Delaware
|
68-0423298
|
|
(State or other jurisdiction of
incorporation or organization)
|
(I.R.S. Employer
Identification No.)
|
|
1129 N. McDowell Blvd., Petaluma, CA
|
94954
|
|
(Address of principal executive offices)
|
(Zip Code)
|
Hojabr Alimi
|
Chief Executive Officer
Oculus Innovative Sciences, Inc.
1129 N. McDowell Blvd.
Petaluma, CA 94954
(707) 782-0792
|
(Name, address and telephone
number of agent for service)
|
Copy to:
|
Amy M. Trombly, Esq.
Trombly Business Law, PC
1320 Centre Street, Suite 202
Newton, MA 02459
(617) 243-0060
|
Large accelerated filer o
|
Accelerated filer o
|
|
Non-accelerated filer o (Do not check if a smaller reporting company)
|
Smaller reporting company x
|
Title of Securities to Be Registered
|
Amount to Be Registered (1)
|
Proposed Maximum Offering Price Per Share (2)
|
Proposed Maximum Aggregate Offering Price (2)
|
Amount of Registration Fee
|
Common Stock, par value $0.0001 per share, issued under the Oculus Innovative Sciences, Inc. Amended and Restated 2006 Stock Incentive Plan
|
1,328,815
|
$0.65
|
$863,729.75
|
$98.98
|
Common Stock, par value $0.0001 per share, issued under the Oculus Innovative Sciences, Inc. Amended and Restated 2006 Stock Incentive Plan
|
1,450,395
|
$0.65
|
$942,756.75
|
$108.04
|
Common Stock, par value $0.0001 per share, issued under the Oculus Innovative Sciences, Inc. 2011 Stock Incentive Plan
|
3,000,000
|
$0.65
|
$1,950,000.00
|
$223.47
|
Total Registration
|
5,779,210
|
$3,756,486.50
|
$430.49
|
(1)
|
Pursuant to Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”), this registration statement also covers any additional securities that may be offered or issued in connection with any stock split, stock dividend, recapitalization or any other similar transaction effected without receipt of consideration, which results in an increase in the number of the Registrant’s outstanding shares of Common Stock. In addition, pursuant to Rule 416(c) under the Securities Act, this registration statement also covers an indeterminate amount of interests to be offered or sold pursuant to the Oculus Innovative Sciences, Inc. Amended and Restated 2006 Stock Incentive Plan and the Oculus Innovative Sciences, Inc. 2011 Stock Incentive Plan described herein.
|
(2)
|
Estimated solely for calculating the registration fee pursuant to Rules 457(c) and (h)(1) under the Securities Act, based on the average of the high and low prices for the Registrant’s Common Stock on June 19, 2012, as reported on the NASDAQ Capital Market.
|
(3)
|
Represents shares of common stock that were automatically added to the shares authorized for issuance under the Registrant’s Amended and Restated 2006 Stock Incentive Plan pursuant to an “evergreen” provision in the Plan. Under this provision, the number of shares authorized for issuance increased on April 1, 2011.
|
(4)
|
Represents shares of common stock that were automatically added to the shares authorized for issuance under the Registrant’s Amended and Restated 2006 Stock Incentive Plan pursuant to an “evergreen” provision in the Plan. Under this provision, the number of shares authorized for issuance increased on April 1, 2012.
|
PART I
|
||
Item 1. Plan Information
|
4 | |
Item 2. Registrant Information and Employee Plan Annual Information
|
4 | |
PART II
|
||
Item 3. Incorporation of Documents by Reference
|
4 | |
Item 4. Description of Securities
|
4 | |
Item 5. Interests of Named Experts and Counsel
|
5 | |
Item 6. Indemnification of Directors and Officers
|
5 | |
Item 7. Exemption From Registration Claimed
|
5 | |
Item 8. Exhibits
|
5 | |
Item 9. Undertakings
|
5 |
ITEM 1.
|
PLAN INFORMATION.
|
ITEM 2.
|
REGISTRANT INFORMATION AND EMPLOYEE PLAN ANNUAL INFORMATION.
|
ITEM 3.
|
INCORPORATION OF DOCUMENTS BY REFERENCE.
