S-8 1 ea190055-s8_neuroonemedical.htm REGISTRATION STATEMENT

As filed with the Securities and Exchange Commission on December 15, 2023

Registration No. 333-      

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM S-8

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

 

NeuroOne Medical Technologies Corporation

(Exact name of registrant as specified in its charter)

 

Delaware   27-0863354
(State or other jurisdiction of
incorporation or organization)
  (I.R.S. Employer
Identification Number.)

 

7599 Anagram Dr.,
Eden Prairie, MN
  55344
(Address of principal executive offices)   (Zip code)

 

NeuroOne Medical Technologies Corporation 2021 Inducement Plan

 

(Full title of the plan)

 

David Rosa

President and Chief Executive Officer

NeuroOne Medical Technologies Corporation

7599 Anagram Dr.,
Eden Prairie, MN 55344

952-426-1383

 

(Name, address, and telephone number, including area code, of agent for service)

 

Copy to:

Phillip D. Torrence, Esq.

Emily Johns, Esq.

Honigman LLP

650 Trade Centre Way, Suite 200

Kalamazoo, Michigan 49002-0402

(269) 337-7700

 

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 Accelerated filer
Non-accelerated filer Smaller reporting company
  Emerging growth company

 

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.

 

 

 

 

 

 

EXPLANATORY NOTE

 

This Registration Statement on Form S-8 is being filed by NeuroOne Medical Technologies Corporation, a Delaware corporation. (the “Company” or “Registrant”) for the purpose of registering an additional 150,000 shares of the Registrant’s common stock, $0.001 par value (the “Common Stock”) issuable pursuant to the Registrant’s 2021 Inducement Plan (the “Inducement Plan”).

 

Pursuant to General Instruction E to Form S-8, this Registration Statement is being filed for the purpose of increasing the number of securities of the same class as other securities for which a Registration Statement of the Company on Form S-8 relating to the Inducement Plan is effective, and the Company’s Registration Statements on Form S-8 previously filed with the Securities and Exchange Commission (the “Commission”) on November 23, 2021 (File No. 333-261302) registering shares of Common Stock issuable under the Inducement Plan are incorporated by reference in this Registration Statement.

 

 

 

 

PART II

 

INFORMATION REQUIRED IN THE REGISTRATION STATEMENT

 

Item 3. Incorporation of Documents by Reference.

 

The following documents filed with the Commission by the Registrant are hereby incorporated by reference in this Registration Statement:

 

(a)our Annual Report on Form 10-K for the year ended September 30, 2023 filed with the Commission on December 15, 2023;

 

(b)our Current Reports on Form 8-K filed with the Commission on November 7, 2023; November 14, 2023, November 16, 2023; and December 11, 2023; and

 

(c)the description of our Common Stock in our registration statement on Form 8-A filed with the SEC on May 25, 2021 and as amended by any subsequent amendment or report filed for the purpose of updating such description.

 

In addition, all documents the Registrant subsequently files pursuant to Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act after the filing of this Registration Statement and prior to the filing of a post-effective amendment which indicates that all securities offered hereby have been sold or which deregisters all securities covered hereby then remaining unsold are incorporated by reference in this Registration Statement and are a part hereof from the date of filing of such documents. Notwithstanding anything herein, the Registrant is not incorporating by reference any information furnished under Item 2.02 or Item 7.01 of any Current Report on Form 8-K, unless, and to the extent, specified in any such Current Report on Form 8-K.

 

Any statement herein or contained in a 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 subsequently filed document, which also is or is deemed to be incorporated by reference herein, modifies or supersedes such prior statement. Any such statement so modified or superseded shall not be deemed, except as so modified or superseded, to constitute part of this Registration Statement.

 

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Item 8. Exhibits.

 

EXHIBIT INDEX

 

The following exhibits are filed as part of this registration statement.

 

INDEX TO EXHIBITS

 

Exhibit
Number

  Description
4.1   Certificate of Incorporation of NeuroOne Medical Technologies Corporation (incorporated by reference to Exhibit 3.4 on the Registrant’s Current Report on Form 8-K filed on June, 29, 2017)
     
4.2   Certificate of Amendment to Amended and Restated Certificate of Incorporation of NeuroOne Medical Technologies Corporation (incorporated by reference to Exhibit 3.1 on the Registrant’s Current Report on Form 8-K filed on March 31, 2021)
     
4.3   Bylaws of NeuroOne Medical Technologies Corporation (incorporated by reference to Exhibit 3.5 on the Registrant’s Current Report on Form 8-K filed on June 29, 2017)
     
4.4   NeuroOne Medical Technologies Corporation 2021 Inducement Plan (incorporated by reference to Exhibit 10.1 on the Registrant’s Current Report on Form 8-K filed on October 4, 2021)
     
4.5   First Amendment to NeuroOne Medical Technologies Corporation 2021 Inducement Plan (incorporated by reference to Exhibit 10.2 on the Registrant’s Current Report on Form 8-K filed on November 14, 2023)
     
5.1   Opinion of Honigman LLP
     
23.1   Consent of Baker Tilly US, LLP
     
23.2   Consent of Honigman LLP (included in its opinion filed as Exhibit 5.1 to this Registration Statement)
     
24.1   Power of Attorney (included after the signature of the Registrant contained on the Signature Page of this Registration Statement)
     
107   Filing Fee Table

 

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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 the City of Eden Prairie, State of Minnesota, on December 15, 2023.

 

  NeuroOne Medical Technologies Corporation

 

  By:  /s/ David Rosa
    David Rosa
    President and Chief Executive Officer

  

POWER OF ATTORNEY

 

Each person whose signature appears below constitutes and appoints David Rosa and Ronald McClurg, or either of them, as his true and lawful attorneys-in-fact and agents, with the full power of substitution and resubstitution, for him and in his name, place or stead, in any and all capacities, to sign any and all amendments to this Registration Statement (including post-effective amendments), 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 substitute or substitutes, may lawfully do or cause to be done by virtue hereof.

 

Pursuant to the requirements of the Securities Act of 1933, this Registration Statement on Form S-8 has been signed by the following persons in the capacities and on the dates indicated.

 

Signature   Title   Date
         
/s/ David Rosa   President and Chief Executive Officer   December 15, 2023
David Rosa   (Principal Executive Officer) and a Director    
         
/s/ Ronald McClurg   Chief Financial Officer (Principal Financial   December 15, 2023
Ronald McClurg   Officer and Principal Accounting Officer)    
         
/s/ Paul Buckman   Director   December 15, 2023
Paul Buckman        
         
/s/ Jeffrey Mathiesen   Director   December 15, 2023
Jeffrey Mathiesen        
         
/s/ Edward Andrle   Director   December 15, 2023
Edward Andrle        

 

 

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