|
|
|
Delaware |
|
26-1331503 |
(State or other jurisdiction |
|
(I.R.S. Employer |
of incorporation or organization) |
|
Identification No.) |
Large accelerated filer |
☐ |
|
Accelerated filer |
☐ |
|
Non-accelerated filer |
☐ |
|
Smaller reporting company |
☑ |
|
Title of Securities to be Registered |
Amount to be Registered (1) |
Proposed Maximum Offering Price Per Share |
Proposed Maximum Aggregate Offering Price (2) |
Amount of Registration Fee |
Common Stock, par value $0.001 per share |
400,000 |
$6.36 |
$2,544,000 |
$256.18 |
(1) |
|
Pursuant to Rule 416(a) under the Securities Act of 1933 (the “Securities Act”), this registration statement also covers any additional shares of the registrant’s common stock that become issuable under the registrant’s 2014 Equity Incentive Plan, as amended (the “Plan”) by reason of any stock dividend, stock split, recapitalization
or other similar transaction that increases the number of outstanding shares of common stock. |
(2) |
|
Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457(c) and (h) under the Securities Act, based on the average of the bid and asked prices for the common stock on the NYSE MKT as of June 20, 2016. |
|
|
|
Exhibit Number |
|
Description |
|
|
|
4.4 |
|
2014 Equity Incentive Plan, as amended (filed as Annex A to the Definitive Proxy Statement of Issuer Direct Corporation on Schedule 14A on April 2, 2014 and First Amendment filed as Exhibit 10.1 on Form 8-K on June 13, 2016) (1) |
|
Opinion of Quick Law Group P.C. (2) | |
|
Consent of Cherry Bekaert LLP (2) | |
23.2 |
|
Consent of Quick Law Group P.C. (included in Exhibit 5.1) (2) |
|
|
|
|
|
|
|
ISSUER DIRECT CORPORATION |
|
|
|
|
|
|
|
|
|
By: |
|
/s/ Brian R. Balbirnie |
|
|
|
|
Brian R. Balbirnie, |
|
|
|
|
Chief Executive Officer |
SIGNATURE |
|
TITLE |