|
|
a)
|
The Registrant’s Annual Report on Form 10-K for the fiscal year ended March 31, 2012, filed June 20, 2012, pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”);
|
|
b)
|
The Registrant’s Current Reports on Form 8-K filed April 25, 2012; May 25, 2012; and June 7, 2012;
|
|
c)
|
All other reports filed pursuant to Section 13(a) or 15(d) of the Exchange Act since the end of the fiscal year covered by the consolidated financial statements contained in the Form 10-K referred to in (a) above; and
|
|
d)
|
The description of the Registrant’s common stock contained in the Registrant’s Registration Statement on Form 8-A filed December 15, 2006, pursuant to Section 12(g) of the Exchange Act, including any amendment or report filed for the purpose of updating such description.
|
ITEM 4.
|
DESCRIPTION OF SECURITIES.
|
ITEM 5.
|
INTERESTS OF NAMED EXPERTS AND COUNSEL.
|
ITEM 6.
|
INDEMNIFICATION OF DIRECTORS AND OFFICERS.
|
ITEM 7.
|
EXEMPTION FROM REGISTRATION CLAIMED.
|
ITEM 8.
|
EXHIBITS.
|
Exhibit No.
|
Description
|
|
5.1
|
Opinion of Trombly Business Law, PC (filed herewith).
|
|
10.1
|
Oculus Innovative Sciences, Inc. Amended and Restated 2006 Stock Incentive Plan (included as Exhibit 10.2 to the Registrant’s Current Report on Form 8-K filed May 2, 2007, and incorporated herein by reference.)
|
|
10.2
|
Oculus Innovative Sciences, Inc. 2011 Stock Incentive Plan (included in the Registrant’s Definitive Proxy Statement on Schedule 14A filed July 29, 2011, and incorporated herein by reference).
|
|
23.1
|
Consent of Marcum LLP. | |
23.2
|
Consent of Trombly Business Law, PC (included in Exhibit 5.1 filed herewith).
|
ITEM 9.
|
UNDERTAKINGS.
|
(a)
|
The undersigned registrant hereby undertakes:
|
(1)
|
To file, during any period in which offers or sales are made, a post-effective amendment to this 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.
|
(2)
|
That, for the purpose of determining liability under the Securities Act of 1933, each such post-effective amendment shall be deemed a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
|
|
(3)
|
To remove from registration by means of a post-effective amendment any of the securities which remain unsold at the termination of the offering.
|
(b)
|
The undersigned registrant hereby undertakes that, for purposes of determining any liability under the Securities Act of 1933, each filing of the registrant’s annual report pursuant to section 13(a) or section 15(d) of the Securities Exchange Act of 1934 (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to section 15(d) of the Securities Exchange Act of 1934) that is incorporated by reference in the registration statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
|
(h)
|
(3)
|
Insofar as indemnification for liabilities arising under the Securities Act of 1933 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 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 Act and will be governed by the final adjudication of such issue.
|
OCULUS INNOVATIVE SCIENCES, INC.
|
|||
By
|
/s/ Hojabr Alimi
|
||
Hojabr Alimi
|
|||
Chief Executive Officer and Chairman of the Board
(Principal Executive Officer)
|
|||
Name
|
Title
|
Date
|
/s/ Hojabr Alimi
|
Chief Executive Officer and Chairman of the Board
|
June 21, 2012
|
Hojabr Alimi
|
(Principal Executive Officer)
|
|
|
||
/s/ Robert E. Miller
|
Chief Financial Officer (Principal Financial Officer
|
June 21, 2012
|
Robert E. Miller
|
and Principal Accounting Officer)
|
|
/s/ Gregg Alton
|
Director
|
June 21, 2012
|
Gregg Alton
|
||
/s/ Jay Edward Birnbaum
|
Director
|
June 21, 2012
|
Jay Edward Birnbaum |
/s/ Richard Conley
|
Director
|
June 21, 2012
|
/s/ Gregory M. French
|
Director
|
June 21, 2012
|
Gregory M. French
|
||
/s/ James Schutz
|
Director
|
June 21, 2012
|
Very truly yours,
/s/ Amy Trombly, Esq.
Amy Trombly, Esq.
|