As filed with the Securities and Exchange Commission on May 10, 2018
RegistrationNo. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORMS-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
ContraFect Corporation
(Exact name of Registrant as specified in its charter)
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| Delaware | | 39-2072586 |
(State or other jurisdiction of Incorporation or organization) | | (I.R.S. Employer Identification No.) |
28 Wells Avenue, Third Floor
Yonkers, New York 10701
(914)207-2300
(Address of principal executive offices) (Zip code)
ContraFect Corporation 2014 Omnibus Incentive Plan
(Full title of the plans)
Natalie Bogdanos, Esq.
General Counsel and Corporate Secretary
ContraFect Corporation
28 Wells Avenue, Third Floor
Yonkers, New York 10701
(914)207-2300
(Name and address of agent for service) (Telephone number, including area code, of agent for service)
With copies to:
Peter N. Handrinos, Esq.
Latham & Watkins LLP
John Hancock Tower
200 Clarendon Street
Boston, MA 02116
(617)948-6060
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, anon-accelerated filer, 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 comply with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of Securities Act. ☒
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, par value $0.0001 per share | | 2,946,240(2) | | $1.53(3) | | $4,507,747.20 | | $562 |
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| (1) | In accordance with Rule 416 under the Securities Act of 1933, as amended, 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) | Consists of an additional 2,946,240 shares issuable under the ContraFect Corporation 2014 Omnibus Incentive Plan (the “2014 Plan”) pursuant to the terms of such plan. |
| (3) | Estimated solely for the purpose of calculating the registration fee pursuant to Rules 457(c) and 457(h) of the Securities Act of 1933, as amended, and based upon the average of the high and low prices of the ContraFect Corporation’s (the “Registrant”) common stock as reported on The Nasdaq Capital Market on May 3, 2018. |
EXPLANATORY NOTE
This Registration Statement onForm S-8 is being filed for the purpose of registering an additional 2,946,240 shares of the Registrant’s common stock to be issued pursuant to the 2014 Plan and for which a Registration Statement of the Registrant onForm S-8 relating to the same employee benefit plan is effective.
INCORPORATION BY REFERENCE OF CONTENTS OF REGISTRATION STATEMENTS ONFORM S-8
The contents of the Registration Statements on FormS-8 (File Nos. 333-199046 and 333-217943), filed with the Securities and Exchange Commission, relating to the 2014 Plan, are incorporated herein by reference.
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Exhibit Number | | Description |
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| 4.1 | | Amended and Restated Certificate of Incorporation of the Registrant, dated August 1, 2014, as amended by the Certificate of Amendment, dated May 9, 2016 and Certificate of Amendment, dated May 2, 2017 (incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form8-K (File No. 001-36577) filed on May 3, 2017) |
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| 4.2 | | Amended and Restated Bylaws of the Registrant (incorporated by reference to Exhibit 3.2 to the Registrant’s Current Report on Form8-K (File No. 001-36577) filed on May 10, 2016) |
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| 5.1* | | Opinion of Latham & Watkins LLP |
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| 23.1* | | Consent of Ernst & Young LLP, Independent Registered Public Accounting Firm |
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| 23.2* | | Consent of Latham & Watkins LLP (included in Exhibit 5.1) |
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| 24.1* | | Power of Attorney (included on signature page) |
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| 99.1 | | ContraFect Corporation 2014 Omnibus Incentive Plan (incorporated by reference to Exhibit 99.1 to the Registrant’s Registration Statement on Form S-8 (Reg. No. 333-217943) filed on May 12, 2017) |
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| 99.2 | | ContraFect Corporation 2014 Omnibus Incentive Plan Form of Stock Option Grant Notice, Option Agreement and Notice of Exercise (incorporated by reference to Exhibit 99.3 to the Registrant’s Registration Statement on Form S-8 (Reg. No. 333-199046) filed on September 30, 2014) |
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 onForm 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 Yonkers, State of New York, on May 10, 2018.
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| CONTRAFECT CORPORATION |
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| By: | | /s/ Steven C. Gilman, Ph.D. |
| | Steven C. Gilman, Ph.D. |
| | Chief Executive Officer, President and Chairman of the Board |
POWER OF ATTORNEY
Each person whose signature appears below hereby constitutes and appoints Steven C. Gilman, Michael Messinger and Natalie Bogdanos, or each of them singly, with full power to act without the other, such person’s true and lawfulattorneys-in-fact and agents, with full power of substitution and re-substitution, for him or her and in his or her name, place and stead, in any and all capacities, to sign this registration statement and any and all amendments, including post-effective amendments to this registration statement, and to file the same, with exhibits and schedules thereto, and other documents in connection therewith, with the Securities and Exchange Commission, granting unto saidattorneys-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 or desirable 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 saidattorneys-in-fact and agents, or any of them, or their or his or her substitute or substitutes 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.
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Signature | | Title | | Date |
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/s/ Steven C. Gilman, Ph.D. Steven C. Gilman, Ph.D. | | Chief Executive Officer, President and Chairman of the Board (Principal Executive Officer) | | May 10, 2018 |
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/s/ Michael Messinger Michael Messinger | | Senior Vice President, Finance (Principal Financial Officer and Principal Accounting Officer) | | May 10, 2018 |
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/s/ Sol J. Barer, Ph.D. Sol J. Barer, Ph.D. | | Lead Independent Director | | May 10, 2018 |
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/s/ Isaac Blech Isaac Blech | | Director | | May 10, 2018 |
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/s/ David N. Low, Jr. David N. Low, Jr. | | Director | | May 10, 2018 |
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/s/ Michael J. Otto, Ph.D. Michael J. Otto, Ph.D. | | Director | | May 10, 2018 |
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/s/ Roger J. Pomerantz, M.D., F.A.C.P. Roger J. Pomerantz, M.D., F.A.C.P. | | Vice Chairman of the Board | | May 10, 2018 |
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/s/ Cary W. Sucoff Cary W. Sucoff | | Director | | May 10, 2018 |
