Attached files
As filed with the Securities and Exchange Commission on December 8, 2010
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-1
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
ENTEROMEDICS INC.
(Exact name of registrant as specified in its charter)
Delaware | 3845 | 48-1293684 | ||
(State or other jurisdiction of incorporation or organization) |
(Primary Standard Industrial Classification Code Number) |
(I.R.S. Employer Identification No.) |
2800 Patton Road
St. Paul, Minnesota 55113
(651) 634-3071
(Address, including zip code, and telephone number, including area code, of registrants principal executive offices)
Mark B. Knudson, Ph.D.
Chief Executive Officer
EnteroMedics Inc.
2800 Patton Road
St. Paul, Minnesota 55113
(651) 634-3003
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
Kenneth L. Cutler Timothy S. Hearn Dorsey & Whitney LLP 50 South Sixth Street Minneapolis, Minnesota 55402 Tel: (612) 340-2600 Fax: (612) 340-2868 |
W. Morgan Burns Jonathan R. Zimmerman Faegre & Benson LLP 2200 Wells Fargo Center 90 South Seventh Street Minneapolis, Minnesota 55402 Tel: (612) 766-7000 Fax: (612) 766-1600 |
Approximate date of commencement of proposed sale to the public: As soon as practicable after this registration statement becomes effective.
If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933 check the following box: x
If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. x 333-170503
If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ¨
If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ¨
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of large accelerated filer, accelerated filer and smaller reporting company in Rule 12b-2 of the Exchange Act. (Check one):
Large accelerated filer | ¨ | Accelerated filer | ¨ | |||||
Non-accelerated filer | x | (Do not check if a smaller reporting company) | Smaller reporting company | ¨ |
CALCULATION OF REGISTRATION FEE
Title of Each Class of Securities to be Registered |
Proposed Maximum |
Amount of Registration Fee(3) | ||
Common stock, $0.01 par value per share |
$1,050,000 | |||
Warrants to purchase common stock |
(4) | (4) | ||
Common stock underlying warrants |
$1,312,500(5) | |||
Total |
$2,362,500 | $169 |
(1) | In accordance with Rule 462(b) promulgated under the Securities Act of 1933, as amended, an additional amount of securities having a proposed maximum aggregate offering price of no more than 20% of the maximum aggregate offering price of the securities eligible to be sold under the related Registration Statement on Form S-1 (File No. 333-170503), as amended, is hereby registered. |
(2) | Estimated solely for the purpose of calculating the registration fee in accordance with Rule 457(o) under the Securities Act of 1933. Includes the offering price attributable to shares available for purchase by the underwriter to cover over-allotments, if any. |
(3) | Calculated pursuant to Rule 457(o) based on an estimate of the proposed maximum aggregate offering price. |
(4) | No fee pursuant to Rule 457(g). |
(5) | Determined in accordance with Rule 457(g) based upon the estimated exercise price of the warrants. |
This Registration Statement shall become effective upon filing in accordance with Rule 462(b) under the Securities Act of 1933, as amended.
EXPLANATORY NOTE AND INCORPORATION BY REFERENCE
This Registration Statement on Form S-1 (this Registration Statement) is being filed with respect to the registration of additional shares of common stock, par value $0.01 per share, and warrants to purchase common stock of EnteroMedics Inc., a Delaware corporation (the Company), pursuant to Rule 462(b) under the Securities Act of 1933, as amended. The contents of the Companys Registration Statement on Form S-1, as amended (File No. 333-170503), initially filed by the Company on November 10, 2010 and declared effective by the Securities and Exchange Commission (the Commission) on December 8, 2010, are incorporated by reference into this Registration Statement.
The required opinion and consents are listed on an Exhibit Index attached hereto and filed herewith.
PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
Item 16. | Exhibits |
All exhibits filed with or incorporated by reference in the Companys Registration Statement on Form S-1, as amended (File No. 333-170503), are incorporated by reference into, and shall be deemed part of, this Registration Statement, except the following, which are filed herewith.
Exhibit |
Description | |
5.1 | Opinion of Dorsey & Whitney LLP. | |
23.1 | Consent of Deloitte & Touche LLP, Independent Registered Public Accounting Firm. | |
23.2 | Consent of Dorsey & Whitney LLP (included in Exhibit 5.1 to this Registration Statement). | |
24.1* | Power of Attorney. |
* | Included on the signature page to the Companys Registration Statement on Form S-1 (File No. 333-170503) filed with the Commission on November 10, 2010. |
II-1
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the registrant has duly caused this Registration Statement on Form
S-1 to be signed on its behalf by the undersigned, thereunto duly
authorized, in the City of St. Paul, State of Minnesota, on December 8, 2010.
ENTEROMEDICS INC. | ||
By | /S/ MARK B. KNUDSON, PH.D. | |
Mark B. Knudson, Ph.D. | ||
President and Chief Executive Officer |
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement on Form S-1 has been signed by the following persons in the capacities and on the date indicated.
Signature |
Title |
Date | ||
/S/ MARK B. KNUDSON, PH.D. |
President, Chief Executive Officer, Chairman and Director (principal executive officer) |
December 8, 2010 | ||
Mark B. Knudson, Ph.D. | ||||
/S/ GREG S. LEA |
Senior Vice President and Chief Financial Officer (principal financial and accounting officer) |
December 8, 2010 | ||
Greg S. Lea | ||||
* |
Director | December 8, 2010 | ||
Luke Evnin, Ph.D. | ||||
* |
Director | December 8, 2010 | ||
Catherine Friedman | ||||
* |
Director | December 8, 2010 | ||
Carl Goldfischer, M.D. | ||||
* |
Director | December 8, 2010 | ||
Bobby I. Griffin | ||||
* |
Director | December 8, 2010 | ||
Donald C. Harrison M.D. | ||||
* |
Director | December 8, 2010 | ||
Paul H. Klingenstein | ||||
* |
Director | December 8, 2010 | ||
Nicholas L. Teti, Jr. | ||||
* |
Director | December 8, 2010 | ||
Jon T. Tremmel |
*By: | /S/ MARK B. KNUDSON, PH.D. | |
Mark B. Knudson, Ph.D. | ||
Attorney-in-Fact |
EXHIBIT INDEX
Exhibit |
Description | |
5.1 | Opinion of Dorsey & Whitney LLP. | |
23.1 | Consent of Deloitte & Touche LLP, Independent Registered Public Accounting Firm. | |
23.2 | Consent of Dorsey & Whitney LLP (included in Exhibit 5.1 to this registration statement). | |
24.1* | Power of Attorney. |
* | Included on the signature page to the Companys Registration Statement on Form S-1 (File No. 333-170503) filed with the Commission on November 10, 2010. |