Securities Registration: Employee Benefit Plan (s-8)
June 11 2019 - 5:28PM
Edgar (US Regulatory)
Registration Statement No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
Under
THE SECURITIES ACT OF 1933
ARCADIA BIOSCIENCES, INC.
(Exact name of registrant as specified in its charter)
Delaware
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[81-0571538]
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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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202 Cousteau Place, Suite 105
Davis, CA 95618
(Address of Principal Executive Offices) (Zip Code)
2015 Omnibus Equity Incentive Plan
2015 Employee Stock Purchase Plan
(Full title of the plan)
Rajendra Ketkar
President and Chief Executive Officer
202 Cousteau Place, Suite 105
Davis, CA 95618
(530) 756-7077
(Name, Address, Including Zip Code, and Telephone Number, Including Area Code, of Agent for Service)
Copies to:
Matthew Plavan
Chief Financial Officer
202 Cousteau Place, Suite 105
Davis, CA 95618
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Michael De Angelis, Esq.
Jeffrey Pietsch, Esq.
Weintraub Chediak Coleman Grodin Law Corporation
475 Sansome Street, Suite 1800
San Francisco, CA 94111
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Securities registered pursuant to Section 12(b) of the Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common
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RKDA
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NASDAQ
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Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, 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
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☐
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Accelerated filer
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☐
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Non-accelerated filer
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☐
(Do not check if a small reporting company)
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Smaller reporting company
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☒
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Emerging growth company
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☒
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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
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Title of Securities
To Be Registered
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Amount
to be
Registered(1)
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Proposed
Maximum
Offering Price
Per Share
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Proposed
Maximum
Aggregate
Offering Price
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Amount of
Registration Fee
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Common Stock, $0.001 Par Value
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21,875 (2)
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$4.44 (4)
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$ 97,125
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$11.78
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Common Stock, $0.001 Par Value
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202,500 (3)
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$5.22 (5)
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$1,057,050
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$128.12
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Total:
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224,375
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$1,154,175
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$139.90
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(1)
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Pursuant to Rule 416(a) under the Securities Act of 1933, as amended
(the “
Securities Act
”), this registration statement shall also cover any additional shares of the Registrant’s common stock that become issuable under the 2015 Employee Stock Purchase Plan (the “
ESPP
”) or the 2015 Omnibus Equity Incentive Plan, as amended
(the “
2015 Plan
”), by reason of any stock dividend, stock split, recapitalization or similar transactions.
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(2)
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Represents 21,875 additional shares of common stock authorized as of January 1, 2019 under the evergreen provision of the ESPP.
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(3)
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Represents (1) 82,500 additional shares of common stock authorized as of January 1, 2019 under the evergreen provision of the 2015 Plan, and (2) 120,000 additional shares of common stock reserved for issuance under the 2015 Plan on June 3, 2019.
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(4)
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Estimated in accordance with Rules 457(c) and (h) under the Securities Act, solely for the purpose of computing the amount of the registration fee and is equal to 85% of $5.22, the average of the high and low sales price of a share of the registrant’s common stock as reported on The NASDAQ Capital Market on June 3, 2019. Pursuant to the ESPP, shares are sold at 85% of the lesser of the fair market value of such shares on the first trading day of the offering period and the last trading day of the purchase period.
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(5)
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Estimated solely for the purpose of calculating the registration fee in accordance with Rules 457(c) and (h) promulgated under the Securities Act, based upon the average of the high and low prices of the registrant’s common stock as reported on The NASDAQ Capital Market on June 3, 2019.
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REGISTRATION OF ADDITIONAL SECURITIES
PURSUANT TO GENERAL INSTRUCTION E
Pursuant to General Instruction E to Form S-8, this Registration Statement is being filed for the purpose of registering an additional (i) 21,875 shares of the Registrant’s common stock available to be issued pursuant to the Registrant’s 2015 Employee Stock Purchase Plan, and (ii) 202,500 shares of the Registrant’s common stock available to be issued pursuant to the Registrant’s 2015 Omnibus Equity Incentive Plan, which are the same class as those securities previously registered on an effective Form S-8 filed with the Securities and Exchange Commission on (i) May 15, 2015 (
File No. 333-204215
) (the “2015 Registration Statement”), (ii) March 8, 2016 (
File No. 333-210023
) (the “2016 Registration Statement”), (iii) March 8, 2017 (
File No. 333-216545
) (the “2017 Registration Statement”), and (iv) March 21, 2018 (
File No. 333-223805
) (the “2018 Registration Statement”), and the contents of the 2015 Registration Statement, 2016 Registration Statement, 2017 Registration Statement, and 2018 Registration Statement, as amended, or as modified or superseded pursuant to Rule 412 under the Securities Act, is incorporated by reference into this Registration Statement.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 3. Exhibits
SIGNATURES
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 Davis, State of California, on this 11th day of June, 2019.
ARCADIA BIOSCIENCES, INC.
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By:
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/s/ MATTHEW T. PLAVAN
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Name:
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Matthew T. Plavan
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Title:
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Chief Financial Officer
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POWER OF
ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each individual whose signature appears below constitutes and appoints Matthew T. Plavan and as attorney-in-fact, with the power of substitution, for him and in his 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 the same, with all exhibits thereto and all 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, as fully to all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that such attorneys-in-fact and agents or any of them, or their substitute or 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 by the following persons in the capacities and on the dates indicated.
Signature
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Title
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Date
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/s/ RAJENDRA KETKAR
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President and Chief Executive Officer and Director
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Rajendra Ketkar
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(principal executive officer)
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June 11, 2019
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/s/ MATTHEW T. PLAVAN
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Chief Financial Officer
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Matthew T. Plavan
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(principal financial and accounting officer)
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June 11, 2019
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/s/ SARAH REITER
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Sarah Reiter
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Chief Commercial Officer
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June 11, 2019
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/s/ KEVIN COMCOWICH
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Kevin Comcowich
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Director
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June 11, 2019
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/s/ ALBERT D. BOLLES
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Albert D. Bolles
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Director
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June 11, 2019
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/s/ ERIC J. REY
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Eric J. Rey
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Director
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June 11, 2019
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/s/ LILIAN SHACKELFORD MURRAY
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Lilian Shackelford Murray
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Director
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June 11, 2019
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/s/ GREGORY D. WALLER
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Gregory D. Waller
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Director
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June 11, 2019
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/s/ AMY YODER
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Amy Yoder
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Director
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June 11, 2019
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