Securities Registration: Employee Benefit Plan (s-8)
28 January 2022 - 9:11AM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission
on January 27, 2022
Registration No. 333-
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form
S-8
REGISTRATION
STATEMENT
UNDER
THE SECURITIES ACT OF 1933
Trevena, Inc.
(Exact name of registrant as specified in its
charter)
Delaware
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26-1469215
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(State or other jurisdiction of
incorporation or organization)
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(IRS employer
identification number)
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955 Chesterbrook Blvd., Suite 110
Chesterbrook, Pennsylvania
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19087
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(Address of Principal Executive Offices)
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(Zip Code)
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2013 Equity Incentive Plan
(Full titles of the plans)
Carrie L. Bourdow
President and Chief Executive Officer
Trevena, Inc.
955 Chesterbrook Blvd., Suite 110
Chesterbrook, Pennsylvania 19087
(610) 354-8840
(Name, address, including zip code and telephone
number, including area code, of agent for service)
Copies to:
Brian M. Katz, Esq.
Scott R. Jones, Esq.
Troutman Pepper Hamilton Sanders LLP
3000 Two Logan Square
Philadelphia, PA 19103
Telephone: (215) 981-4000
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Barry Shin
Chief Financial Officer
Trevena, Inc.
955 Chesterbrook Blvd., Suite 110
Chesterbrook, PA 19087
(610) 354-8840
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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.
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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x
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Smaller reporting company
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x
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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
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 (2)
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Proposed
Maximum
Aggregate
Offering Price (2)
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Amount of
Registration Fee
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Common Stock, par value $0.001 per share
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6,620,800 shares
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$
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0.51
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$
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3,343,504
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$
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309.94
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(1)
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Pursuant to Rule 416(a) promulgated under the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement on Form S-8 shall also cover any additional shares of Registrant’s common stock, par value $0.001 per share (the “Common Stock”), that become issuable under the Registrant’s 2013 Equity Incentive Plan, as amended (the “2013 EIP”), by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without receipt of consideration that increases the number of outstanding shares of Common Stock.
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(2)
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Estimated solely for the purpose of calculating the amount
of the registration fee pursuant to Rule 457(c) promulgated under the Securities Act. The proposed maximum offering price per share and
the proposed maximum aggregate offering price are calculated using the average of the high and low prices of the Common Stock as reported
on the Nasdaq Capital Market on January 24, 2022.
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PART I
EXPLANATORY NOTE
This Registration Statement on Form S-8 is being
filed for the purpose of registering an additional 6,620,800 shares of the Common Stock of Trevena, Inc. (the “Registrant”)
to be issued pursuant to the annual automatic increase provision set forth in Section 3(a) of the Registrant’s 2013 Equity Incentive
Plan, as amended.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 3.
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Incorporation of Documents by Reference.
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The contents of the Registration Statements on
Form S-8 previously filed with the Securities and Exchange Commission (the “Commission”) on February 4, 2014
(File No. 333-193735), May 14, 2014 (File No. 333-195957), January 23, 2015 (File No. 333-201672), January 11, 2016 (File No. 333-208948),
January 4, 2017 (File No. 333-215421), January 8, 2018 (File No. 333-222471), January 8, 2019 (File No. 333-229161), January 16, 2020
(File No. 333-235942) and January 22, 2021 (File No. 333-252350) are incorporated by reference herein.
Exhibit
Number
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Exhibit Description
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4.1
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Amended and Restated Certificate of Incorporation of the Registrant (incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K, filed with the Commission on February 5, 2014).
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4.2
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Certificate of Amendment of Amended and Restated Certificate of Incorporation of the Registrant (incorporated by reference to Exhibit 3.1 to Registrant’s Current Report on Form 8-K, filed with the Commission on May 21, 2018).
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4.3
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Amended and Restated Bylaws of the Registrant (incorporated by reference to Exhibit 3.2 to the Registrant’s Current Report on Form 8-K, filed with the Commission on February 5, 2014).
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4.4
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Specimen stock certificate evidencing shares of Common Stock of the Registrant (incorporated by reference to Exhibit 4.2 to the Registrant’s Registration Statement on Form S-1, as amended (File No. 333-191643), originally filed with the Commission on October 9, 2013).
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4.5
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2013 Equity Incentive Plan, as amended (incorporated by reference to Exhibit 99.1 to the Registrant’s Registration Statement on Form S-8, filed with the Commission on May 14, 2014).