|
|
|
|
|
/s/ Brian R. Balbirnie |
|
Chief Executive Officer, Director |
|
Brian R. Balbirnie |
|
(Principal Executive Officer) |
|
|
|
|
|
/s/ Steven Knerr |
|
Chief Financial Officer |
|
Steven Knerr |
|
(Principal Financial and Accounting Officer) |
|
|
|
|
|
/s/ Andre Boisvert |
|
Chairman of the Board, Director |
|
Andre Boisvert |
|
| |
|
|
| |
/s/ William Everett |
|
Director |
|
William Everett
|
|
|
|
/s/ Patrick Galleher |
|
Director |
|
Patrick Galleher |
|
|
|
|
|
|
|
/s/ David Sandberg |
|
Director |
|
David Sandberg |
|
|
|
|
Quick Law Group P.C./s/ Jeffrey M. Quick. Jeffrey M. Quick |
];'A598E2D_,^W/V:/^#A/6=%EMK#XG>$ MO[5@9P)M4T218IUR0-WV8JJ'KD_..E?IK\"OCOX:_:*^&VF^+/"6IKJVAZG$ M7AN%3;D@X9&!Y5U/!'Y9K^:3R_+GD1Q\T7S.N%CG)'52#ZXK]$/^#>3XMZ MMIW[07C#P89YFT75]&_M)8-V^-;J&6%#(O/R K,V0HP21Z4&N"QU135*H?KV M)?,.,?7-?"G_ 77_:L\1? 'X"Z%X:\-:A<:5J/C>YECN;ZWP)H[6),R(IR" MK,SQ@$=@W([_ '2K>8.,YP"*_*__ (.1(I)M9^%.2Z0O;:GD@$X.;;@8[\4' MNG*_LK?\$(Y/C[^SQIGC3Q!X\ET;4?%D(O[2S@TS[4((Y,%#,\LFYV/5L<#/ M!-;/_!,KP5\9OV'_ -M.X^'^KZ'XAO? &L7DVF7F 2 M&/IQ7Y@?LC?LT^'/VK/^"H/B+PGXM@DNO#XU;6K^XM([@I]I\J>0!&9>=I)S MP5/ Y[5H_P#!7+]F/PU^Q!^TWX,F^'5O=Z)%J&GC5Q +R2 )O&&L6^B:+9[1)/-DDEC@*J+EG;OM4$XSQ M7@_P[_X+,_L]_$OQE;:'9^,I[.ZOI5AM9-0TRXM8+AF;:F'= %W'@;]M? O_ M 65^-+_ !+_ &O/!_A'Q3J=[:^#=!TW3+F^2V S";K#W$ZCJTOED <9'/;) MKF/VT/''['OB'X"F'X2Z?KFB>-],EB-K*]M=^5J,.\+()S(Q0[D!93@8<#D= MVHH#]?OVE/VM/ W[)'@>S\1>.]3GTK2;^\6PAFBLY;HF5D=P-L2LV-L; _P#@ MG=_P2;^$7[0W[%'A[Q5XNTG4K_Q'XM2:YEOHM5GADM%$SQK%$%(4*%3'*D_. MU%DD!]1^-/\ @JW\#? GPY\->*[OQ>\NA>+C<)IEQ!IUPYE> JLJLNS=&0SJ M/G !)X-8'C/_ (+1_L]^!M8CL[OQ=>S,R1RRRVVD7,T-JK@-F1PF!@,">N*^ M/O\ @OA\-=$^"'@KX,^'/#6F6NF:+IT.J1VUG "D:*HM\9ZEFYR6)))]*]\_ M9S_X(Q? _P 2? #P!JNL:!>7FNSV6G:W>7W]HS9O)6CCD:)T+;#$>!]W.!VH M274#V3Q1_P %6_@=X/\ &^C:#?>+)TN_$$%G=Z?