As filed with the U.S. Securities and Exchange Commission on October 10, 2018.
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-1
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
Allogene Therapeutics, Inc.
(Exact Name of Registrant as Specified in Its Charter)
Delaware | 2836 | 82-3562771 | ||
(State or Other Jurisdiction of Incorporation or Organization) |
(Primary Standard Industrial Classification Code Number) |
(I.R.S. Employer Identification Number) |
210 East Grand Avenue
South San Francisco, California 94080
(650) 457-2700
(Address, Including Zip Code, and Telephone Number, Including Area Code, of Registrants Principal Executive Offices)
David Chang, M.D., Ph.D.
President and Chief Executive Officer
Allogene Therapeutics, Inc.
210 East Grand Avenue
South San Francisco, California 94080
(650) 457-2700
(Name, Address, Including Zip Code, and Telephone Number, Including Area Code, of Agent for Service)
Copies to:
Charles J. Bair, Esq. Charles S. Kim, Esq. Cooley LLP 4401 Eastgate Mall San Diego, California 92121 (858) 550-6000 |
Brian J. Cuneo, Esq. B. Shayne Kennedy, Esq. Latham & Watkins LLP 140 Scott Drive Menlo Park, California 94025 (650) 328-4600 |
Approximate date of commencement of proposed sale to the public: As soon as practicable after the effective date of this registration statement.
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. ☐
If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) 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. ☒ (File No. 333-227333)
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, 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 not elected to use the extended transition period for complying with any new or revised financial accounting standards provided in Section 7(a)(2)(B) of the Securities Act. ☐
CALCULATION OF REGISTRATION FEE
| ||||||||
Title of Securities to be Registered |
Amount to be |
Proposed Maximum Offering Price Per Share(2) |
Proposed Offering Price |
Amount of Registration Fee(3) | ||||
Common Stock, $0.001 par value per share |
2,300,000 | $18.00 | $41,400,000 | $5,017.68 | ||||
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|
(1) | Represents only the number of shares being registered pursuant to this Registration Statement, which includes 300,000 shares that the underwriters have the option to purchase, and are in addition to the 18,400,000 shares that were registered pursuant to the Registrants Registration Statement on Form S-1 (File No. 333-227333), which included 2,400,000 shares that the underwriters have the option to purchase. |
(2) | Based on the public offering price. |
(3) | The amount of registration fee is calculated in accordance with Rule 457(a) under the Securities Act of 1933, as amended, based on the proposed maximum aggregate offering price. The registrant previously registered securities at an aggregate offering price not to exceed $331,200,000 on a Registration Statement on Form S-1 (File No. 333-227333), which was declared effective by the Securities and Exchange Commission on October 10, 2018. In accordance with Rule 462(b) under the Securities Act, an additional amount of securities having a proposed maximum aggregate offering price of $41,400,000 is hereby registered, which includes shares issuable upon the exercise of the underwriters option to purchase additional shares. |
The Registration Statement shall become effective upon filing in accordance with Rule 462(b) promulgated under the Securities Act of 1933, as amended.
EXPLANATORY NOTE AND
INCORPORATION OF CERTAIN INFORMATION BY REFERENCE
This Registration Statement (the Registration Statement) is being filed with the Securities and Exchange Commission (the Commission) with respect to the registration of additional common stock, par value $0.001 per share (the Common Stock), of Allogene Therapeutics, Inc. (the Registrant), pursuant to Rule 462(b) under the Securities Act of 1933, as amended (the Securities Act). This Registration Statement incorporates by reference the contents of, including all amendments and exhibits thereto, the Registration Statement on Form S-1, as amended (File No. 333-227333) (the Prior Registration Statement), which the Commission declared effective on October 10, 2018. This Registration Statement is being filed solely for the purpose of increasing the number of shares to be offered in the public offering by 2,300,000 shares of Common Stock, which includes 300,000 shares of Common Stock that may be sold pursuant to the underwriters option to purchase additional shares. The additional shares of Common Stock that are being registered for sale are in an amount and at a price that together represent no more than 20% of the maximum aggregate offering price set forth in the Calculation of Registration Fee table contained in the Prior Registration Statement.
The required opinion and consents are listed in the Exhibit Index below and are incorporated by reference in this Registration Statement, except for the Consent of Independent Registered Public Accounting Firm, which is filed herewith.
EXHIBIT INDEX
SIGNATURES
Pursuant to the requirements of the Securities Act, the Registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of South San Francisco, State of California, on the 10th day of October, 2018.
ALLOGENE THERAPEUTICS, INC. | ||
By: |
/s/ David Chang, M.D., Ph.D. | |
David Chang, M.D., Ph.D. | ||
President and Chief Executive Officer |
Pursuant to the requirements of the Securities Act, this registration statement has been signed by the following persons in the capacities and on the dates indicated.
Signature |
Title |
Date | ||
/s/ David Chang, M.D., Ph.D. David Chang, M.D., Ph.D. |
President, Chief Executive Officer and Member of the Board of Directors (Principal Executive Officer) |
October 10, 2018 | ||
/s/ Eric Schmidt, Ph.D. Eric Schmidt, Ph.D. |
Chief Financial Officer (Principal Financial and Accounting Officer) |
October 10, 2018 | ||
* Arie Belldegrun, M.D., FACS |
Executive Chairman of the Board of Directors | October 10, 2018 | ||
* David Bonderman |
Member of the Board of Directors | October 10, 2018 | ||
* Franz Humer, Ph.D. |
Member of the Board of Directors | October 10, 2018 | ||
* John DeYoung |
Member of the Board of Directors | October 10, 2018 | ||
* Joshua Kazam |
Member of the Board of Directors | October 10, 2018 | ||
* Owen Witte, M.D. |
Member of the Board of Directors | October 10, 2018 | ||
* Todd Sisitsky |
Member of the Board of Directors |
October 10, 2018 | ||
/s/ Deborah Messemer Deborah Messemer |
Member of the Board of Directors | October 10, 2018 |
*By: | /s/ David Chang, M.D., Ph.D. | |
David Chang, M.D., Ph.D. | ||
Attorney-in-fact |
Exhibit 23.1
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
We consent to the incorporation by reference in the Registration Statement on Form S-1 filed pursuant to Rule 462(b) of the Securities Act of 1933 of the reference to our firm under the caption Experts and to the incorporation by reference of our report dated August 10, 2018 (except for the fifth paragraph of Note 1, as to which the date is October 1, 2018), with respect to the financial statements of Allogene Therapeutics, Inc. included in Amendment No. 2 to the Registration Statement (Form S-1 No. 333-227333) and related Prospectus of Allogene Therapeutics, Inc. for the registration of its common stock.
/s/ Ernst & Young LLP
Redwood City, California
October 10, 2018