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S-8 Filing
Dynavax Technologies (DVAX) S-8Registration of securities for employees
Filed: 6 Aug 20, 4:41pm
As filed with the Securities and Exchange Commission on August 6, 2020
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
UNDER THE SECURITIES ACT OF 1933
DYNAVAX TECHNOLOGIES CORPORATION
(Exact Name of Registrant as Specified in its Charter)
Delaware |
| 33-0728374 (I.R.S. Employer Identification Number) |
Emeryville, CA 94608
(510) 848-5100
(Address, Including Zip Code, and Telephone Number,
Including Area Code, of Registrant’s Principal Executive Offices)
Dynavax Technologies Corporation Amended and Restated 2018 Equity Incentive Plan
(Full Title of the Plan)
Steven N. Gersten
Senior Vice President, General Counsel
Dynavax Technologies Corporation
2100 Powell Street, Suite 900
Emeryville, CA 94608
(510) 848-5100
(Name, Address, Including Zip Code, and Telephone Number,
Including Area Code, of Agent for Service)
Copies to:
Steven M. Przesmicki, Esq. Cooley LLP 4401 Eastgate Mall San Diego, CA 92121 (858) 550-6000 |
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 | ☐ |
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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
Title of Securities to be Registered | Amount to be registered (1) | Proposed maximum offering price per share (2) | Proposed maximum aggregate offering price | Amount of registration fee |
Common Stock, $0.001 par value per share |
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-- Amended and Restated 2018 Equity Incentive Plan | 7,600,000 | $8.475 | $64,410,000 | $8,360.42 |
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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 Common Stock that become issuable under the Dynavax Technologies Corporation Amended and Restated 2018 Equity Incentive Plan by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without receipt of consideration that increases the number of outstanding shares of Common Stock. (2)Estimated solely for the purpose of calculating the registration fee pursuant to Rules 457(c) and 457(h)(1) of the Securities Act. The offering price per share and the aggregate offering price are based on the average of the high ($9.02) and low ($7.93) sales prices for the Common Stock reported by the Nasdaq Capital Market on August 3, 2020.
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EXPLANATORY NOTE
This Registration Statement on Form S-8 is being filed for the purpose of registering an additional 7,600,000 shares of the Registrant’s Common Stock reserved for issuance under the Dynavax Technologies Corporation Amended and Restated 2018 Equity Incentive Plan.
INCORPORATION BY REFERENCE OF CONTENTS OF
REGISTRATION STATEMENT ON FORM S-8
The contents of the Registration Statements on Form S-8 (File Nos 333-225525 and 333-233247), filed with the Securities and Exchange Commission on June 8, 2018 and August 13, 2019 are incorporated by reference herein.
Item 8. Exhibits.
EXHIBITS
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99.1 | Dynavax Technologies Corporation Amended and Restated 2018 Equity Incentive Plan | 10.1 | 10-Q | August 6, 2020 | 001-34207 |
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99.2 | 10.2 | 8-K | June 1, 2018 | 001-34207 |
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99.3 | 10.3 | 8-K | June 1, 2018 | 001-34207 |
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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 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 Emeryville, State of California, on this 6th day of August 2020.
DYNAVAX TECHNOLOGIES CORPORATION | ||
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By: |
| /s/ RYAN SPENCER |
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| Ryan Spencer |
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| Chief Executive Officer (Principal Executive Officer) |
KNOW ALL PERSONS BY THESE PRESENT, that each person whose signature appears below does hereby constitute and appoint Ryan Spencer, Steven N. Gersten and Michael Ostrach, and each of them, with full power of substitution and full power to act without the other, his or her true and lawful attorney-in-fact and agent to act for him or her and in their name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement, and to file this Registration Statement, 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 order to effectuate the same as fully, to all intents and purposes, as they or he might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, 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, as amended, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated.
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| Date |
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/s/ RYAN SPENCER |
| Chief Executive Officer and Director |
| August 6, 2020 |
Ryan Spencer |
| (Principal Executive Officer) |
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/s/ MICHAEL OSTRACH |
| Senior Vice President, Chief Financial Officer and Chief Business Officer |
| August 6, 2020 |
Michael Ostrach |
| (Principal Financial Officer) |
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/s/ JUSTIN BURGESS |
| Controller |
| August 6, 2020 |
Justin Burgess |
| (Principal Accounting Officer) |
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/s/ FRANCIS R. CANO |
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| August 6, 2020 |
Francis R. Cano, Ph.D. |
| Director |
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/s/ JULIE EASTLAND |
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| August 6, 2020 |
Julie Eastland |
| Director |
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/s/ ANDREW A.F. HACK |
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| August 6, 2020 |
Andrew A.F. Hack, M.D., Ph.D. |
| Director |
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/s/ DANIEL L. KISNER |
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| August 6, 2020 |
Daniel L. Kisner, M.D. |
| Director |
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/s/ BRENT MACGREGOR |
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| August 6, 2020 |
Brent MacGregor |
| Director |
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/s/ ARNOLD L. ORONSKY |
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| August 6, 2020 |
Arnold L. Oronsky, Ph.D. |
| Director |
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/s/ PEGGY V. PHILLIPS |
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| August 6, 2020 |
Peggy V. Phillips |
| Director |
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/s/ NATALE S. RICCIARDI |
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| August 6, 2020 |
Natale S. Ricciardi |
| Director |
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