*-,N?L]U#=?ZF19-FW:<' M/<;3QQ7L7QA^,WA_X#?#/5O%_BB[?3]"T6(2W<_E,Y0%PBX5022S,H Q_$*_ M.S_@OQ^RQ;:;\+_!'CKP]IL-@/#+_P#"/3_8QY*VMI(N;4(BX4+'(FP MW3A?^"D7[= ^,?\ P39^#FE0:@\NK^-SYNO+$H#M_9_[F4-R>MP59?79SCI2 ML@/TF_9F_;!\!_MB>$]1UOP!J=SJ^EZ999YY;&:U!D*!\ 2JI/RLIZ?Q"O MEC_@L3X/T_QY^T-^S!HNK65M?:9J?BY[:ZMY@2DL;R6BNI'I@_SKWG_@FW^S MQ_PS+^QGX/\ #UQ;B#6+C3UU35^I+7=POF.I)Y_=C;']$KY[_P""UUEKVH_& M?]FZ'PM<65EXFE\37$>E7-XFZ"VN6-LL;N-K94$\X!^E2P/?+C_@EO\ L]SH M5?X4>%@)$()$,BXR,?>W77[ M+2IIWFBT>7*<+O)8 Y(Z_P 0_#>O?A#^WJ\,B+\4OA"6=9 3'IA0DX.WDV9Q MR1WKGO\ @EJ5^&'[47CSPE\5M.U1?VA=6@^W7FMWTPN(=:T\;,?977 1!UVX M!^3V--(#[A^)/QM\+_!KP^=5\5:U8:%IX'^NNI N]LG*JOWF(P2<"D^%OQQ\ M(_';PU_:WA'7M-\0Z>&V/+93!_*8]F'53C)P1G -?G)X9^-?P4^-'[=WQ<\2 M_M">(M FM_!NK_\ "/\ @W1=; /'>J'QD^,_P* M^#O[6WPC\>?L_P#B+PU;WNHZ^FC^)](T)C';WEC<, 7\G 5=NT#Y=HR5X/4. MP'N-T4;_ (+V6TNS)/PX(#;N"?-.WCW!'Y5]=?$KXU^%?@KHD6H^*];L- L) M)A:QSWDPC623&0B]V/T!KX>^-/QB\.? #_@LY=>+/$U[#I>C:)\,3+-,S@F; M,C!$09^9V(4*!R2?QJE^Q!:VW_!4K]H_Q%\7?'MU'=:3X"OQ8^$_!LC,O]DJ MP9DNKJ'&TNZ= 2>0WH,E@/OOQ;\5/#W@/P>WB#6=6L]-T58Q*;R>0+'M(R,= MR2.PYKE/A;^V'\,OC7K %_&>AZO?Q#)MXIPLA'LK8)_ 5YU^W%\(O@3X@ MN/#'BKXVW^EVNG>')96L+?5]3:'3[MV R&MRVR0JHX^4D GUKXV_X*'>+OV3 MKS]G&_UWX1ZGX$T/XE>'GM[K0IO"\/V" 6[\-[<\46 _5&348 MX;=I)-T:("6+\8 &3D]*\Y\+_MG?"WQIX]?PQI?CC0;W78Y&A-JEP Q<=5!. M%)]@:^.O^"EW[0DFK_L\_L^>$=?\1OX=T/XJR65UXMU59WA\NPCM[>68%UY" MNTPSC)^7IBJ'Q/@_81\:?!&]\,Z/JOPST74K>TDCTK5+%7M]2M[@*3%)]I1! M)NW8+9)!SWQ18#]!/'OQ-T+X6^$;K7O$>I6VB:-8[3<7=VWEQP[F"+N/;+$ M>YKD_B!^U]\,OA?K&G:=X@\:^']+O]71'LK>>Z427 ?[A [9R,9QUK\^?&WQ MPUC]H'_@@'J>KZ[='4-4TZ>+2I;V5=S7"PWL0C?YL[CL8 *^E/V:?^"7 M7P8N_P!F30H?$/@G2/$NJ>)M)M;O5M4U-/M-] 6.PN4^T7>FLLV]\ JC\? M=/BM\>-&\;?LQ?$K5?!7B6TU"^T+0+X_:-.N!-)97"VTCH<@9#C&<8_AKY+_ M ."T7[.'