SEC Form S-8 POS filed by Avid Bioservices Inc.
Delaware
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95-3698422
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(State or other jurisdiction of Incorporation or organization)
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(I.R.S. Employer Identification No.)
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Zachary Blume
Ropes & Gray LLP
800 Boylston St
Boston, Massachuetts, 02199
(617) 951 7663
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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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☐
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Smaller reporting company
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☐
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Emerging growth company
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☐
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Registration File No. 333-164026, filed with the SEC on December 24, 2009, registering 3,000,000 shares of the Registrant’s common stock, par value $0.001 (“Common Stock”) issuable
under the Peregrine Pharmaceuticals, Inc. 2009 Stock Incentive Plan (the “2009 Stock Incentive Plan”);
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Registration File No. 333-171067, filed with the SEC on December 9, 2010, registering 3,500,000 shares of Common Stock issuable under the Peregrine Pharmaceuticals, Inc. 2010 Stock Incentive Plan (the “2010 Stock Incentive Plan”), and 5,000,000 shares of Common Stock issuable under the Peregrine Pharmaceuticals, Inc. 2010 Employee Stock Purchase Plan (the “2010
Stock Purchase Plan”);
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Registration File No. 333-178452, filed with the SEC on December 12, 2011, registering 3,500,000 shares of Common Stock issuable under the Peregrine Pharmaceuticals, Inc. 2011 Stock Incentive Plan (the “2011 Stock Incentive Plan”);
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Registration File No. 333-185423, filed with the SEC on December 12, 2012, registering 8,000,000 shares of Common Stock issuable under the 2011 Stock Incentive Plan;
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Registration File No. 333-192794, filed with the SEC on December 12, 2013, registering 7,000,000 shares of Common Stock issuable under the 2011 Stock Incentive Plan;
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Registration File No. 333-208466, filed with the SEC on December 10, 2015, registering 15,000,000 shares of Common Stock issuable under the 2011 Stock Incentive Plan;
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Registration File No. 333-215053, filed with the SEC on December 12, 2016, registering 10,000,000 shares of Common Stock issuable under the 2010 Stock Purchase Plan;
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Registration File No. 333-228735, filed with the SEC on December 10, 2018, registering (i) 7,152,404 shares of Common Stock issuable under the Avid Bioservices, Inc. 2018 Omnibus Incentive Plan (the “2018 Incentive Plan”), which includes 2,350,000 shares of Common Stock initially available for awards under the 2018 Incentive Plan, plus 1,892,100 shares of Common Stock
previously reserved but unissued and not subject to outstanding awards under the 2009 Stock Incentive Plan, 2010 Stock Incentive Plan and 2011 Stock Incentive Plan (the “Prior Plans”),
plus 3,009,824 shares of Common Stock reserved but unissued and subject to outstanding awards under the Prior Plans, less 99,520 shares of Common Stock
underlying stock options granted pursuant to the 2018 Incentive Plan and (ii) 99,520 shares of Common Stock subject to outstanding stock option awards previously granted under the 2018 Incentive Plan;
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Registration File No. 333-265905, filed with the SEC on June 29, 2022, registering 3,400,000 shares of Common Stock issuable under the 2018 Omnibus Incentive Plan; and
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Registration File No. 333-274399, filed with the SEC on September 7, 2023, registering the obligations of the Company to make future payments to participants in the Company’s Deferred Compensation Plan (the “Deferred Compensation Plan”).
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AVID BIOSERVICES, INC.
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By:
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/s/ Daniel R. Hart
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Daniel R. Hart
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Chief Financial Officer |