S-1/A 1 c11964a6sv1za.htm AMENDMENT TO REGISTRATION STATEMENT sv1za
 

As filed with the Securities and Exchange Commission on May 4, 2007
Registration No. 333-140600
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
 
AMENDMENT NO. 6
to
 
Form S-1
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
 
 
 
 
TomoTherapy Incorporated
(Exact Name of Registrant as Specified in its Charter)
 
         
Wisconsin   3845   39-1914727
(State or Other Jurisdiction of
Incorporation or Organization)
  (Primary Standard Industrial
Classification Code Number)
  (I.R.S. Employer
Identification Number)
 
1240 Deming Way
Madison, Wisconsin 53717
(608) 824-2800
(Address, including zip code, and telephone number,
including area code, of registrant’s principal executive offices)
 
 
 
 
Stephen C. Hathaway
Chief Financial Officer and Treasurer
1240 Deming Way
Madison, Wisconsin 53717
(608) 824-2800
(Name, address, including zip code, and telephone number,
including area code, of agent for service)
 
 
 
 
Copies to:
 
         
Gregory J. Lynch, Esq.
Geoffrey R. Morgan, Esq.
Michael Best & Friedrich LLP
100 East Wisconsin Avenue
Suite 3300
Milwaukee, Wisconsin 53202
Telephone: (414) 225-2752
Facsimile: (414) 277-0656
  Shawn Guse, Esq.
Vice President, General Counsel and Secretary
TomoTherapy Incorporated
1240 Deming Way
Madison, Wisconsin 53717
Telephone: (608) 824-2800
Facsimile: (608) 824-2996
  Colin J. Diamond, Esq.
White & Case LLP
1155 Avenue of the Americas
New York, NY 10036
Telephone: (212) 819-8200
Facsimile: (212) 354-8113
 
 
 
 
Approximate date of commencement of proposed sale to the public:  As soon as practicable after the effective date of this registration statement.
 
If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933 check the following box:  o
 
If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  o
 
If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  o
 
If this form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  o
 
 
 
 
CALCULATION OF REGISTRATION FEE
 
                         
            Proposed Maximum
    Proposed Maximum
    Amount of
Title of Each Class of
    Amount to be
    Aggregate Offering
    Aggregate Offering
    Registration
Securities to be Registered     Registered(1)     Price per Share(2)     Price(2)     Fee(3)
Common Stock, $0.01 par value
    12,578,125     $17.00     $213,828,125     $21,921
                         
 
(1) Includes 1,640,625 shares that the underwriters have the option to purchase to cover over-allotments, if any.
 
(2) Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457(o) under the Securities Act of 1933, as amended.
 
(3) A filing fee of $21,534 was previously paid in connection with the filing of this Registration Statement on February 12, 2007. The aggregate filing fee of $21,921 is being offset by the $21,534 payment previously made.
 


 

 
EXPLANATORY NOTE
 
This Amendment is filed solely to file the amended exhibits indicated in Item 16(a) or Part II. No change is made to the preliminary prospectus constituting Part 1 of the Registration Statement or Items 13, 14, 15, 16(b) o 17 of the Part II of the Registration Statement.
 
TABLE OF CONTENTS
 
SIGNATURES
EXHIBIT INDEX


 

Item 16.   Exhibits and Financial Statement Schedules.
 
(a)   Exhibits
 
         
Exhibit
   
Number
 
Description
 
  1 .1**   Form of Underwriting Agreement
  3 .1**   Amended and Restated Articles of Incorporation of the Registrant, as currently in effect
  3 .2**   Form of Amended and Restated Articles of Incorporation of the Registrant, to be in effect upon completion of the offering
  3 .3**   Bylaws of the Registrant, as currently in effect
  3 .4**   Form of Amended and Restated Bylaws of the Registrant, to be in effect upon completion of the offering
  4 .1**   Form of the Registrant’s Common Stock Certificate
  4 .2**   Form of Series D warrant issued by Registrant on February 18, 2004
  5 .1   Opinion of Michael Best & Friedrich LLP, counsel to the Registrant, as to the validity of our common stock (including consent)
  10 .1**   Amended and Restated Investment Agreement, dated February 8, 2007, by and among the Registrant and the other parties thereto, as amended
  10 .2**   Loan Agreement, dated February 11, 1999, by and between the Registrant and Venture Investors Early Stage Fund II Limited Partnership, as amended
  10 .3**   Note and Warrant Purchase Agreement, by and among the Registrant and the other parties thereto dated May 1, 2003, as amended


II-3


 

