Securities Registration (section 12(b)) (8-a12b)
21 March 2016 - 9:54PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR 12(g) OF THE
SECURITIES EXCHANGE ACT OF 1934
COMBIMATRIX CORPORATION
(Exact name of registrant as specified in its charter)
Delaware |
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47-0899439 |
(State of incorporation or organization) |
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(I.R.S. Employer Identification No.) |
310 Goddard, Suite 150, Irvine, California |
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92618 |
(Address of principal executive offices) |
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(Zip Code) |
Securities to be registered pursuant to Section 12(b) of the Act:
Title of each class to be so registered |
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Name of each exchange on which each class is to be registered |
Warrants to purchase common stock |
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The NASDAQ Stock Market LLC |
If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), check the following box. x
If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), please check the following box. o
Securities Act registration statement file number to which this form relates: 333- 208704 (if applicable)
Securities to be registered pursuant to Section 12(g) of the Act:
None
(Title of Class)
(Title of Class)
INFORMATION REQUIRED IN REGISTRATION STATEMENT
Item 1. Description of Registrants Securities to be Registered.
This registration statement relates to the registration with the Securities and Exchange Commission (the SEC) of warrants to purchase common stock (the Warrants) of CombiMatrix Corporation, a Delaware corporation (the Registrant). Each Warrant is exercisable for one share of common stock, $0.001 par value per share. The description of the Warrants set forth under the caption Description of Securities We Are Offering in the Registrants Registration Statement on Form S-1 (File No. 333-208704) originally filed with the SEC on December 22, 2015 and as subsequently amended, together with the description set forth under such caption included in the form of prospectus subsequently filed by the Registrant with the SEC pursuant to Rule 424(b) under the Securities Act of 1933, as amended, is incorporated herein by this reference in response to this item.
Item 2. Exhibits.
Exhibit Number |
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Description |
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3.1 |
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Amended and Restated Certificate of Incorporation (1) |
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3.2 |
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Certificate of Amendment to Amended and Restated Certificate of Incorporation (2) |
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3.3 |
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Certificate of Amendment to Amended and Restated Certificate of Incorporation (3) |
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3.4 |
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Second Amended and Restated Bylaws (4) |
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3.5 |
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Certificate of Designation of Preferences, Rights and Limitations of Series A 6% Convertible Preferred Stock (5) |
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3.6 |
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Certificate of Designation of Preferences, Rights and Limitations of Series B 6% Convertible Preferred Stock (6) |
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3.7 |
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Certificate of Designation of Preferences, Rights and Limitations of Series C 6% Convertible Preferred Stock (7) |
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3.8 |
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Certificate of Designation of Preferences, Rights and Limitations of Series D Convertible Preferred Stock (8) |
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3.9 |
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Certificate of Designation of Preferences, Rights and Limitations of Series E 6% Convertible Preferred Stock (9) |
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3.10 |
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Certificate of Amendment to Amended and Restated Certificate of Incorporation (10) |
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3.11 |
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Form of Certificate of Designation of Preferences, Rights and Limitations of Series F Convertible Preferred Stock (12) |
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3.12 |
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Certificate of Amendment to Amended and Restated Certificate of Incorporation, dated January 29, 2016 (13) |
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4.1 |
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Form of Common Stock Certificate (11) |
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4.2 |
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Form of Series F Preferred Stock Certificate (12) |
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4.3 |
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Form of Warrant to Purchase Common Stock (12) |
(1) Incorporated by reference to Exhibit 3.1 to the Companys Registration Statement on Form S-1 (SEC File No. 333-139679), filed with the SEC on December 26, 2006.
(2) Incorporated by reference to Exhibit 3.1A to the Companys Quarterly Report on Form 10-Q (File No. 001-33523) filed with the SEC on August 14, 2008.
(3) Incorporated by reference to Exhibit 3.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on December 4, 2012.
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(4) Incorporated by reference to Exhibit 3.2 to the Companys Annual Report on Form 10-K (File No. 001-33523) filed with the SEC on March 18, 2010.
(5) Incorporated by reference to Exhibit 3.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on October 1, 2012.
(6) Incorporated by reference to Exhibit 4.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on March 20, 2013.
(7) Incorporated by reference to Exhibit 3.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on May 6, 2013.
