Securities Registration: Employee Benefit Plan (s-8)
09 March 2023 - 08:43AM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on March
8, 2023.
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
___________________
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
___________________
Evolus, Inc.
(Exact name of registrant as specified in its charter)
___________________
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Delaware |
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46-1385614 |
(State or other jurisdiction of incorporation or
organization)
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(I.R.S. Employer Identification No.)
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520 Newport Center Drive, Suite 1200
Newport Beach, California 92660
(Address of Principal Executive Offices) (Zip Code)
Evolus, Inc. 2017 Omnibus Incentive Plan
(Full title of the plans)
___________________
David Moatazedi
President and Chief Executive Officer
Evolus, Inc.
520 Newport Center Drive, Suite 1200
Newport Beach, California 92660
(949) 284-4555
(Name and address of agent for service) (Telephone number,
including area code, of agent for service)
___________________
Copies to:
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Mark Peterson, Esq.
O’Melveny & Myers LLP
610 Newport Center Drive, Suite 1700
Newport Beach, California 92660
(949) 823-6900
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Jeffrey J. Plumer
General Counsel
Evolus, Inc.
520 Newport Center Drive, Suite 1200
Newport Beach, California 92660
(949) 284-4555 |
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.
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Large accelerated filer |
☐ |
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Accelerated filer |
☐ |
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Non-accelerated filer |
☒ |
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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.
☒
EXPLANATORY NOTE
This Registration Statement is filed by the Registrant to register
additional securities issuable pursuant to the Plan and consists of
only those items required by General Instruction E to Form
S-8.
PART I
INFORMATION REQUIRED IN THE
SECTION 10(a) PROSPECTUS
The document(s) containing the information
specified in Part I of Form S-8 will be sent or given to
participants as specified by Securities Act Rule
428(b)(1).
PART II
INCORPORATION BY REFERENCE OF CONTENTS OF
REGISTRATION STATEMENT ON FORM S-8
Item 3. Incorporation
of Certain Documents by Reference
The following documents of the Company filed with the Securities
and Exchange Commission (the “Commission”) are incorporated herein
by reference:
All documents subsequently filed by the Company pursuant to
Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act, 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 of such documents;
provided, however, that documents or information deemed to have
been furnished and not filed in accordance with Commission rules
shall not be deemed incorporated by reference into this
Registration Statement. Any statement contained herein or in a
document, all or a portion of which is 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 herein or in any other
subsequently filed document which also is or is deemed to be
incorporated by reference herein modifies or supersedes such
statement. Any such statement so modified or superseded shall not
be deemed, except as so modified or amended, to constitute a part
of this Registration Statement.
Item 5. Interests
of Named Experts and Counsel
The validity of the issuance of securities registered hereby is
passed on for the Company by Jeffrey J. Plumer. Mr. Plumer is
General Counsel, of the Company and is compensated by the Company
as an employee. Mr. Plumer holds 48,815 shares of Company common
stock, 167,394 Company restricted stock units that are payable in
an equivalent number of shares of Company common stock, and Company
stock options to acquire up to an additional 346,747 shares of
Company common stock. Mr. Plumer is eligible to receive additional
stock awards by the Company under the Evolus, Inc. 2017 Omnibus
Incentive Plan.
Item 8. Exhibits.
The following exhibits are filed herewith or incorporated by
reference as part of this Registration Statement:
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Exhibit No. |
Description |
4.1 |
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4.2 |
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4.3 |
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5* |
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23.1* |
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23.2* |
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24.1 |
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99.1 |
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107* |
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* Filed herewith
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 Newport
Beach, State of California, on March 8,
2023.
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EVOLUS, INC. |
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/s/ David Moatazedi |
By: |
David Moatazedi |
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President and Chief Executive Officer |
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KNOW
ALL PERSONS BY THESE PRESENTS, that each person whose signature
appears below constitutes and appoints David Moatazedi and Sandra
Beaver and each or either of them, as his or her true and lawful
attorney-in-fact and agent, with full power of substitution and
resubstitution, for him or her and in his or her name, place and
stead, in any and all capacities, to sign any and all amendments to
this Registration Statement on Form S-8, including any and all
post-effective amendments and amendments thereto, 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 to all intents and
purposes as he or she might or could do in person, hereby ratifying
and confirming all that said attorney-in-fact and agent, or their
or his or her substitutes or substitute, 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 and on the dates
indicated.
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Signature |
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Title |
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Date |
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/s/ David Moatazedi |
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President, Chief Executive Officer and
Member of the Board of Directors
(Principal Executive Officer) |
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March 8, 2023 |
David Moatazedi |
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/s/ Sandra Beaver |
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Chief Financial Officer
(Principal Financial and Accounting Officer) |
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March 8, 2023 |
Sandra Beaver |
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/s/ Vikram Malik |
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Chairman of the Board of Directors |
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March 8, 2023 |
Vikram Malik |
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/s/ Simone Blank |
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Director |
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March 8, 2023 |
Simone Blank |
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/s/ Robert Hayman |
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Director |
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March 8, 2023 |
Robert Hayman |
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/s/ David Gill |
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Director |
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March 8, 2023 |
David Gill |
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/s/ Peter C. Farrell, Ph.D., AM. |
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Director |
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March 8, 2023 |
Peter C. Farrell, Ph.D., AM. |
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/s/ Karah Parschauer |
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Director |
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March 8, 2023 |
Karah Parschauer |
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/s/ Brady Stewart |
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Director |
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March 8, 2023 |
Brady Stewart |
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