         
Exhibit
   
Number
 
Description
 
  10 .4†**   License Agreement, dated February 22, 1999, by and between the Registrant and Wisconsin Alumni Research Foundation, as amended
  10 .5**   Equity Agreement, dated February 22, 1999, by and between the Registrant and Wisconsin Alumni Research Foundation
  10 .6**   Employment Agreement by and between the Registrant and Frederick A. Robertson, M.D.
  10 .7**   Employment Agreement by and between the Registrant and Stephen C. Hathaway
  10 .8**   Employment Agreement by and between the Registrant and Paul J. Reckwerdt
  10 .9**   Employment Agreement by and between the Registrant and John H. Hughes
  10 .10**   Employment Agreement by and between the Registrant and Gustavo H. Olivera
  10 .11†**   Development and OEM Supply Agreement by and between the Registrant and Analogic Corporation, dated January 27, 2003
  10 .12†**   Manufacturing and Supply Agreement by and between the Registrant and Siemens Medical Solutions USA, Inc., dated November 14, 2003, as amended
  10 .13**   Lease Agreement, dated January 26, 2005, as amended, by and between the Registrant and Old Sauk Trails Park Limited Partnership for the property located at 1240 Deming Way, Madison, WI
  10 .14**   Lease Agreement, dated October 28, 2005, by and between the Registrant and Adelphia, LLC for the property located at 1209 Deming Way, Madison, Wisconsin
  10 .15**   Time Sharing Agreement, effective December 2005, by and between the Registrant and Cozzens and Cudahy Air, Inc.
  10 .16**   Incentive Stock Option Plan, as amended, and forms of option agreements thereunder
  10 .17**   2000 Stock Option Plan, as amended, and forms of option agreements thereunder
  10 .18**   2002 Stock Option Plan, as amended, and forms of option agreements thereunder
  10 .19**   2007 Equity Incentive Plan
  10 .20**   2007 Employee Stock Purchase Plan
  10 .21**   Standard Terms and Conditions of Sale
  10 .22**   International Standard Terms and Conditions of Sale
  10 .23**   Tomo Lifecycle Care (TLC) and Partnership Terms and Conditions
  10 .24†**   Logistics Services Agreement between the Registrant and Kuehne + Nagal Inc., dated September 7, 2005
  10 .25†**   Purchase Order between the Registrant and ReMedPar, Inc., dated February 7, 2007
  10 .26**   Form of Director and Executive Officer Indemnification Agreement
  10 .27**   Form of Noncompetition Agreement
  10 .28**   Form of Assignment of Inventions Agreement
  10 .29**   Form of Confidentiality Agreement
  10 .30†**   Variable Pay Plan
  21 .1**   Subsidiary of the Registrant
  23 .1**   Consent of Grant Thornton LLP, independent registered public accounting firm
  23 .2   Consent of Michael Best & Friedrich LLP (included in Exhibit 5.1)
  23 .3**   Consent of Virchow Krause Valuation, LLC
  24 .1**   Power of Attorney (included in signature page to Registration Statement)
 
* To be filed by amendment.
 
** Previously filed.
 
Confidential treatment has been requested for portions of this exhibit. These portions have been omitted from the Registration Statement and submitted separately to the Securities and Exchange Commission.

II-4


 

SIGNATURES
 
Pursuant to the requirements of the Securities Act, the registrant has duly caused this amendment to Registration Statement on Form S-1 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Madison, State of Wisconsin, on the 4th day of May 2007.
 
TOMOTHERAPY INCORPORATED
 
  By: 
/s/  Frederick A. Robertson, M.D.
Frederick A. Robertson, M.D.
Chief Executive Officer
 
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.
 
             
Name
 
Position
 
Date
 
/s/  Frederick A. Robertson, M.D.

Frederick A. Robertson, M.D.
  Chief Executive Officer and Director (principal executive officer)   May 4, 2007
         
/s/  Paul J. Reckwerdt

Paul J. Reckwerdt
  President and Director   May 4, 2007
         
/s/  Stephen C. Hathaway

Stephen C. Hathaway
  Chief Financial Officer (principal financial and accounting officer)   May 4, 2007
         
*

T. Rockwell Mackie, Ph.D.
  Director   May 4, 2007
         
*

Michael J. Cudahy
  Director   May 4, 2007
         
*

John J. McDonough
  Director   May 4, 2007
         
*

John P. Neis
  Director   May 4, 2007
         
*

Cary J. Nolan
  Director   May 4, 2007
         
*

Carlos A. Perez, M.D.
  Director   May 4, 2007


II-7


 

             
Name
 
Position
 
Date
 
*

Sam R. Leno
  Director   May 4, 2007
         
*

Frances S. Taylor
  Director   May 4, 2007
         
*By 
/s/  Stephen C. Hathaway

Stephen C. HathawayAttorney-in-fact
       


II-8


 

