S-8 1 s-8_evergreen_2023.htm S-8 S-8

 

As filed with the Securities and Exchange Commission on March 23, 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

 

 

BIOATLA, INC.

(Exact name of registrant as specified in its charter)

 

 

 

 

 

 

Delaware

 

85-1922320

(State or other jurisdiction of

incorporation or organization)

 

(I.R.S. Employer

Identification No.)

BioAtla, Inc.

11085 Torreyana Road

San Diego, California 92121

(Address of Principal Executive Offices) (Zip Code)

2020 Equity Incentive Plan

Employee Stock Purchase Plan

(Full title of the plans)

Jay M. Short, Ph.D.

Co-Founder, Chief Executive Officer and Chairman

BioAtla, Inc.

11085 Torreyana Road

San Diego, California 92121

(858) 558-0708

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

 

 

Copies to:

David Schulman, Esq.

Niki Fang, Esq.

 

 

 

 


 

Orrick, Herrington & Sutcliffe LLP

405 Howard Street

San Francisco, CA 94105

(415) 773-5700

 

 

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. ☐

 

 

 

 

REGISTRATION OF ADDITIONAL SHARES

PURSUANT TO GENERAL INSTRUCTION E

Pursuant to General Instruction E of Form S-8, the Registrant is filing this Registration Statement with the Securities and Exchange Commission (the “Commission”) to register 1,538,461 additional shares of common stock under the 2020 Plan and 507,950 additional shares of common stock under the ESPP pursuant to the provisions of those plans providing for an automatic increase in the number of shares reserved for issuance under such plans. This Registration Statement hereby incorporates by reference the contents of the Registrant’s registration statements on Form S-8 filed with the Commission on December 18, 2020 (Registration No. 333-251520), March 24, 2021 (Registration No. 333-254673) and March 1, 2022 (Registration No. 333-263120).

 

 

 

 


 

Item 8. Exhibits.

The following exhibits are filed herewith:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Incorporated by Reference

 

 

Exhibit

Number

 

Exhibit Description

 

Form

 

File No.

 

Exhibit

 

Filing Date

 

Filed
Herewith

 

 

 

 

 

 

 

 

 

 

 

 

5.1

 

Opinion of Orrick, Herrington & Sutcliffe LLP

 

 

 

 

 

 

 

 

 

X

 

 

 

 

 

 

 

 

 

 

 

 

23.1

 

Consent of Orrick, Herrington & Sutcliffe LLP (included in Exhibit 5.1)

 

 

 

 

 

 

 

 

 

X

 

 

 

 

 

 

 

 

 

 

 

 

23.2

 

Consent of Independent Registered Public Accounting Firm

 

 

 

 

 

 

 

 

 

X

 

 

 

 

 

 

 

 

 

 

 

 

24.1

 

Power of Attorney (included on the signature page of this Registration Statement)

 

 

 

 

 

 

 

 

 

X

 

 

 

 

 

 

 

 

 

 

 

 

99.1

 

2020 Equity Incentive Plan

 

S-1

 

333-250093

 

10.01

 

12/9/20

 

 

 

 

 

 

 

 

 

 

 

 

 

 

99.2

 

Amendment No. 1 to 2020 Equity Incentive Plan

 

S-8

 

333-251520

 

99.2

 

12/18/20

 

 

 

 

 

 

 

 

 

 

 

 

 

 

99.3

 

Amendment No. 2 to 2020 Equity Incentive Plan

 

10-K

 

001-39787

 

10.26

 

2/28/22

 

 

 

 

 

 

 

 

 

 

 

 

 

 

99.4

 

Employee Stock Purchase Plan

 

S-1

 

333-250093

 

10.01

 

12/9/20

 

 

 

 

 

 

 

 

 

 

 

 

 

 

99.5

 

Amendment No. 1 to Employee Stock Purchase Plan

 

10-K

 

001-39787

 

10.27

 

2/28/22

 

 

 

 

 

 

 

 

 

 

 

 

 

 

107

 

Filing Fee Table

 

 

 

 

 

 

 

 

 

X

 

 

 

 

 


 

SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, as amended, 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 San Diego, State of California, on March 23, 2023.

 

 

BIOATLA, INC.

 

/s/ Jay M. Short, Ph.D.

Jay M. Short, Ph.D.

Chief Executive Officer

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Jay M. Short, Ph.D. and Richard A. Waldron, and each of them, as his or her true and lawful attorney-in-fact and agent with the full power of substitution, for him or her, in any and all capacities, to sign any and all amendments to this Registration Statement (including post-effective amendments to this Registration Statement on Form S-8), and to file the same, with all exhibits thereto and other documents in connection therewith, with the 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 for all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or his or her substitutes, may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Act, this Registration Statement has been signed by the following persons on behalf of the Registrant in the capacities and on the dates indicated:

 

 

 

 

 

SIGNATURE

 

TITLE

 

DATE

 

 

 

/s/ Jay M. Short, Ph.D.

 

Chief Executive Officer and Director

 

March 23, 2023

Jay M. Short, Ph.D.

 

(Principal Executive Officer)

 

 

 

 

 

/s/ Richard A. Waldron

 

Chief Financial Officer

 

March 23, 2023

Richard A. Waldron

 

(Principal Financial and Accounting Officer)

 

 

 

 

 

/s/ Scott Smith

 

Director

 

March 23, 2023

Scott Smith

 

 

 

 

 

 

 

/s/ Edward Williams

 

Director

 

March 23, 2023

Edward Williams

 

 

 

 

 

 

 

 

 

 

/s/ Lawrence Steinman

 

Director

 

March 23, 2023

Lawrence Steinman

 

 

 

 

 

 

 

/s/ Sylvia McBrinn

 

Director

 

March 23, 2023

Sylvia McBrinn

 

 

 

 

 

 

 

/s/ Mary Ann Gray, Ph.D.

 

Director

 

March 23, 2023

Mary Ann Gray, Ph.D.

 

 

 

 

 

 

 

/s/ Susan Moran, M.D.

 

Director

 

March 23, 2023

Susan Moran, M.D.