As filed with the Securities and Exchange Commission on February 15, 2019
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
MoSys, Inc.
(Exact name of registrant as specified in its charter)
| Delaware | 77-0291941 | |
| (State or other jurisdiction of incorporation or organization) |
(IRS employer identification no.) |
2309 Bering Drive
San Jose, California 95131
(408) 418-7500
(Address of principal executive offices)
MoSys, Inc. Amended and Restated 2010 Equity Incentive Plan
(Full title of the plan)
James Sullivan, Chief Financial Officer and Vice President
MoSys, Inc.
2309 Bering Drive
San Jose, California 95131
(Name and address of agent for service)
(408) 418-7500
(Telephone, including area code, of agent for service)
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. ☐
CALCULATION OF REGISTRATION FEE
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Title Of Securities To Be Registered |
Amount To Be Registered |
Proposed Maximum Offering Price Per Share |
Proposed Maximum Aggregate Offering Price |
Amount Of Registration Fee (3) | ||||
| Common Stock, par value $0.001 per share |
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| To be issued upon exercise of options and pursuant to other awards of common stock granted under the: |
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| MoSys, Inc. Amended and Restated 2010 Equity Incentive Plan (1) |
4,050,000 | $ 0.181 (2) | $ 733,050 | $ 88.85 | ||||
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| (1) | Represents additional shares reserved for issuance upon exercise of stock options and pursuant to other awards of common stock granted under the Registrant’s Amended and Restated 2010 Equity Incentive Plan. Shares issuable pursuant to the Registrant’s Amended and Restated 2010 Equity Incentive Plan were originally registered on the Registration Statement on Form S-8 filed with the Securities and Exchange Commission on July 28, 2010 (Commission File No. 333-168358), and additional shares were registered on the Registration Statements on Form S-8 filed on March 15, 2011 (Commission File No. 333- 172828), March 15, 2012 (Commission File No. 333-180119), March 12, 2013 (Commission File No. 333-187187), March 14, 2014 (Commission File No. 333-194563), August 8, 2014 (Commission File No. 333-197989), March 13, 2015 (Commission File No. 333-202735), May 11, 2016 (Commission File No. 333-211273) and January 29, 2018 (Commission File No. 333-222739). Each of the foregoing Registration Statements is incorporated herein by reference. |
| (2) | Estimated solely for purposes of calculating the amount of the registration fee pursuant to Rule 457(c) and (h)(1) of the Securities Act of 1933, as amended (the “Securities Act”). |
| (3) | Maximum fee is calculated pursuant to Section 6(b) of the Securities Act. |
INFORMATION REQUIRED PURSUANT
TO GENERAL INSTRUCTION E TO FORM S-8
Explanatory Note
This Registration Statement is being filed by MoSys, Inc. (the “Registrant”) relating to 4,050,000 shares of its common stock, $0.001 par value per share (the “Common Stock”) issuable to eligible individuals under the Registrant’s Amended and Restated 2010 Equity Incentive Plan (the “Plan”), and such shares are in addition to shares originally registered on the Registration Statements on Form S-8 filed with the Securities and Exchange Commission (the “SEC”) on July 28, 2010 (Commission File No. 333-168358), and on March 15, 2011 (Commission File No. 333- 172828), March 15, 2012 (Commission File No. 333-180119), March 12, 2013 (Commission File No. 333-187187), March 14, 2014 (Commission File No. 333-194563), August 8, 2014 (Commission File No. 333-197989), March 13, 2015 (Commission File No. 333-202735), May 11, 2016 (Commission File No. 333-211273) and January 29, 2018 (Commission File No. 333-222739) in accordance with General Instruction E to Form S-8. Each of the foregoing Registration Statements is incorporated herein by reference (collectively the “Prior Registration Statements”).
This Registration Statement relates to securities of the same class as that to which the Prior Registration Statements relate, and is submitted in accordance with Instruction E to Form S-8 regarding the registration of additional securities. Accordingly, the contents of the Prior Registration Statements are incorporated herein by reference and made part of this Registration Statement, except as amended hereby.
