SEC Form S-8 filed by Cardiff Oncology Inc.
$CRDF
Biotechnology: Biological Products (No Diagnostic Substances)
Health Care
As filed with the U.S. Securities and Exchange Commission on July 1, 2024
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
Cardiff Oncology, Inc.
(Exact name of registrant as specified in its charter)
| Delaware | 27-2004382 | |||||||
| (State or other jurisdiction | IRS Employer | |||||||
| of incorporation or organization) | Identification No.) | |||||||
11055 Flintkote Avenue
San Diego, CA 92121
(858) 952-7570
(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)
2021 Omnibus Equity Incentive Plan
(Full title of the plan)
Mark Erlander, Ph.D.
Chief Executive Officer
Cardiff Oncology, Inc.
11055 Flintkote Avenue
San Diego, CA 92121
(858) 952-7570
(Name, address including zip code, and telephone number, including area code, of agent for service)
With copies to:
Jeffrey J. Fessler, Esq.
Sheppard, Mullin, Richter & Hampton LLP
30 Rockefeller Plaza, 39th Floor
New York, New York 10112
(212) 653-8700
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 o | Accelerated filer o | |||||||
Non-accelerated filer ☒ | Smaller reporting company ☒ | |||||||
Emerging growth company o | ||||||||
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 Securities Act. o
EXPLANATORY NOTE
This Registration Statement is being filed for the purpose of registering an additional 3,000,000 shares of Common Stock that were reserved for issuance under the 2021 Omnibus Incentive Plan. The Registrant previously filed with the Securities and Exchange Commission (the “Commission”) registration statements on Form S-8 on June 10, 2021 (Registration No. 333-256978) and on July 12, 2022 (Registration No. 333-266103), registering shares of Common Stock issuable under the 2021 Omnibus Incentive Plan (each, a “Prior Registration Statement,” and together, the “Prior Registration Statements”). This Registration Statement relates to securities of the same class as those to which the Prior Registration Statements relate and is submitted in accordance with General Instruction E of Form S-8 regarding Registration of Additional Securities. Pursuant to General Instruction E of Form S-8, the contents of the Prior Registration Statements are incorporated herein by reference and made part of this Registration Statement, except for Items 3 and 8, which are being updated by this Registration Statement.
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PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 3. Incorporation of Documents by Reference
The following documents filed by Cardiff Oncology, Inc. (the “Company”) with the Commission are hereby incorporated by reference in this Registration Statement:
| ● | our Annual Report on Form 10-K for the year ended December 31, 2023 filed with the Commission on February 29, 2024; | |||||||
| ● | our Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2024 filed with the Commission on May 2, 2024; | |||||||
| ● | our Current Reports on Form 8-K filed with the Commission on January 8, 2024, February 29, 2024, April 8, 2024, May 2, 2024, June 3, 2024 and June 20, 2024; | |||||||
| ● | our Definitive Proxy Statement on Schedule 14A filed with the Commission on April 25, 2024; and | |||||||
| ● | the description of our Common Stock contained in our Registration Statement on Form 8-A filed with the Commission on May 23, 2012, including any amendments or reports filed with the Commission for the purposes of updating such description. | |||||||
All other reports and documents subsequently filed by the Company pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) (other than Current Reports furnished under Item 2.02 or Item 7.01 of Form 8-K and exhibits furnished on such form that related to such items) on or after the date of this Registration Statement and prior to the filing of a post-effective amendment that indicates that all securities offered have been sold or which deregisters all securities then remaining unsold, are incorporated by reference in this Registration Statement and are a part hereof from the date of filing such reports and documents.
Any statement contained in any 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 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 superseded, to constitute a part of this Registration Statement.
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Item 8. Exhibits.
| Exhibit Number | Description | |||||||
| 3.1 | ||||||||
| 3.2 | ||||||||
| 3.3 | ||||||||
| 4.1 | ||||||||
| 5.1* | ||||||||
| 23.1* | ||||||||
| 23.2* | ||||||||
| 24.1** | ||||||||
| 107* | ||||||||
* Filed herewith.
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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 San Diego, California, on July 1, 2024.
| CARDIFF ONCOLOGY, INC. | ||||||||
| By: | /s/ Mark Erlander | |||||||
| Mark Erlander | ||||||||
| Chief Executive Officer | ||||||||
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below does hereby constitute and appoint Mark Erlander, with full power of substitution, his or her true and lawful attorney-in-fact to act for him or her in any and all capacities, to sign any and all amendments (including post-effective amendments) to this registration statement, and to file each of 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 each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in order to effectuate the same as fully, to all intents and purposes, as he or she could do in person, hereby ratifying and confirming all that said attorneys-in-fact or substitutes, or any of them, 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 by each of the following persons in the capacities and on the dates indicated.
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| Signature | Title | Date | ||||||||||||
| /s/ Mark Erlander | Chief Executive Officer and Director | July 1, 2024 | ||||||||||||
| Mark Erlander | (Principal Executive Officer) | |||||||||||||
| /s/ James Levine | Chief Financial Officer | July 1, 2024 | ||||||||||||
| James Levine | (Principal Financial and Accounting Officer) | |||||||||||||
| /s/ Rodney S. Markin | Chairman of the Board | July 1, 2024 | ||||||||||||
| Rodney S. Markin | ||||||||||||||
| /s/ James O. Armitage | Director | July 1, 2024 | ||||||||||||
| James O. Armitage | ||||||||||||||
| /s/ Mani Mohindru | Director | July 1, 2024 | ||||||||||||
| Mani Mohindru | ||||||||||||||
| /s/ Gary W. Pace | Director | July 1, 2024 | ||||||||||||
| Gary W. Pace | ||||||||||||||
| /s/ Renee P. Tannenbaum | Director | July 1, 2024 | ||||||||||||
| Renee P. Tannenbaum | ||||||||||||||
| /s/ Lâle White | Director | July 1, 2024 | ||||||||||||
| Lâle White | ||||||||||||||
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