As filed with the Securities and Exchange Commission on March 28, 2019
RegistrationNo. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORMS-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
UNUM THERAPEUTICS INC.
(Exact Name of Registrant as Specified in Its Charter)
Delaware | 46-5308248 | |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification Number) |
200 Cambridge Park Drive, Suite 3100
Cambridge, MA 02140
(617)945-5576
(Address of Principal Executive Offices) (Zip Code)
Unum Therapeutics Inc. 2018 Stock Option and Incentive Plan
Unum Therapeutics Inc. 2018 Employee Stock Purchase Plan
(Full Title of the Plans)
Charles Wilson
Chief Executive Officer and President
Unum Therapeutics Inc.
200 Cambridge Park Drive, Suite 3100
Cambridge, Massachusetts 02140
(617) 945-5576
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
Kingsley L. Taft, Esq.
Danielle M. Lauzon, Esq.
Goodwin Procter LLP
100 Northern Avenue
Boston, Massachusetts 02210
(617)570-1000
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.
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. ☒
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 | Proposed Maximum Aggregate Offering Price | Amount of Registration Fee | ||||
Common Stock, par value $0.001 per share | 1,202,319(2) | $4.13(4) | $4,695,576.64 | $601.83 | ||||
Common Stock, par value $0.001 per share | 300,580(3) | $3.51(5) | $1,055,185.04 | $127.89 | ||||
Total | 1,502,899 | $6,020,761.68 | $729.72 | |||||
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(1) | Pursuant to Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement shall also cover any additional shares of common stock which become issuable under the above-named plans by reason of any stock dividend, stock split, recapitalization or any other similar transaction effected without the receipt of consideration which results in an increase in the number of our outstanding shares of common stock. Pursuant to Rule 416(c) under the Securities Act, this Registration Statement shall also cover an indeterminate amount of interests to be offered or sold pursuant to the employee benefit plans described herein. |
(2) | Represents an automatic increase to the number of shares available for issuance under the Registrant’s 2018 Stock Option and Incentive Plan (the “2018 Plan”), in accordance with the automatic annual increase provision of the 2018 Plan, effective as of January 1, 2019. Shares available for issuance under the 2018 Plan were previously registered onForm S-8 filed with the Securities and Exchange Commission on April 4, 2018(Registration No. 333-224137). |
(3) | Represents an automatic increase to the number of shares available for issuance under the Registrant’s 2018 Employee Stock Purchase Plan (the “2018 ESPP”), in accordance with the automatic annual increase provision of the 2018 ESPP, effective as of January 1, 2019. Shares available for issuance under the 2018 ESPP were previously registered onForm S-8 filed with the Securities and Exchange Commission on April 4, 2018(Registration No. 333-224137). |
(4) | The price of $4.13 per share, which is the average of the high and low sale prices of the Common Stock of the Registrant as quoted on the Nasdaq Global Select Market on March 26, 2019, is set forth solely for purposes of calculating the registration fee pursuant to Rules 457(c) and (h) of the Securities Act of 1933, as amended, and has been used as these shares are without a fixed price. |
(5) | Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457 of the Securities Act, and based on 85% of $4.13, which is the average of the high and low sale prices of the Common Stock of the Registrant as quoted on the Nasdaq Global Select Market on March 26, 2019. Pursuant to the 2018 ESPP, the purchase price of the shares of common stock reserved for issuance thereunder will be 85% of the fair market value of a share of common stock on the first trading day of the offering period or on the exercise date, whichever is less. |
EXPLANATORY NOTE
This Registration Statement on FormS-8 relating to the 2018 Stock Option and Incentive Plan (the “Plan”) and the 2018 Employee Stock Purchase Plan (the “ESPP”) of Unum Therapeutics Inc. (the “Registrant”) registers additional securities of the same class as other securities for which a registration statement filed on FormS-8 (SEC File No. 333-224137) of the Registrant is effective. Accordingly, the information contained in the Registrant’s Registration Statement on FormS-8 (SEC File No. 333-224137) is hereby incorporated by reference pursuant to General Instruction E, except for “Item 8. Exhibits” with respect to which the Exhibit Index is incorporated herein by reference.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 8. | 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 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 Boston, Commonwealth of Massachusetts, on this 28th of March, 2019.
UNUM THERAPEUTICS INC. | ||
By: | /s/ Charles Wilson | |
Charles Wilson, Ph.D. Chief Executive Officer and President |
POWER OF ATTORNEY AND SIGNATURES
KNOW ALL BY THESE PRESENT, that each individual whose signature appears below hereby constitutes and appoints Charles Wilson as such person’s true and lawfulattorney-in-fact and agent with full power of substitution and resubstitution, for such person in such person’s name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement on FormS-8, and to file the same, with all exhibits thereto, and all documents in connection therewith, with the Securities and Exchange Commission granting unto each saidattorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as such person might or could do in person, hereby ratifying and confirming all that any saidattorney-in-fact and agent, or any substitute or substitutes of 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 the following persons in the capacities indicated on March 28, 2019:
Signature | Title(s) | |
/s/ Charles Wilson | Chief Executive Officer, President and Director (Principal Executive Officer) | |
Charles Wilson, Ph.D. | ||
/s/ John Green | Vice President of Finance and Controller (Principal Financial and Accounting Officer) | |
John Green | ||
/s/ Bruce Booth | Director | |
Bruce Booth, DPhil. | ||
/s/ Jörn Aldag | Director | |
Jörn Aldag | ||
/s/ Karen Ferrante | Director | |
Karen Ferrante, M.D. | ||
/s/ Robert J. Perez | Director | |
Robert J. Perez | ||
/s/ Liam Ratcliffe | Director | |
Liam Ratcliffe, M.D., Ph.D. |