Delaware | 2834 | 20-0028718 | ||
(State or Other Jurisdiction
of Incorporation or Organization) |
(Primary Standard Industrial Classification Code Number) |
(I.R.S. Employer Identification Number) |
Jay K. Hachigian, Esq. Marc F. Dupré, Esq. Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP 850 Winter Street Waltham, MA 02451 (781) 890-8800 |
Richard D. Truesdell, Jr., Esq. Davis Polk & Wardwell LLP 450 Lexington Avenue New York, NY 10017 (212) 450-4000 |
Large accelerated filer o | Accelerated filer o | Non-accelerated filer þ | Smaller reporting company o |
Proposed Maximum |
Proposed Maximum |
|||||||||||
Title of Each Class of |
Amount to be |
Offering Price |
Aggregate |
Amount of |
||||||||
Securities to be Registered | Registered(1) | Per Share | Offering Price(2) | Registration Fee(3) | ||||||||
Common Stock, $0.01 par value per share
|
6,900,000 | $17.00 | $117,300,000 | $7,124 | ||||||||
(1) | Includes 900,000 shares of common stock issuable upon exercise of an option to purchase additional shares granted to the underwriters. | |
(2) | Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457(a) under the Securities Act, based on an estimate of the proposed maximum aggregate offering price. | |
(3) | A registration fee in the amount of $4,464 was paid at the time of the initial filing of the registration statement on an estimate of the aggregate offering price. A portion of this registration fee was paid through an off-set of a registration fee in the amount of $2,948 that was previously paid by the registrant in connection with a prior registration statement filing that was subsequently withdrawn. |
EXPLANATORY NOTE | ||||||||
ITEM 16. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES | ||||||||
SIGNATURES | ||||||||
INDEX TO EXHIBITS | ||||||||
EX-5.1 | ||||||||
EX-10.19 | ||||||||
EX-10.20 | ||||||||
EX-10.23 | ||||||||
EX-10.26 |
ITEM 16. | EXHIBITS AND FINANCIAL STATEMENT SCHEDULES |
1 | .1 | Form of Underwriting Agreement** | ||
3 | .1 | Restated Certificate of Incorporation of Registrant, as amended on various dates** | ||
3 | .2 | Restated Certificate of Incorporation of Registrant to be effective upon closing** | ||
3 | .3 | Amended and Restated Bylaws of the Registrant** | ||
3 | .4 | Amended and Restated Bylaws of the Registrant to be effective upon closing** | ||
4 | .1 | Reference is made to Exhibits 3.1, 3.2, 3.3 and 3.4 | ||
4 | .2 | Form of Registrants Common Stock Certificate** | ||
4 | .3 | Second Amended and Restated Investor Rights Agreement, dated March 17, 2008, by and among the Registrant, certain stockholders and the investors listed on the signature pages thereto** | ||
4 | .4 | Second Amended and Restated Stock Sale Agreement, dated March 17, 2008, by and among the Registrant, certain stockholders and the investors listed on the signature pages thereto** | ||
4 | .5 | Omnibus Amendment, dated August 25, 2009 by and among the Registrant, certain stockholders and the investors listed on the signature pages thereto** | ||
5 | .1 | Opinion of Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP | ||
10 | .1 | Form of Indemnification Agreement between the Registrant and each of its directors and executive officers** | ||
10 | .2 | Amended and Restated Employment Agreement, dated August 18, 2008, by and between the Registrant and C. Daniel Myers** | ||
10 | .3 | Amended and Restated Employment Agreement, dated August 18, 2008, by and between the Registrant and Richard Eiswirth** | ||
10 | .4 | Amended and Restated Employment Agreement, dated August 18, 2008, by and between the Registrant and David Holland** | ||
10 | .5 | Amended and Restated Employment Agreement, dated August 18, 2008, by and between the Registrant and Susan Caballa** | ||
10 | .6 | Amended and Restated Employment Agreement, dated August 18, 2008, by and between the Registrant and Kenneth Green** | ||
10 | .7 | Alimera Sciences, Inc. 2004 Incentive Stock Plan, as amended** | ||
10 | .7.A | Form of Option Certificate under the Alimera Sciences, Inc. 2004 Incentive Stock Plan** | ||
10 | .8 | Alimera Sciences, Inc. 2005 Incentive Stock Plan** | ||
10 | .8.A | Form of Option Certificate under the Alimera Sciences, Inc. 2005 Incentive Stock Plan** | ||
10 | .9 | 2010 Equity Incentive Plan (to be effective upon closing of the offering)** | ||