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4.6
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Form of Stock Option Grant Notice and Stock Option Agreement under 2013 Equity Incentive Plan (incorporated by reference to Exhibit 10.5 to Registrant’s Quarterly Report on Form 10-Q, filed with the SEC on May 7, 2015).
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4.7
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Form of Restricted Stock Grant Notice and Restricted Stock Unit Award Agreement under 2013 Equity Incentive Plan (incorporated by reference to Exhibit 10.13 to the Registrant’s Registration Statement on Form S-1, as amended (File No. 333-191643), filed with the SEC on October 9, 2013).
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5.1#
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Opinion of Troutman Pepper Hamilton Sanders LLP.
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23.1#
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Consent
of Independent Registered Public Accounting Firm.
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23.2#
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Consent of Troutman Pepper Hamilton Sanders LLP (included in Exhibit 5.1).
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24.1#
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Power
of Attorney (included on the signature page of this Form S-8).
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# Filed herewith.
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1.
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The undersigned registrant hereby undertakes:
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(a)
To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:
(i)
To include any prospectus required by Section 10(a)(3) of the Securities Act.
(ii)
To reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent post-effective
amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the registration
statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities
offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range
may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) if, in the aggregate, the changes in volume
and price represent no more than a 20% change in the maximum aggregate offering price set forth in the “Calculation of Registration
Fee” table in the effective registration statement.
(iii)
To include any material information with respect to the plan of distribution not previously disclosed in the registration statement
or any material change to such information in the registration statement;
provided,
however, that paragraphs (a)(i) and (a)(ii) do not apply if the information required to be included in a post-effective amendment
by those paragraphs is contained in reports filed with or furnished to the Commission by the registrant pursuant to section 13 or section
15(d) of the Exchange Act that are incorporated by reference in the registration statement.
(b)
That, for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed
to be a new registration statement relating to the securities offered herein, and the offering of such securities at that time shall be
deemed to be the initial bona fide offering thereof.
(c)
To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold
at the termination of the offering.
2. The undersigned registrant hereby undertakes
that, for purposes of determining any liability under the Securities Act, each filing of the registrant’s annual report pursuant
to Section 13(a) or Section 15(d) of the Exchange Act (and, where applicable, each filing of an employee benefit plan’s annual report
pursuant to section 15(d) of the Exchange Act) that is incorporated by reference in the Registration Statement shall be deemed to be a
new registration statement relating to the securities offered herein, and the offering of such securities at that time shall be deemed
to be the initial bona fide offering thereof.
3. Insofar as indemnification for liabilities arising
under the Securities Act may be permitted to directors, officers and controlling persons of the registrant pursuant to the foregoing provisions,
or otherwise, the registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against
public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against
such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling person of
the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person
in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been settled
by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public
policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.
SIGNATURES
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 Chesterbrook,
Commonwealth of Pennsylvania, on January 27, 2022.
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TREVENA, INC.
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By:
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/s/ Barry Shin
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Barry Shin
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Chief Financial Officer
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POWER OF ATTORNEY
KNOW
ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints CARRIE L. BOURDOW
and BARRY SHIN, and each or any one of them, his true and lawful attorney-in-fact and agent, with full power of substitution and
resubstitution, 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 other 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 therewith, as fully to all intents and
purposes as he might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them,
or their or his substitutes or 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 dates indicated.
Signature
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Title
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Date
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/s/ Carrie L. Bourdow
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President,
Chief Executive Officer and Director
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January 27, 2022
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Carrie L. Bourdow
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(Principal Executive Officer)
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/s/ Barry Shin
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Chief Financial Officer
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January 27, 2022
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Barry Shin
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(Principal Financial and Accounting Officer)
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/s/ Leon O. Moulder, Jr.
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Chairman of the Board of Directors
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January 27, 2022
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Leon O. Moulder, Jr.
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/s/ Scott Braunstein, M.D.
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Director
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January 27, 2022
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Scott Braunstein, M.D.
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/s/ Michael R. Dougherty
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Director
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January 27, 2022
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Michael R. Dougherty
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/s/ Marvin H. Johnson, Jr.
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Director
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January 27, 2022
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Marvin H. Johnson, Jr.
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/s/ Jake R. Nunn
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Director
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January 27, 2022
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Jake R. Nunn
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/s/ Anne M. Phillips, M.D.
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Director
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January 27, 2022
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Anne M. Phillips, M.D.
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/s/ Barbara Yanni
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Director
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January 27, 2022
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Barbara Yanni
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