As filed with the U.S. Securities and Exchange Commission on December 20, 2019
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORMS-3
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
OOMA, INC.
(Exact name of Registrant as specified in its charter)
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Delaware | | 06-1713274 |
(State or other jurisdiction of incorporation or organization) | | (I.R.S. Employer Identification Number) |
525 Almanor Ave, Suite 200
Sunnyvale, CA 94085
(650)566-6600
(Address, including zip code, and telephone number, including area code, of Registrant’s principal executive offices)
Eric B. Stang
President and Chief Executive Officer
Ooma, Inc.
525 Almanor Ave, Suite 200
Sunnyvale, CA 94085
(650)566-6600
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
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Jenny C. Yeh Vice President and General Counsel Ooma, Inc. 525 Almanor Ave, Suite 200 Sunnyvale, CA 94085 Telephone: (650)566-6600 | | Andrew D. Thorpe Orrick, Herrington & Sutcliffe LLP The Orrick Building 405 Howard Street San Francisco, CA 94105 Telephone: (415)773-5700 Facsimile: (415)773-5759 |
Approximate date of commencement of proposed sale to the public: As soon as practicable after the effective date of this Registration Statement.
If the only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans, please check the following box. ☐
If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, other than securities offered only in connection with dividend or interest reinvestment plans, check the following box. ☒
If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐
If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐
If the Form is a registration statement pursuant to General Instruction I.D. or a post-effective amendment thereto that shall become effective upon filing with the Commission pursuant to Rule 462(e) under the Securities Act, check the following box. ☐
If this Form is a post-effective amendment to a registration statement filed pursuant to General Instruction I.D. filed to register additional securities or additional classes of securities pursuant to Rule 413(b) under the Securities Act, check the following box. ☐
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” inRule 12b-2 of the Exchange Act.
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Large accelerated filer | | ☐ | | Accelerated filer | | ☒ |
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Non-accelerated filer | | ☐ | | 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 Securities Act. ☒
CALCULATION OF REGISTRATION FEE
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Title of each class of securities to be registered | | Amount to be registered (1) | | Proposed maximum offering price per unit (1) (2) | | Proposed aggregate maximum offering price (1) (2) | | Amount of registration fee |
Common Stock, par value $0.0001 per share | | — | | — | | — | | — |
Preferred Stock, par value $0.0001 per share | | — | | — | | — | | — |
Warrants | | — | | — | | — | | — |
Debt Securities | | — | | — | | — | | — |
Rights | | — | | — | | — | | — |
Units | | — | | — | | — | | — |
Total Registration Fee | | | | | | $100,000,000 (3) | | $12,980.00 (4) |
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(1) | An indeterminate amount of securities to be offered at indeterminate prices is being registered pursuant to this registration statement, with an aggregate initial offering price not to exceed $100,000,000. If any debt securities are issued at an original issue discount, then the issue price, and not the principal amount of such debt securities, shall be used for purposes of calculating the aggregate initial offering price of all securities issued. The securities registered also include such indeterminate amounts and numbers of shares of common stock and preferred stock and debt securities as may be issued upon conversion of, or exchange for, preferred stock or debt securities that provide for conversion or exchange, upon exercise of warrants or rights or pursuant to the antidilution provisions of such securities. In addition, pursuant to Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”), the shares being registered hereunder include such indeterminate number of shares of common stock and preferred stock as may be issuable with respect to the shares being registered hereunder as a result of stock splits, stock dividends or similar transactions. |
(2) | The proposed maximum per unit and aggregate offering prices per class of securities will be determined from time to time by the registrant in connection with the issuance by the registrant of the securities registered under this registration statement and are not specified as to each class of security. Such information is not required to be included pursuant to General Instruction II.D of FormS-3 under the Securities Act. |
(3) | Estimated solely for the purpose of calculating the registration fee. Subject to Rule 462(b) under the Securities Act, the aggregate maximum offering price of all securities issued by the registrant pursuant to this registration statement will not exceed $100,000,000. |
(4) | Calculated in accordance with Rule 457(o) under the Securities Act. On December 16, 2016, the registrant filed a registration statement on FormS-3 (FileNo. 333-215155), registering the issuance of $110,238,306.53 of securities of the registrant (the “Prior Registration Statement”). Pursuant to Rule 457(p) under the Securities Act, the registration fee applicable to the securities registered hereby in the amount of $12,980.00 is offset by $5,795 in registration fees previously paid by the registrant with respect to $50,000,000 of the registrant’s securities that were registered but not issued pursuant to the Prior Registration Statement. Accordingly, a registration fee of $7,185.00 is being paid at this time. The Prior Registration Statement is hereby withdrawn and any offering of the unsold securities thereunder has been terminated. |
The registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the registrant shall file a further amendment which specifically states that this Registration Statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933, as amended, or the Securities Act, or until this Registration Statement shall become effective on such date as the Commission acting pursuant to said section 8(a), may determine.