@/X6?LP_#S^Q?"FAVDFF^(].T."86B/,+ ).3;L[ LR$C)!.,@5] MN> ?V:/ /PU\*ZIHGA[P9X6T/1=?5AJEC8:;%;P:B&C*-YR(H#Y#,#D=&H X MCQ=XXU6U^-GP/LUU*X6QUC3]3GU2/S"J71CL864R_1V!Y_O=*\S\&ZCX]\7? MM@>)!HMQXT-EX>\>?9]3FFU-/[!@T;^RH)#;+;F8_OS<2(P81<*K#>,D'W.3 M]CCX7R>'H=+;X?\ A%[&TN&NH(#IL(C25EVEP-GRL5RN1VKM/#'@#1_!*7$> MD:3ING17D@FG6W@6(2.JJ@8@#D[% S_LB@#42%9EW8Z_6BE\CGIGW+FB@#\? M?^#@[X#ZMH'[0>A?$*&VN)]#UK1X=,EN%C+16]S \I5&(Y&Y')';Y6SCC/YZ ME6"/G XK\\OCK_P &ZNAZE<37?P\\=W^C)M(BT[6+5;Z./N$2;*LJ^Q4_ M6@\3&9=.=3G@]#\PO"7Q5\6^ R/[%\4^)=#[[-/U.XM5_)' ]._X5]3_ /!, M/]K#XF>.?V[/AOH>M_$;QUJ^C7=]*LUA>ZU-<6\H%M,PRC$YY _6CQ/_ ,$* M/C_H=X8M/TS0-5@7CS8M5AA5_<*Y&*]<_P""=_\ P21^,/P*_:Y\&>-?%>DZ M1IVD:!2!@'G. 5K %H&:Z\:>'BR'!2"]CGD7C^Y&6;]*YJF.P]-7G-+YGN3Q-""]^2.&_: M*_X)H?!O]H[3YVUCP9I.G:I+DKJVE6ZV-Y$V#ABR##\GD,,'\*\\_P"":_\ MP2QM/V$?B'XQUZ?6_P"W[W4L:=I4QA$3PV*D,?- R#*S; 76^"",DXSL(#,/;Y?KZT_P#@FS^U7XH^+7Q7\2:1XDU! M]0^UVQU*!W&! 5D1"B+GA/G[Y/ YKQJ?%&"GBXX.G+F GUQ]N1R;VZ$<=Z6>'STVG\P2"/H1S7T9[Y^-O[./_! U.X'X]?\$LI,?\%B/%>XX Y276=&TO5)(XVB5[JV29D4]EW+QUS1<#\IO\ @L1^S_KO MP^^,?@/XSZ3HSZSHLVEV2ZF&MA$_#MMJ,K;Y+F.PB61V]/P MQ3YF!^=/_!4FYTC5/^"6?P^UG2O T'P[77O%%KJ%UHT-@MDMO,;6YWGRP!UQ MQQTKZS_X)$RA?^"<_P ,3US83'&.<_:)FQSWP:]^\1^!]-\6V*6^JZ?I^K11 M,9$CO;=9DWX(!PP.,9//N:MZ)X?M/#.E16.G6UM96=OD0PPQB..($YP% P.I MI.3:L!^7O_!R,XD?X48/S!-5&,'G/V<#GIV-?HC^S&W_ !C9\/NG_(M:=GG_ M *=8\UT7B?X<:+XX:+^VM'TK5Q;AO)6\M4F\K?C=MW XS@<^U:5OIT6FV4-M M#&D4$,8ABC086- N H'8 #]*+L#S[]KCX&6G[27[.'B_P3>1K+_;FGR1VNX? MZNX4;X'R,XQ*J'/M7XB_\$Z/@%=_M,_MC>"O!NJ)<3:)X>O9M2U"W!WQV<5N M_FR1L1E1YLRH#@_QFOU,_P""KW[6?Q _9<^'7A]? /AW^V;[Q7/=V$\PLYKJ M330(@(Y42($[LMQU'7BO,/\ @A'^Q?K_ ,$_!GB?Q[XPTF]TC7/%1CL[*"]B M\NY6T0[W=EZJ99,$@C/RBB[ ^_8UV6Q'=D.U?48Z_P OQS7P?_P67\:Z5\.? MCQ^S-X@UR\_L_2-%\5RWM[<%&8011M:NS':">BGIWK[X:(D=NO'L.,BL?Q3\ M/M'\:M;_ -K:3IFJ?9-Q@^UP+-Y!;[Q4,".RT@/GRY_X+&?LUB!I/^%IZ<1$ M"P*Z;>L?3@>3SUKPK]EGQ5J'[='_ 5*F^,GA_1=2T_X<^"= ET73-5O+>2# M^VI&0H#L< _\M9"..B_A7W.OP,\'I(''A3PX9$; > OV%/V[_BIH/QH\-Z-%X'^(M^-?