EXHIBIT INDEX
 
         
Exhibit
   
Number
 
Description
 
  1 .1**   Form of Underwriting Agreement
         
  3 .1**   Amended and Restated Articles of Incorporation of the Registrant, as currently in effect
         
  3 .2**   Form of Amended and Restated Articles of Incorporation of the Registrant, to be in effect upon completion of the offering
         
  3 .3**   Bylaws of the Registrant, as currently in effect
         
  3 .4**   Form of Amended and Restated Bylaws of the Registrant, to be in effect upon completion of the offering
         
  4 .1**   Form of the Registrant’s Common Stock Certificate
         
  4 .2**   Form of Series D warrant issued by Registrant on February 18, 2004
         
  5 .1   Opinion of Michael Best & Friedrich LLP, counsel to the Registrant, as to the validity of our common stock (including consent)
         
  10 .1**   Amended and Restated Investment Agreement, dated February 8, 2007, by and among the Registrant and the other parties thereto, as amended
         
  10 .2**   Loan Agreement, dated February 11, 1999, by and between the Registrant and Venture Investors Early Stage Fund II Limited Partnership, as amended
         
  10 .3**   Note and Warrant Purchase Agreement, by and among the Registrant and the other parties thereto dated May 1, 2003, as amended
         
  10 .4†**   License Agreement, dated February 22, 1999, by and between the Registrant and Wisconsin Alumni Research Foundation, as amended
         
  10 .5**   Equity Agreement, dated February 22, 1999, by and between the Registrant and Wisconsin Alumni Research Foundation
         
  10 .6**   Employment Agreement by and between the Registrant and Frederick A. Robertson, M.D.
         
  10 .7**   Employment Agreement by and between the Registrant and Stephen C. Hathaway
         
  10 .8**   Employment Agreement by and between the Registrant and Paul J. Reckwerdt
         
  10 .9**   Employment Agreement by and between the Registrant and John H. Hughes
         
  10 .10**   Employment Agreement by and between the Registrant and Gustavo H. Olivera
         
  10 .11†**   Development and OEM Supply Agreement by and between the Registrant and Analogic Corporation, dated January 27, 2003
         
  10 .12†**   Manufacturing and Supply Agreement by and between the Registrant and Siemens Medical Solutions USA, Inc., dated November 14, 2003, as amended
         
  10 .13**   Lease Agreement, dated January 26, 2005, as amended, by and between the Registrant and Old Sauk Trails Park Limited Partnership for the property located at 1240 Deming Way, Madison, WI
         
  10 .14**   Lease Agreement, dated October 28, 2005, by and between the Registrant and Adelphia, LLC for the property located at 1209 Deming Way, Madison, Wisconsin
         
  10 .15**   Time Sharing Agreement, effective December 2005, by and between the Registrant and Cozzens and Cudahy Air, Inc.
         
  10 .16**   Incentive Stock Option Plan, as amended, and forms of option agreements thereunder
         
  10 .17**   2000 Stock Option Plan, as amended, and forms of option agreements thereunder
         
  10 .18**   2002 Stock Option Plan, as amended, and forms of option agreements thereunder
         
  10 .19**   2007 Equity Incentive Plan
         
  10 .20**   2007 Employee Stock Purchase Plan
         
  10 .21**   Standard Terms and Conditions of Sale
         
  10 .22**   International Standard Terms and Conditions of Sale


 

         
Exhibit
   
Number
 
Description
 
         
  10 .23**   Tomo Lifecycle Care (TLC) and Partnership Terms and Conditions
         
  10 .24†**   Logistics Services Agreement between the Registrant and Kuehne + Nagal Inc., dated September 7, 2005
         
  10 .25†**   Purchase Order between the Registrant and ReMedPar, Inc., dated February 7, 2007
         
  10 .26**   Form of Director and Executive Officer Indemnification Agreement
         
  10 .27**   Form of Noncompetition Agreement
         
  10 .28**   Form of Assignment of Inventions Agreement
         
  10 .29**   Form of Confidentiality Agreement
         
  10 .30†**   Variable Pay Plan
         
  21 .1**   Subsidiary of the Registrant
         
  23 .1**   Consent of Grant Thornton LLP, independent registered public accounting firm
         
  23 .2   Consent of Michael Best & Friedrich LLP (included in Exhibit 5.1)
         
  23 .3**   Consent of Virchow Krause Valuation, LLC
         
  24 .1**   Power of Attorney (included in signature page to Registration Statement)
 
 
* To be filed by amendment.
 
** Previously filed.
 
Confidential treatment has been requested for portions of this exhibit. These portions have been omitted from the Registration Statement and submitted separately to the Securities and Exchange Commission.