10 | .10 | 2010 Employee Stock Purchase Plan (to be effective upon closing of the offering)** | ||
10 | .11 | Management Cash Incentive Plan (to be effective upon closing of the offering)** | ||
10 | .12 | Compensation Program for Non-Employee Directors (to be effective upon closing of the offering)** | ||
10 | .13 | Amended and Restated Collaboration Agreement by and between pSivida, Inc. (f/k/a/ Control Delivery Systems, Inc.) and Alimera Sciences, Inc., dated as of March 14, 2008** | ||
10 | .14 | Asset Purchase Agreement between Bausch & Lomb Incorporated and Alimera Sciences, Inc., dated as of December 20, 2006** | ||
10 | .15 | Asset Purchase Agreement between Bausch & Lomb Incorporated and Alimera Sciences, Inc., dated as of February 16, 2007** | ||
10 | .16 | License and Option Agreement by and between Emory University and Alimera Sciences, Inc., dated as of July 16, 2009** |
10 | .17 | License and Option Agreement by and between Emory University and Alimera Sciences, Inc., dated as of August 31, 2009** | ||
10 | .18 | Office Lease by and between Rubicon, L.C. and Alimera Sciences, Inc., dated as of May 27, 2003, as amended** | ||
10 | .19 | Option Certificates Documenting Options Granted to C. Daniel Myers under the 2004 Incentive Stock Plan and 2005 Incentive Stock Plan | ||
10 | .20 | Option Certificates Documenting Options Granted to Richard Eiswirth under the 2004 Incentive Stock Plan and 2005 Incentive Stock Plan | ||
10 | .21 | Option Certificates Documenting Options Granted to David Holland under the 2004 Incentive Stock Plan and 2005 Incentive Stock Plan** | ||
10 | .22 | Option Certificates Documenting Options Granted to Susan Caballa under the 2004 Incentive Stock Plan and 2005 Incentive Stock Plan** | ||
10 | .23 | Option Certificates Documenting Options Granted to Kenneth Green under the 2004 Incentive Stock Plan and 2005 Incentive Stock Plan | ||
10 | .24 | Option Certificates Documenting Options Granted to Calvin W. Roberts under the 2004 Incentive Stock Plan and 2005 Incentive Stock Plan** | ||
10 | .25 | License Agreement, between Alimera Sciences, Inc. and Dainippon Sumitomo Pharma Co., Ltd., dated November 4, 2007** | ||
10 | .26 | Commercial Contract Manufacturing Agreement, between Alimera Sciences, Inc. and Alliance Medical Products, Inc., dated February 5, 2010 | ||
23 | .1 | Consent of Deloitte & Touche LLP Independent Registered Public Accounting Firm** | ||
23 | .2 | Consent of Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP (contained in Exhibit 5.1) | ||
24 | .1 | Power of Attorney** |
| Compensation Arrangement. | |
* | To be filed by amendment. | |
| Confidential treatment has been requested for portions of this document. The omitted portions of this document have been filed by amendment with the Securities and Exchange Commission. |
** | Previously filed. |
By: |
/s/ C.
Daniel Myers
|
Signature
|
Title
|
Date
|
||||
/s/ C.
Daniel Myers |
President and Chief Executive Officer | April 20, 2010 | ||||
/s/ Richard
S. Eiswirth, Jr. |
Chief Financial Officer and Treasurer (Principal Financial and Accounting Officer) |
April 20, 2010 | ||||
* |
Chairman of the Board of Directors, Director |
April 20, 2010 | ||||
* |
Director | April 20, 2010 | ||||
* |
Director | April 20, 2010 | ||||
* |
Director | April 20, 2010 | ||||
* |
Director | April 20, 2010 | ||||
* |
Director | April 20, 2010 | ||||
*By: |
/s/ Richard
S. Eiswirth, Jr. Attorney-in-Fact |
1 | .1 | Form of Underwriting Agreement** | ||
3 | .1 | Restated Certificate of Incorporation of Registrant, as amended on various dates** | ||
3 | .2 | Restated Certificate of Incorporation of Registrant to be effective upon closing** | ||
3 | .3 | Amended and Restated Bylaws of the Registrant** | ||
3 | .4 | Amended and Restated Bylaws of the Registrant to be effective upon closing** | ||
4 | .1 | Reference is made to Exhibits 3.1, 3.2, 3.3 and 3.4 | ||
4 | .2 | Form of Registrants Common Stock Certificate** | ||
4 | .3 | Second Amended and Restated Investor Rights Agreement, dated March 17, 2008, by and among the Registrant, certain stockholders and the investors listed on the signature pages thereto** | ||
4 | .4 | Second Amended and Restated Stock Sale Agreement, dated March 17, 2008, by and among the Registrant, certain stockholders and the investors listed on the signature pages thereto** | ||