\+^(M8T M=+RT65RQDMQ)L<)]YB=V.5KV/1?VJ?V:/%WQT\+^$/ ?A+PGXRUC5;G%Q>:! MX9CECT4*"5FDE6+"@/L'7^*OK?Q-X,TWQGI4EAJMC9ZA8S B2WN(EDC?/L1Q M^%5? WPQT+X9Z>;70-(TS1K=VW/%8VRP+(>Q.!DG\:=P/S_^/W[/WAC]H_\ MX+B:+H'BNV^WZ38>#;?6&LBW[J\EMY7\L2@?P!W5L<9*K6M^V/X9N?\ @FS^ MU1H'QW\)6DD?@7Q7+!HOCW3H(3]E@CW!4NPJ@[<9))/0JHS@G'WLOA'3AKZZ MK]AM!J0A^S_:A$/.\OGY=V,XY]>U2ZOX?M?$6ERV6HVMK?6 XC$D4G. M?F4C!&0.M%P/SH_;%\?>!9/^"C7PT\:?%26UUSX*:CX59]"OKJ$W6D6][(3E MVVAEW,H_B&0$-8/_ 5!_:7_ & !];\6ZC]F\N;0='7?IL M"W$9>=Y8XL*.%3!;/[T<<9'Z3W7PZT6^\,KHLVD:;)H\:E$LFMT\A5] NW ' M7I65H'P'\)>$] N]+TSPQX>LM/U ?Z5;0V2)# :;R3(-+B\,(^H&4(#Y(B$&_?E=O3' YK[4L=)CTVSAM[=$ MMX+=%CB2/Y5C51@!1T [5S*_ 3P='XM_MU/"WA]=8Y)O!91^;D]3G')]^M% MV!\;_P#!07Q9H?C?_@CGK^O:%X8?P98:Q#8W@TR33OL+Q,]U$23%M!!)R1C/ M'Y5]B?L\-O\ @+X(]] L"/<"VBKH]:\*6/B/3&LM0M;>^LI""]O<1B:-P#D MALCJ ?PJY9V26,21Q*J11KL5%4!5 P !T Z4@/C+_@NEX.U/7OV0=*U.PL MI[Z#PUXGLM3OT@7?)';J)59PO?!= ?[+;K#YS#HS;>">>M &K1110 4444 (1FD9,CCCZ4ZB@"N]FH;= MM3/K@9_E39QLCXY)X!/K5ENE13Q>;%CWJ92=K(5E<_(W]L8AOVJO'>_:V-2( M&Y3\N$7@<_TKS8IYI QOY^Z,+CWY_I7WO\:_^"75Q\5OBSKWB2+QDM@^MW)N M3 =)#B+@ ,)03T-8NF_\$>9'"_;/'N<'/[K2<'\"TI_E7XGC^$\UKXJ 3!'0LJ[2" GHJ1*B(JA %& H'8#H*^CX:X+K8:LL5C' MJMD>YD?#%2A55?$/5="Q .!GTZU)4<8Q)[8J2OTL^V3OJ%%%% PHHHH **** M "BBB@ ILB>8A'KQ3J* (&MMT@8[>!A?5>W!Z^GY4^"#RN3RVT*3GKCI4E% M",VVD\P4VY?8HKQ[]H#]H^\^'WC#1/!_AC1H_$/C#Q CSV]K-,(+>"% =TLK M\D#. \4^%O#<6IV,]O#I26%\\EMJAE95.=RJZE=WIZXS6A\+?VD];N/BW=> M"_&.A:=H]]'I1UFVN-.U!KFVF@\P(P.]$96!)/(QCO7#+.,,IJE=IONMCF_M M"BJG(V>Z+-O? !^O:E=]BYKP#]F;]LF3X]_%G7](.C+8:5;6IOM'NQ(6;4+; MS3%YA R!EAQST(KU'0/C;X7\5>,[GP]9ZW8W.LVH9I+1),R#;UQV..