As filed with the Securities and Exchange Commission on March 29, 2017

Registration No. 333-         

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 


 

FORM S-8

REGISTRATION STATEMENT

Under

The Securities Act of 1933

 


 

AXSOME THERAPEUTICS, INC.

(Exact name of registrant as specified in its charter)

 

Delaware

 

45-4241907

(State or other jurisdiction

 

(IRS Employer Identification No.)

of incorporation or organization)

 

 

 

25 Broadway

9th Floor

New York, New York 10004

(Address of principal executive offices) (Zip Code)

 


 

Axsome Therapeutics, Inc. 2015 Omnibus Incentive Compensation Plan

(Full title of the Plans)

 


 

 

Herriot Tabuteau, M.D.
President and Chief Executive Officer
Axsome Therapeutics, Inc.
25 Broadway
9th Floor

New York, New York 10004

(Name and address of agent for service)

 

(212) 332-3241

(Telephone number, including area code, of agent for service)

 


 

Copies to:

 

Emilio Ragosa

Morgan, Lewis & Bockius LLP

101 Park Avenue

New York, New York 10178

Telephone: (212) 309-6600

 


 

 

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 o

 

Accelerated filer x

Non-accelerated filer o

 

Smaller reporting company o

(Do not check if a smaller reporting company)

 

 

 

CALCULATION OF REGISTRATION FEE

 

 

 

 

 

 

 

 

 

 

Title of Securities to be Registered (1)

 

Amount to be
Registered(2)

 

Proposed Maximum
Offering Price
Per Share(3)

 

Proposed Maximum
Aggregate Offering
Price(3)

 

Amount of
Registration Fee

 

Common stock, $0.0001 par value, to be issued pursuant to the Registrant’s 2015 Omnibus Incentive Compensation Plan

 

766,336 shares

 

$

3.60

 

$

2,758,810

 

$

319.75

 

(1)                                 This registration statement (the “Registration Statement”) covers shares of the Registrant’s common stock, $0.0001 par value per share (“Common Stock”), which are issuable pursuant to the Registrant’s 2015 Omnibus Incentive Compensation Plan (the “2015 Plan”).

(2)                                 This Registration Statement shall also cover any additional shares of Common Stock which become issuable under the 2015 Plan by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without the Registrant’s receipt of consideration which results in an increase in the number of the outstanding shares of Registrant’s Common Stock.

(3)                                 Calculated solely for purposes of this offering under Rule 457(h) of the Securities Act of 1933, as amended (the “1933 Act”), on the basis of the average of the high and low prices per share of Registrant’s Common Stock on March 22, 2017 as reported by The NASDAQ Stock Market.

 

 

 



 

PART II

 

Information Required in the Registration Statement

 

This Registration Statement relates to the registration of an additional 766,336 shares (the “Shares”) of the common stock, par value $0.0001 per share, of Axsome Therapeutics, Inc. (the “Registrant”). The Shares are securities of the same class and relate to the same employee benefit plan, the 2015 Omnibus Incentive Compensation Plan, as those registered pursuant to the Registrant’s registration statement on Form S-8, previously filed with the Securities and Exchange Commission on December 16, 2015. In accordance with General Instruction E of Form S-8, the contents of the Registrant’s registration statement on Form S-8 (File No. 333-208579) filed with the Securities and Exchange Commission on December 16, 2015 is incorporated herein by reference and the information required by Part II is omitted, except as supplemented by the information set forth below.

 

Item 8.  Exhibits

 

Exhibit Number

 

Exhibit

 

 

 

5.1

 

 

Opinion and Consent of Morgan, Lewis & Bockius LLP.

23.1

 

 

Consent of Morgan, Lewis & Bockius LLP is contained in Exhibit 5.1.

23.2

 

 

Consent of Ernst & Young LLP, Independent Registered Public Accounting Firm.

24

 

 

Power of Attorney. Reference is made to page 3 of this Registration Statement.

99.1

 

 

Axsome Therapeutics, Inc. 2015 Omnibus Incentive Compensation Plan (Incorporated by reference, Exhibit 10.6 to Registrant’s First Amendment of Registration Statement on Form S-1, file number 333-207393, filed on November 2, 2015.)

99.2

 

 

2015 Omnibus Incentive Compensation Plan, Form of Stock Option Agreement. (Incorporated by reference, Exhibit 99.2 to Registrant’s Registration Statement on Form S-8, file number 333-208579, filed on December 16, 2015.)

 

2



 

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 New York, State of New York on this 29th day of March, 2017.

 

 

AXSOME THERAPEUTICS, INC.

 

 

 

By

/s/ Herriot Tabuteau, M.D.

 

 

Herriot Tabuteau, M.D.
Chief Executive Officer

 

POWER OF ATTORNEY

 

KNOW ALL PERSONS BY THESE PRESENTS:

 

That each person whose signature appears below constitutes and appoints Herriot Tabuteau, M.D., Chief Executive Officer, and Constance Ames, Vice President, Finance, and each of them, as such person’s true and lawful attorneys-in-fact and agents, with full power of substitution and resubstitution, for such person and in such person’s name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange 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 to all intents and purposes as such person might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, or their or his or her 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 on behalf of the Registrant and in the capacities and on the dates indicated.