(8) Incorporated by reference to Exhibit 3.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on December 23, 2013.
(9) Incorporated by reference to Exhibit 4.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on February 13, 2015.
(10) Incorporated by reference to Exhibit 3.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on April 29, 2015.
(11) Filed as an exhibit to Amendment No. 1 to the Registrants Registration Statement on Form S-1 (File No. 333-208704) filed with the SEC on February 19, 2016, and incorporated herein by reference.
(12) Filed as an exhibit to Amendment No. 3 to the Registrants Registration Statement on Form S-1 (File No. 333-208704) filed with the SEC on March 18, 2016, and incorporated herein by reference.
(13) Incorporated by reference to Exhibit 3.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on January 29, 2016.
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SIGNATURE
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the Registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) |
COMBIMATRIX CORPORATION |
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Date |
March 21, 2016 |
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By |
/s/ Scott R. Burell |
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Scott R. Burell |
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Chief Financial Officer, Treasurer and Secretary |
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Exhibits
Exhibit Number |
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Description |
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3.1 |
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Amended and Restated Certificate of Incorporation (1) |
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3.2 |
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Certificate of Amendment to Amended and Restated Certificate of Incorporation (2) |
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3.3 |
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Certificate of Amendment to Amended and Restated Certificate of Incorporation (3) |
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3.4 |
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Second Amended and Restated Bylaws (4) |
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3.5 |
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Certificate of Designation of Preferences, Rights and Limitations of Series A 6% Convertible Preferred Stock (5) |
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3.6 |
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Certificate of Designation of Preferences, Rights and Limitations of Series B 6% Convertible Preferred Stock (6) |
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3.7 |
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Certificate of Designation of Preferences, Rights and Limitations of Series C 6% Convertible Preferred Stock (7) |
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3.8 |
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Certificate of Designation of Preferences, Rights and Limitations of Series D Convertible Preferred Stock (8) |
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3.9 |
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Certificate of Designation of Preferences, Rights and Limitations of Series E 6% Convertible Preferred Stock (9) |
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3.10 |
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Certificate of Amendment to Amended and Restated Certificate of Incorporation (10) |
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3.11 |
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Form of Certificate of Designation of Preferences, Rights and Limitations of Series F Convertible Preferred Stock (12) |
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3.12 |
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Certificate of Amendment to Amended and Restated Certificate of Incorporation, dated January 29, 2016 (13) |
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4.1 |
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Form of Common Stock Certificate (11) |
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4.2 |
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Form of Series F Preferred Stock Certificate (12) |
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4.3 |
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Form of Warrant to Purchase Common Stock (12) |
(1) Incorporated by reference to Exhibit 3.1 to the Companys Registration Statement on Form S-1 (SEC File No. 333-139679), filed with the SEC on December 26, 2006.
(2) Incorporated by reference to Exhibit 3.1A to the Companys Quarterly Report on Form 10-Q (File No. 001-33523) filed with the SEC on August 14, 2008.
(3) Incorporated by reference to Exhibit 3.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on December 4, 2012.
(4) Incorporated by reference to Exhibit 3.2 to the Companys Annual Report on Form 10-K (File No. 001-33523) filed with the SEC on March 18, 2010.
(5) Incorporated by reference to Exhibit 3.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on October 1, 2012.
(6) Incorporated by reference to Exhibit 4.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on March 20, 2013.
(7) Incorporated by reference to Exhibit 3.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on May 6, 2013.
(8) Incorporated by reference to Exhibit 3.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on December 23, 2013.
(9) Incorporated by reference to Exhibit 4.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on February 13, 2015.
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(10) Incorporated by reference to Exhibit 3.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on April 29, 2015.
(11) Filed as an exhibit to Amendment No. 1 to the Registrants Registration Statement on Form S-1 (File No. 333-208704) filed with the SEC on February 19, 2016, and incorporated herein by reference
(12) Filed as an exhibit to Amendment No. 3 to the Registrants Registration Statement on Form S-1 (File No. 333-208704) filed with the SEC on March 18, 2016, and incorporated herein by reference
(13) Incorporated by reference to Exhibit 3.1 to the Companys Current Report on Form 8-K (File No. 001-33523) filed with the SEC on January 29, 2016.
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