As filed with the Securities and Exchange Commission on December 15, 2023
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
NeuroOne Medical Technologies Corporation
(Exact name of registrant as specified in its charter)
| Delaware | | 27-0863354 |
(State or other jurisdiction of
incorporation or organization) | | (I.R.S. Employer
Identification Number.) |
7599 Anagram Dr.,
Eden Prairie, MN | | 55344 |
| (Address of principal executive offices) | | (Zip code) |
NeuroOne Medical Technologies Corporation 2021 Inducement Plan
(Full title of the plan)
David Rosa
President and Chief Executive Officer
NeuroOne Medical Technologies Corporation
7599 Anagram Dr.,
Eden Prairie, MN 55344
952-426-1383
(Name, address, and telephone number, including area code, of agent for service)
Copy to:
Phillip D. Torrence, Esq.
Emily Johns, Esq.
Honigman LLP
650 Trade Centre Way, Suite 200
Kalamazoo, Michigan 49002-0402
(269) 337-7700
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.
| Large accelerated filer ☐ | Accelerated filer ☐ |
| Non-accelerated filer ☒ | Smaller reporting company ☒ |
| | 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. ☐
EXPLANATORY NOTE
This Registration Statement on Form S-8 is being filed by NeuroOne Medical Technologies Corporation, a Delaware corporation. (the “Company” or “Registrant”) for the purpose of registering an additional 150,000 shares of the Registrant’s common stock, $0.001 par value (the “Common Stock”) issuable pursuant to the Registrant’s 2021 Inducement Plan (the “Inducement Plan”).
Pursuant to General Instruction E to Form S-8, 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 of the Company on Form S-8 relating to the Inducement Plan is effective, and the Company’s Registration Statements on Form S-8 previously filed with the Securities and Exchange Commission (the “Commission”) on November 23, 2021 (File No. 333-261302) registering shares of Common Stock issuable under the Inducement Plan are incorporated by reference in this Registration Statement.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 3. Incorporation of Documents by Reference.
The following documents filed with the Commission by the Registrant are hereby incorporated by reference in this Registration Statement:
| (a) | our Annual Report on Form 10-K for the year ended September 30, 2023 filed with the Commission on December 15, 2023; |
| (c) | the description of our Common Stock in our registration statement on Form 8-A filed with the SEC on May 25, 2021 and as amended by any subsequent amendment or report filed for the purpose of updating such description. |
In addition, all documents the Registrant subsequently files pursuant to Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act after the filing of this Registration Statement and prior to the filing of a post-effective amendment which indicates that all securities offered hereby have been sold or which deregisters all securities covered hereby then remaining unsold are incorporated by reference in this Registration Statement and are a part hereof from the date of filing of such documents. Notwithstanding anything herein, the Registrant is not incorporating by reference any information furnished under Item 2.02 or Item 7.01 of any Current Report on Form 8-K, unless, and to the extent, specified in any such Current Report on Form 8-K.
Any statement herein or contained in a 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 subsequently filed document, which also is or is deemed to be incorporated by reference herein, modifies or supersedes such prior statement. Any such statement so modified or superseded shall not be deemed, except as so modified or superseded, to constitute part of this Registration Statement.
Item 8. Exhibits.
EXHIBIT INDEX
The following exhibits are filed as part of this registration statement.
INDEX TO EXHIBITS
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 Eden Prairie, State of Minnesota, on December 15, 2023.
| | NeuroOne Medical Technologies Corporation |
| | By: | /s/ David Rosa |
| | | David Rosa |
| | | President and Chief Executive Officer |
POWER OF ATTORNEY
Each person whose signature appears below constitutes and appoints David Rosa and Ronald McClurg, or either of them, as his true and lawful attorneys-in-fact and agents, with the full power of substitution and resubstitution, for him and in his name, place or stead, in any and all capacities, to sign any and all amendments to this Registration Statement (including post-effective amendments), 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 any of them, or their or his 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 on Form S-8 has been signed by the following persons in the capacities and on the dates indicated.
| Signature | | Title | | Date |
| | | | | |
| /s/ David Rosa | | President and Chief Executive Officer | | December 15, 2023 |
| David Rosa | | (Principal Executive Officer) and a Director | | |
| | | | | |
| /s/ Ronald McClurg | | Chief Financial Officer (Principal Financial | | December 15, 2023 |
| Ronald McClurg | | Officer and Principal Accounting Officer) | | |
| | | | | |
| /s/ Paul Buckman | | Director | | December 15, 2023 |
| Paul Buckman | | | | |
| | | | | |
| /s/ Jeffrey Mathiesen | | Director | | December 15, 2023 |
| Jeffrey Mathiesen | | | | |
| | | | | |
| /s/ Edward Andrle | | Director | | December 15, 2023 |
| Edward Andrle | | | | |
II-3