4 | .5 | Omnibus Amendment, dated August 25, 2009, by and among the Registrant, certain stockholders and the investors listed on the signature pages thereto** | ||
5 | .1 | Opinion of Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP | ||
10 | .1 | Form of Indemnification Agreement between the Registrant and each of its directors and executive officers** | ||
10 | .2 | Amended and Restated Employment Agreement, dated August 18, 2008, by and between the Registrant and C. Daniel Myers** | ||
10 | .3 | Amended and Restated Employment Agreement, dated August 18, 2008, by and between the Registrant and Richard Eiswirth** | ||
10 | .4 | Amended and Restated Employment Agreement, dated August 18, 2008, by and between the Registrant and David Holland** | ||
10 | .5 | Amended and Restated Employment Agreement, dated August 18, 2008, by and between the Registrant and Susan Caballa** | ||
10 | .6 | Amended and Restated Employment Agreement, dated August 18, 2008, by and between the Registrant and Kenneth Green** | ||
10 | .7 | Alimera Sciences, Inc. 2004 Incentive Stock Plan, as amended** | ||
10 | .7.A | Form of Option Certificate under the Alimera Sciences, Inc. 2004 Incentive Stock Plan** | ||
10 | .8 | Alimera Sciences, Inc. 2005 Incentive Stock Plan** | ||
10 | .8.A | Form of Option Certificate under the Alimera Sciences, Inc. 2005 Incentive Stock Plan** | ||
10 | .9 | 2010 Equity Incentive Plan (to be effective upon closing of the offering)** | ||
10 | .10 | 2010 Employee Stock Purchase Plan (to be effective upon closing of the offering)** | ||
10 | .11 | Management Cash Incentive Plan (to be effective upon closing of the offering)** | ||
10 | .12 | Compensation Program for Non-Employee Directors (to be effective upon closing of the offering)** | ||
10 | .13 | Amended and Restated Collaboration Agreement by and between pSivida, Inc. (f/k/a/ Control Delivery Systems, Inc.) and Alimera Sciences, Inc., dated as of March 14, 2008** | ||
10 | .14 | Asset Purchase Agreement between Bausch & Lomb Incorporated and Alimera Sciences, Inc., dated as of December 20, 2006** | ||
10 | .15 | Asset Purchase Agreement between Bausch & Lomb Incorporated and Alimera Sciences, Inc., dated as of February 16, 2007** | ||
10 | .16 | License and Option Agreement by and between Emory University and Alimera Sciences, Inc., dated as of July 16, 2009** | ||
10 | .17 | License and Option Agreement by and between Emory University and Alimera Sciences, Inc., dated as of August 31, 2009** | ||
10 | .18 | Office Lease by and between Rubicon, L.C. and Alimera Sciences, Inc., dated as of May 27, 2003, as amended** | ||
10 | .19 | Option Certificates Documenting Options Granted to C. Daniel Myers under the 2004 Incentive Stock Plan and 2005 Incentive Stock Plan |
10 | .20 | Option Certificates Documenting Options Granted to Richard Eiswirth under the 2004 Incentive Stock Plan and 2005 Incentive Stock Plan | ||
10 | .21 | Option Certificates Documenting Options Granted to David Holland under the 2004 Incentive Stock Plan and 2005 Incentive Stock Plan** | ||
10 | .22 | Option Certificates Documenting Options Granted to Susan Caballa under the 2004 Incentive Stock Plan and 2005 Incentive Stock Plan** | ||
10 | .23 | Option Certificates Documenting Options Granted to Kenneth Green under the 2004 Incentive Stock Plan and 2005 Incentive Stock Plan | ||
10 | .24 | Option Certificates Documenting Options Granted to Calvin W. Roberts under the 2004 Incentive Stock Plan and 2005 Incentive Stock Plan** | ||
10 | .25 | License Agreement between Alimera Sciences, Inc. and Dainippon Sumitomo Pharma Co., Ltd., dated November 4, 2007** | ||
10 | .26 | Commercial Contract Manufacturing Agreement, between Alimera Sciences, Inc. and Alliance Medical Products, Inc., dated February 5, 2010 | ||
23 | .1 | Consent of Deloitte & Touche LLP Independent Registered Public Accounting Firm** | ||
23 | .2 | Consent of Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP (contained in Exhibit 5.1) | ||
24 | .1 | Power of Attorney** |
| Compensation Arrangement. | |
* | To be filed by amendment. | |
| Confidential treatment has been requested for portions of this document. The omitted portions of this document have been filed with the Securities and Exchange Commission. | |
** | Previously filed. |