full power and authority to do any and all acts and things and to execute any and all instruments which said attorneys and agents, and any one of them, determine may be necessary or advisable or required to enable said corporation to comply with the Securities Act of 1933, as amended, and any rules or regulations or requirements of the Securities and Exchange Commission in connection with this Registration Statement. Without limiting the generality of the foregoing power and authority, the powers granted include the power and authority to sign the names of the undersigned officers and directors in the capacities indicated below to this Registration Statement, to any and all amendments, bothpre-effective and post-effective, and supplements to this Registration Statement, and to any and all instruments or documents filed as part of or in conjunction with this Registration Statement or amendments or supplements thereof, and each of the undersigned hereby ratifies and confirms that all said attorneys and agents, or any one of them, shall do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed by the following persons on behalf of the Registrant in the capacities and on the dates indicated.
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Signature | | Title | | Date |
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/s/ Adam Gridley Adam Gridley | | Chief Executive Officer, President and Director (Principal Executive Officer) | | March 15, 2018 |
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/s/ Jonathan Lieber Jonathan Lieber | | Chief Financial Officer (Principal Financial and Accounting Officer) | | March 15, 2018 |
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/s/ Garheng Kong, M.D., Ph.D. Garheng Kong, M.D., Ph.D. | | Chairman of the Board | | March 15, 2018 |
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/s/ Joshua Baltzell Joshua Baltzell | | Director | | March 15, 2018 |
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/s/ David Gill David Gill | | Director | | March 15, 2018 |
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/s/ John H. Johnson John H. Johnson | | Director | | March 15, 2018 |
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/s/ Michael Lewis Michael Lewis | | Director | | March 15, 2018 |
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/s/ Kevin Rakin Kevin Rakin | | Director | | March 15, 2018 |
