As filed with the Securities and Exchange Commission on February 10, 2023
Registration No. 333-________
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM S-8
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
Avenue Therapeutics, Inc.
(Exact name of registrant as specified in its charter)
Delaware | 47-4113275 | |
(State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification No.) | |
1111 Kane Concourse, Suite 301 Bay Harbor Islands, Florida 33154 |
33154 | |
(Address of Principal Executive Offices) | (Zip Code) |
Avenue Therapeutics, Inc. 2015 Incentive Plan, as Amended
(Full title of the plan)
Alexandra MacLean, M.D.
Chief Executive Officer
1111 Kane Concourse, Suite 301
Bay Harbor Islands, Florida 33154
(Name and address of agent for service)
(781) 652-4500
(Telephone number, including area code, of agent for service)
Copy to:
Rakesh Gopalan
David S. Wolpa
McGuireWoods LLP
201 N. Tryon St., Suite 3000
Charlotte, NC 28202
(704) 343-2000
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b2 of the Exchange Act. (Check one):
Large accelerated filer ¨ | Accelerated filer ¨ | |
Non-accelerated filer x | Smaller reporting company x 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. ¨
INCORPORATION by reference of contents
of registration statement on form s-8
This Registration Statement is being filed by Avenue Therapeutics, Inc. (the “Registrant”) for the purpose of registering the offer and sale of an additional 5,000,000 shares of common stock, $0.0001 par value per share (the “Common Stock”), that are issuable pursuant to the Registrant’s 2015 Incentive Plan, as amended (the “Plan”). These additional shares of Common Stock are securities of the same class as other securities for which a Registration Statement on Form S-8 of the Registrant relating to the same stock incentive plan is effective. The Registrant previously registered the offer and sale of shares of Common Stock issuable under the Plan under a Registration Statement on Form S-8 filed with the Securities and Exchange Commission (the “Commission”) on August 15, 2017 (File No. 333-219972), as amended by a Registration Statement on Form S-8, filed with the Commission on December 17, 2021 (File No. 333-261710). Pursuant to General Instruction E to Form S-8, this Registration Statement hereby incorporates by reference the contents of the Registration Statements referenced above.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 8. Exhibits.
The Exhibits listed on the Exhibit Index of this Registration Statement are filed herewith or are incorporated herein by reference to other filings.
EXHIBIT INDEX
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 Bay Harbor Islands, State of Florida, on this 10th day of February, 2023.
Avenue Therapeutics, Inc. | |||
By: | /s/ Alexandra MacLean, M.D. | ||
Name: | Alexandra MacLean, M.D. | ||
Title: | Chief Executive Officer |
KNOW ALL PERSONS BY THESE PRESENTS, that each individual whose signature appears below hereby constitutes and appoints each of Alexandra MacLean, M.D. and David Jin, as his or her true and lawful attorney-in-fact and agent, with power to act without any other and with full and several power of substitution, for him or her and in his or her name, place and stead, to sign, in his or her capacity or capacities as shown below, any and all amendments to this Registration Statement on Form S-8 (including post-effective amendments), 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 in connection with any such amendments, as fully for all intents and purposes as he or she might or could do in person, and does hereby ratify and confirm all that said attorneys-in-fact and agents, or either of them, or their substitutes, may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed below by the following persons in the capacities and on the dates indicated.
Signature | Date | Title | ||
/s/ Alexandra MacLean, M.D. | February 10, 2023 | Chief Executive Officer | ||
Alexandra MacLean, M.D. | (Principal Executive Officer) | |||
/s/ David Jin | February 10, 2023 | Interim Chief Financial Officer and Chief Operating Officer | ||
David Jin | (Principal Financial and Accounting Officer) | |||
/s/ Lindsay A. Rosenwald, M.D. | February 10, 2023 | Executive Chairman of the Board | ||
Lindsay A. Rosenwald, M.D. | ||||
/s/ Faith Charles | February 10, 2023 | Director | ||
Faith Charles | ||||
/s/ Neil Herskowitz | February 10, 2023 | Director | ||
Neil Herskowitz | ||||
/s/ Jay Kranzler, M.D., PhD | February 10, 2023 | Director | ||
Jay Kranzler, M.D., PhD | ||||
/s/ Curtis Oltmans | February 10, 2023 | Director | ||
Curtis Oltmans |