Securities Registration: Employee Benefit Plan (s-8)
March 28 2022 - 8:46AM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on March 28, 2022.
Registration No. 333‑
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D. C. 20549
Form S-8
REGISTRATION STATEMENT UNDER THE
SECURITIES ACT OF 1933
PANBELA
THERAPEUTICS, INC.
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(Exact Name of Registrant as Specified in its Charter)
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Delaware
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87-0543922
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(State or other jurisdiction of
incorporation or organization)
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(I.R.S. Employer
Identification No.)
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712 Vista Blvd #305
Waconia, MN
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55387
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(Address of Principal Executive Offices)
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(Zip Code)
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2016 Omnibus Incentive Plan
(Full Title of the Plan)
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Susan Horvath
Chief Financial Officer
Panbela Therapeutics, Inc.
712 Vista Blvd #305
Waconia, MN 55387
(Name and Address of Agent for Service)
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Telephone number, including area code, of agent for service: (952) 479-1196
Copies to:
W. Morgan Burns
Joshua L. Colburn
Faegre Drinker Biddle & Reath LLP
2200 Wells Fargo Center
90 South Seventh Street
Minneapolis, Minnesota 55402‑3901
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 ☑ |
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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 the Securities Act. ☐
PANBELA THERAPEUTICS, INC.
STATEMENT PURSUANT TO GENERAL INSTRUCTION E
TO FORM S-8 “REGISTRATION OF ADDITIONAL SECURITIES”
The stockholders of Panbela Therapeutics, Inc., (the “Company”) initially approved the Company’s 2016 Omnibus Incentive Plan on May 17, 2016. On May 19, 2020, the stockholders of the Company approved an amendment and restatement of the Company’s 2016 Omnibus Incentive Plan (as amended and restated, the “2016 Plan”). The 2016 Plan provides, among other things, that the number of shares of common stock available for issuance under the plan will increase on January 1 of each year beginning in 2021 and ending on January 1, 2025 in an amount equal to the lesser of (i) the number of shares necessary to increase the total option pool to 20% of the total number of fully diluted shares (as defined in the 2016 Plan) as of December 31 of the immediately preceding calendar year and (ii) such lesser number of shares as may be determined by the Company’s Board of Directors or its Compensation Committee prior to January 1st of any calendar year.
On June 15, 2020, the Company filed a registration statement on Form S-8 (file no. 333-239186, the “Initial Registration Statement”) with the Securities and Exchange Commission (the “Commission”) to register shares of the Company’s common stock, $0.001 par value per share (“Common Stock”), for issuance under the 2016 Plan. Pursuant to General Instruction E to Form S-8, the contents of the Initial Registration Statement are incorporated herein by reference.
The Company has filed this registration statement on Form S-8 to register an 654,413 additional shares of Common Stock, not previously registered under the 2016 Plan, that became available for issuance under the 2016 Plan effective as of January 1, 2022.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 8. Exhibits.
+ Filed herewith
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 Minneapolis, State of Minnesota, on March 28, 2022.
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PANBELA THERAPEUTICS, INC.
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By:
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/s/ Jennifer K. Simpson
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Name: Jennifer K. Simpson
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Title: President and Chief Executive Officer
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POWER OF ATTORNEY
Each person whose signature appears below hereby constitutes and appoints Jennifer K. Simpson and Susan Horvath, and each of them acting individually, as his or her true and lawful attorneys-in-fact and agents, with full power of each to act alone, with full powers of substitution and resubstitution, for him and in his name, place and stead, in any and all capacities, to sign the Registration Statement filed herewith and any and all amendments to said Registration Statement (including post-effective amendments), and 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, with full power of each to act alone, 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 for 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 his or their substitutes, 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 below by the following persons on behalf of the Registrant and in the capacities indicated on March 28, 2022:
Signature
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Title
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/s/ Jennifer K. Simpson
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President, Chief Executive Officer and Director
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Jennifer K. Simpson
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(principal executive officer)
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/s/ Susan Horvath
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Vice President of Finance, Chief Financial Officer, Treasurer and Secretary
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Susan Horvath
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(principal financial and accounting officer)
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/s/ Michael T. Cullen
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Chairman and Director
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Michael T. Cullen
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/s/ Arthur J. Fratamico
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Director
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Arthur J. Fratamico
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/s/ Suzanne Gagnon
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Director
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Suzanne Gagnon
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/s/ Jeffrey S. Mathiesen
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Director
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Jeffrey S. Mathiesen
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/s/ Paul W. Schaffer
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Director
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Paul W. Schaffer
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/s/ D. Robert Schemel
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Director
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D. Robert Schemel
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