PART II
INFORMATION REQUIRED IN THE
REGISTRATION STATEMENT
| Item 3. | Incorporation of Documents By Reference |
The following additional documents filed with the SEC by the Registrant are incorporated by reference in this Registration Statement:
| 1. | The Annual Report on Form 10-K for the fiscal year ended December 31, 2017, filed with the SEC on March 12, 2018; |
| 2. | All other reports filed pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), since December 31, 2017; and |
| 3. | The description of the capital stock of the Registrant contained in the Registration Statement on Form S-1 (File No. 333-225193), filed on May 24, 2018, as amended by Amendment No. 1 on Form S-1/A filed on September 17, 2018, and Amendment No. 2 on Form S-1/A dated September 28, 2018, and declared effective on September 27, 2018, under the heading “Description of Capital Stock.” |
In addition, all documents filed by the Registrant pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act, after the date of this Registration Statement and prior to the filing of a post-effective amendment which indicates that all securities offered have been sold or which deregisters all securities then remaining unsold, are deemed to be incorporated by reference into this Registration Statement and to be a part hereof from the respective dates of filing of such documents. Any statement contained in this Registration Statement or in a document incorporated by reference shall be deemed modified or superseded to the extent that a statement contained in any subsequently filed document which also is or is deemed to be incorporated by reference herein or therein modifies or supersedes such statement. Any statement so modified or superseded shall not be deemed to constitute a part hereof, except as so modified or superseded.
| Item 8. | Exhibits. |
** Filed herewith
| (1) | Incorporated by reference to the same-numbered exhibit to the Registrant’s Registration Statement on Form S-1, as amended, originally filed August 4, 2000, declared effective June 27, 2001 (Commission File No. 333-43122). |
| (2) | Incorporated by reference to the same-numbered exhibit to the Registrant’s Current Report on Form 8-K, filed November 12, 2010 (Commission File No. 000-32929). |
| (3) | Incorporated by reference to Exhibit 4.2.3 to the Current Report on Form 8-K, filed on July 27, 2011 (Commission File No. 000-32929). |
| (4) | Incorporated by reference to Exhibit 4.2.4 to the Current Report on Form 8-K, filed on May 24, 2012 (Commission File No. 000-32929). |
| (5) | Incorporated by reference to the same-numbered exhibit to the Registrant’s Registration Statement on Form S-8, filed July 28, 2010 (Commission File No. 333-168358). |
| (6) | Incorporated by reference to Exhibit 10.23 to the Registrant’s Form 10-Q filed August 8, 2013 (Commission File No. 000-32929). |
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 Santa Clara, state of California on February 15, 2019.
| MOSYS, INC. | ||
| By: | /s/ James W. Sullivan | |
| James W. Sullivan | ||
| Vice President of Finance and Chief Financial Officer | ||
POWER OF ATTORNEY
Each person whose individual signature appears below hereby authorizes and appoints James W. Sullivan with full power of substitution and resubstitution and full power to act, as his true and lawful attorney-in-fact and agent to act in his name, place and stead and to execute in the name and on behalf of each person, individually and in each capacity stated below, and to file, any and all registration statements relating to the same offering that are to be effective upon filing pursuant to Rule 462(b) under the Securities Act of 1933, as amended, and to file the same, with exhibits thereto and other documents in connection therewith, and any and all amendments to this Registration Statement, including any and all post-effective amendments and amendments thereto, with the Securities and Exchange Commission, granting unto said attorney-in-fact and agent, full power and authority to do and perform each and every act and thing, ratifying and confirming all that said attorney-in-fact and agent or his substitute or substitutes, may lawfully do or cause to be done by virtue thereof.
Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed below by the following persons in the capacities and on the dates indicated.
| Signature |
Title |
Date | ||
| /s/ Daniel Lewis |
Chief Executive Officer, President and Director | February 15, 2019 | ||
| Daniel Lewis | (principal executive officer) | |||
| /s/ James W. Sullivan |
Vice President and Chief Financial Officer | February 15, 2019 | ||
| James W. Sullivan | (principal financial and accounting officer) | |||
| /s/ Scott Lewis |
Director | February 15, 2019 | ||
| Scott Lewis | ||||
| /s/ Robert Y. Newell |
Director | February 15, 2019 | ||
| Robert Y. Newell | ||||
| /s/ Daniel J. O’Neil |
Director | February 15, 2019 | ||
| Daniel J. O’Neil | ||||