 

Signature

 

Title

 

Date

 

 

 

 

 

 

 

/s/ Herriot Tabuteau, M.D.

 

Chief Executive Officer and Chairman of

 

March 29, 2017

 

Herriot Tabuteau, M.D.

 

the Board (Principal Executive Officer)

 

 

 

 

 

 

 

 

 

/s/ Constance Ames

 

Vice President, Finance

 

March 29, 2017

 

Constance Ames

 

(Principal Financial and Accounting
Officer)

 

 

 

 

 

 

 

 

 

/s/ Roger Jeffs, Ph.D.

 

Director

 

March 29, 2017

 

Roger Jeffs, Ph.D.

 

 

 

 

 

 

 

 

 

 

 

/s/ Mark Coleman, M.D.

 

Director

 

March 29, 2017

 

Mark Coleman, M.D.

 

 

 

 

 

 

 

 

 

 

 

/s/ Mark Saad

 

Director

 

March 29, 2017

 

Mark Saad

 

 

 

 

 

 

3



 

EXHIBIT INDEX

 

Exhibit Number

 

Exhibit

 

 

 

5.1

 

 

Opinion and Consent of Morgan, Lewis & Bockius LLP.

23.1

 

 

Consent of Morgan, Lewis & Bockius LLP is contained in Exhibit 5.1.

23.2

 

 

Consent of Ernst & Young LLP, Independent Registered Public Accounting Firm.

24

 

 

Power of Attorney. Reference is made to page 3 of this Registration Statement.

99.1

 

 

Axsome Therapeutics, Inc. 2015 Omnibus Incentive Compensation Plan (Incorporated by reference, Exhibit 10.6 to Registrant’s First Amendment of Registration Statement on Form S-1, file number 333-207393, filed on November 2, 2015.)

99.2

 

 

2015 Omnibus Incentive Compensation Plan, Form of Stock Option Agreement. (Incorporated by reference, Exhibit 99.2 to Registrant’s Registration Statement on Form S-8, file number 333-208579, filed on December 16, 2015.)

 

4


EXHIBIT 5.1

 

OPINION AND CONSENT OF MORGAN, LEWIS & BOCKIUS LLP

 

March 29, 2017

 

Axsome Therapeutics, Inc.
25 Broadway

9th Floor

New York, New York 10004

 

Re:                                   Axsome Therapeutics, Inc. - Registration Statement on Form S-8 for 766,336 Shares of Common Stock

 

Ladies and Gentlemen:

 

We have acted as counsel to Axsome Therapeutics, Inc., a Delaware Corporation (the “Company”), in connection with the registration on Form S-8 (the “Registration Statement”) under the Securities Act of 1933, as amended, of 766,336 shares of Common Stock (the “Shares”) under the Company’s 2015 Omnibus Incentive Compensation Plan (the “2015 Plan”).

 

This opinion is being furnished in accordance with the requirements of Item 8 of Form S-8 and Item 601(b)(5)(i) of Regulation S-K.

 

We have reviewed the Company’s charter documents and the corporate proceedings taken by the Company in connection with the establishment and implementation of the 2015 Plan.  Based on such review, we are of the opinion that, if, as and when the Shares have been issued and sold (and the consideration therefor received) pursuant to the (a) provisions of option agreements duly authorized under the 2015 Plan and in accordance with the Registration Statement, or (b) duly authorized restricted stock units or other stock-based awards under the 2015 Plan and in accordance with the Registration Statement, such Shares will be duly authorized, legally issued, fully paid and nonassessable.

 

We consent to the filing of this opinion letter as Exhibit 5.1 to the Registration Statement.  In giving the opinion set forth in this letter, we do not hereby admit that we are acting within the category of persons whose consent is required under Section 7 of the Securities Act of 1933, as amended, or the rules or regulations of the Securities and Exchange Commission thereunder.

 

This opinion letter is rendered as of the date first written above and we disclaim any obligation to advise you of facts, circumstances, events or developments which hereafter may be brought to our attention and which may alter, affect or modify the opinion expressed herein.  Our opinion is expressly limited to the matters set forth above and we render no opinion, whether by implication or otherwise, as to any other matters relating to the Company, the 2015 Plan or the Shares.

 

 

Very truly yours,

 

 

 

 

 

/s/ MORGAN, LEWIS & BOCKIUS LLP

 


Exhibit 23.2

 

Consent of Independent Registered Public Accounting Firm

 

We consent to the incorporation by reference in the Registration Statement (Form S-8) pertaining to the Axsome Therapeutics, Inc. 2015 Omnibus Incentive Compensation Plan of our report dated March 7, 2017, with respect to the consolidated financial statements of Axsome Therapeutics, Inc. included in its Annual Report (Form 10-K) for the year ended December 31, 2016, filed with the Securities and Exchange Commission.

 

/s/ Ernst & Young LLP

 

New York, New York

 

March 29, 2017