^,XKHP MV8T*\>:G*ZNU]QK2Q=*JKTWUL=:9PJ;L-CZ4@N5)[]^WI7DO[3/Q\U'X52^& M-(T+3K:_UKQ;J/\ 9]HU[*\-E;G:6+2NBLP[ * *_M@_M42?LX^'M/;2],&NZW?F2:.U>;RT2WB0O-*3U^48XQW]J M[W0_BCIMQ\-=/\3WMW;V&FW=C%>O)++A(Q(@8?,?]X 5*S&@Z\L.I>]%7?8< M<52=1TN;5:G6BY!8C#\#.=O%(UVJ]F]>E>*?"']K"P^(WQ"\6P_VAH__ CF MF:A:Z3I5Y&Q+7MQ+'O9,Y(// YX-=+\6_C+_8'A[48O#MWH%SXDL)[6%K?4 M;S[/#&9W 9L'YBNXA<9.**698>I#VBDK"AB: /QO'X:EUO2T\0&+M]9L M9M:MH_-DLUD!E5>G3_..]:_6Z3=E)&BKT_YD=3NXS0&S7)1_&GPQ=311)K%D M9)3<*BF0#<8&*S=>FPC!)P.1CK4WPW^+.@_%O2Y;S0-3M-3MX9/+=H'SL;T( MZC\:<<32 FY*">K.G!R:6HHAMDQ[5+70C17ZA1110,**** $-(0<\ M8IU%#5P&%"S=J55Q3J* &F/)H$8%.HHL @&*6BB@ HHHH **** "BBB@ HHH MH **** "BBB@"&\ ,8SZ_P!,5\S_ !>&K?"']L2U^(%UX>UW7_#-[H']DL^E M6#7LVFRB;>6,: L%*@#(!]\<9^F;J/S57TSSS41@#XR@;UR.O:N+'8/ZQ!*, MK-.YRXNC[6*2=FG<^7?VHM4U#]IWP!X&T?2_#_B[3;36O%4'VQKO37AN+:VB MW,96Q_J@2%P20?I5?XU_ *7X>>'AH?@U/$6I>-/B#+'I5YXDNI)[TZ;:#YI& M:4EC&G 4'DD9 QD?4\5EMDR3DXZXQS3EM 6!8*2I...0,^OTKAJY5"HYSJ3 MO*22;MLEV..>5J U?7CV@=AQT/XG\:1K/ [9SR4^4__KKFI?'O[4OAC4?B%\8_%5AXIT[QS<:1;Z?#)X M0?1M-GN(HKW&XRYCR!*K#&6PNTMDCBN\_88?Q5:Z1XHNO'5IXB7Q7/J"&[-Y M:%+<0K"JQ^1MRC< [MA/+_KGW_ "IZ6BJ^5PH'W0N M%_*M:&3^SQ/UCF[]"H99RUW74]?0^-]=^$_Q)_:3\;>+O&MC>+X8L)X9O#=E M8ZKI337$EDIQ)(H/W#*2W*@]!63HFE:W_P (!\#8/$OA3Q5J6AZ#]MM]5L8] M,EN'^T1YBM3)#C[F 2"WRX]\ _;GV,A@=S'U)8_A_GVIQMN>0&XP2>^.E8RX M=AS.4)N[WOKUN8/):<9NK&3O+>_WGQ!_PK/7A^S#XA\06_A/6+368?B"OB6U MT@VK)=>7'<1JB1H -N4+< ="W-;LWP4UTZ;\.8]0T6[N-8\5>,%\4^))!;/) M';>6KRQQ2D@8"91%#8&X5]A/9[FX<@8Y&>OXTX6V4(.>2<]\TUP]07VM++IV M+_L:FE92[?@?%_@_PMK[0FIW'AO1->N=/\1W.I:C/!K_A=K6;0;W8^R5+U MUVR*\FP*JL<*QQ65\(/AG?ZS%\*=*M_!^O:7XE\)ZD^J>*=8OM*EM O7KZX[?Y_2E%L2 ? S2HOV8]?UKQ/X9\1_VWX[O;PW$FGZ5+<:AIT C:L>6()]AC/\_6G6T)B;DY '& !G\,5U8?**=&K&HI:KR+HY Y/6I:0 T>F%%%% !1110 4444 %%%% !1110 4444 %%%% !1110 M 4444 %%%% !1110 4444 1W'W1]:9G HHJUL6MAYI!THHJ([?,Q>XC'"BE< MX%%%1+XF:0V%7F/\:8***3^'YEDB<@4'O]:**?4E;"L/EIH/%%%9SV0P4\?C B3E&1115=26,8_+2Q