As filed with the Securities and Exchange Commission on May 15, 2019
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER THE
SECURITIES ACT OF 1933
ACHIEVE LIFE SCIENCES, INC.
(Exact name of Registrant as specified in its charter)
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Delaware |
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95-4343413 |
(State or other jurisdiction of incorporation or organization) |
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(I.R.S. Employer Identification Number) |
1040 West Georgia Street, Suite 1030
Vancouver, BC V6E 4H1
(604) 210-2217
(Address, including zip code, and telephone number, including area code, of Registrant’s principal executive offices)
2018 Equity Incentive Plan
(Full title of the plan)
Richard Stewart
Chairman and Chief Executive Officer
Achieve Life Sciences, Inc.
1040 West Georgia Street, Suite 1030
Vancouver, BC V6E 4H1
(604) 210-2217
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Please send copies of all communications to:
Alan Smith, Esq.
Robert Freedman, Esq.
Amanda Rose, Esq.
1191 Second Avenue, Floor 10
Seattle, WA 98101
(206) 389-4510
Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company, or an emerging growth company. See the definition of “large accelerated filer”, “accelerated filer”, “smaller reporting company”, and “emerging growth company” in Rule 12b-2 of the Exchange Act.
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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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☒ |
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Smaller reporting company |
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☒ |
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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
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Title of Each Class of Securities to be Registered |
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Amount to be Registered (1) |
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Proposed Maximum Offering Price Per Unit |
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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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— To be issued under the 2018 Equity Incentive Plan |
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336,055(2) |
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$3.93(3) |
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$1,320,697 |
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$161 |
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(2) |
Represents additional shares of common stock reserved for issuance under the Registrant’s 2018 Equity Incentive Plan as of January 1, 2019. |
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(3) |
Calculated solely for the purposes of this offering under Rules 457(c) and (h) of the Securities Act based on the average of the high and low prices of the Registrant’s common stock as reported on The Nasdaq Capital Market on May 13, 2019. |
REGISTRATION OF ADDITIONAL SHARES PURSUANT TO GENERAL INSTRUCTION E
Pursuant to General Instruction E of Form S-8, Achieve Life Sciences, Inc. (the “Registrant”) is filing this Registration Statement with the SEC to register 336,055 additional shares of common stock under the Registrant’s 2018 Equity Incentive Plan (“EIP”), pursuant to the provisions of the EIP providing for an automatic increase in the number of shares reserved for issuance under the EIP on January 1, 2019.
This Registration Statement hereby incorporates by reference the contents of the Registrant’s registration statement on Form S-8 filed with the Securities and Exchange Commission (the “Commission”) on November 7, 2018 (Registration No. 333-228253). In accordance with the instructional note to Part I of Form S-8 as promulgated by the Commission, the information specified by Part I of Form S-8 has been omitted from this Registration Statement.
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INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 3. |
Incorporation of Documents by Reference. |
The following documents filed by the Registrant with the Commission pursuant to the Securities Act and the Securities Exchange Act of 1934, as amended (the “Exchange Act”) are incorporated herein by reference:
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(a) |
the Registrant’s Annual Report on Form 10-K for the fiscal year ended December 31, 2018, filed with the Commission March 14, 2019 pursuant to Section 13 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”); |
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(b) |
all other reports filed pursuant to Section 13(a) or 15(d) of the Exchange Act since the end of the fiscal year covered by the Registrant’s Annual Report referred to in (a) above; and |
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(c) |
the description of the Registrant’s common stock contained in the Company’s Registration Statement on Form 8-A filed with the Commission on September 27, 1995 (paper filing), pursuant to Section 12(b) of the Exchange Act, including any other amendments or reports filed for the purpose of updating such description. |
All documents filed by the Registrant pursuant to Section 13(a), 13(c), 14 or 15(d) of the Exchange Act subsequent to the filing of this Registration Statement and prior to the filing of a post-effective amendment which indicates that all securities offered hereby have been sold or which deregisters all securities then remaining unsold, shall be deemed to be incorporated by reference into this Registration Statement and to be a part hereof from the date of filing such documents, except as to specific sections of such documents as set forth therein. Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained in any subsequently filed document which also is deemed to be incorporated by reference herein modifies or supersedes such statement.
Item 8. |
Exhibits. |
The following exhibits are filed herewith:
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Exhibit |
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Incorporated by Reference |
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Filed |
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Exhibit Description |
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Form |
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File No. |
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Exhibit |
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Filing Date |
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4.1 |
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8-K |
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033-80623 |
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3.1 |
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5/29/2013 |
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4.2 |
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Certificate of Amendment to Second Amended and Restated Certificate of Incorporation |
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8-K |
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033-80623 |
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3.1 |
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5/22/2015 |
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4.3 |
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8-K |
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033-80623 |
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3.1 |
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8/2/2017 |
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4.4 |
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Certificate of Amendment (Name Change) to Second Amended and Restated Certificate of Incorporation |
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8-K |
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033-80623 |
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3.2 |
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8/2/2017 |
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4.5 |
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8-K |
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033-80623 |
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3.1 |
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11/1/2017 |
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4.6 |
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8-K |
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033-80623 |
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3.1 |
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5/23/2018 |
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II-1
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8-K |
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033-80623 |
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3.2 |
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5/23/2018 |
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4.8 |
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8-K |
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033-80623 |
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3.1 |
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1/5/2017 |
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4.9 |
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Amendment (Virtual Meeting) to Sixth Amended and Restated Bylaws |
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10-Q |
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033-80623 |
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3.1 |
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11/7/2018 |
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4.10 |
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10-Q |
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000-21243 |
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4.1 |
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11/10/2008 |
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5.1 |
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23.1 |
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X |
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23.2 |
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Consent of PricewaterhouseCoopers LLP, Independent Registered Public Accounting Firm |
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X |
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24.1 |
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Power of Attorney (included on the signature page to this Registration Statement) |
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X |
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99.1 |
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2018 Equity Incentive Plan and forms of award agreements thereunder |
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10-Q |
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033-80623 |
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10.1 |
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11/7/2018 |
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II-2
Pursuant to the requirements of the Securities Act, 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 Vancouver, Province of British Columbia, on this 15th day of May 2019.
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ACHIEVE LIFE SCIENCES, INC. |
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By: |
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/s/ Richard Stewart |
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Richard Stewart Chief Executive Officer and Chairman |
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Richard Stewart and John Bencich, and each of them, as his or her true and lawful attorney-in-fact and agent with full power of substitution, for him or her in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement on Form S-8, and to file the same, with all exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorney-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 connection therewith, as fully for all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agent, or his or her substitute, may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act, this Registration Statement has been signed by the following persons in the capacities and on the date indicated.
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/s/ Richard Stewart Richard Stewart |
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Chief Executive Officer, Chairman and Director (Principal Executive Officer) |
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May 15, 2019 |
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/s/ John Bencich John Bencich |
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Chief Financial Officer (Principal Financial and Accounting Officer) |
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May 15, 2019 |
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/s/ Anthony Clarke Anthony Clarke |
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Director |
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May 15, 2019 |
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/s/ Scott Cormack Scott Cormack |
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Director |
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May 15, 2019 |
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/s/ Donald R. Joseph Donald R. Joseph |
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Director |
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May 15, 2019 |
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/s/ Martin Mattingly Martin Mattingly |
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Director |
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May 15, 2019 |
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/s/ Jay M. Moyes Jay M. Moyes |
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Director |
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May 15, 2019 |
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/s/ H. Stewart Parker H. Stewart Parker |
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Director |
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May 15, 2019 |