Affymetrix Inc - Securities Registration: Employee Benefit Plan (S-8)
June 19 2008 - 2:57PM
Edgar (US Regulatory)
Registration No. 333-
SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION
STATEMENT
Under
The Securities Act of 1933
AFFYMETRIX,
INC.
(Exact name of registrant
as specified in its charter)
Delaware
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77-0319159
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(State or other
jurisdiction
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(IRS Employer
Identification No.)
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of incorporation or
organization)
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3420
CENTRAL EXPRESSWAY
SANTA
CLARA, CA 95051
(Address of principal
executive offices) (Zip Code)
AFFYMETRIX,
INC. AMENDED AND RESTATED 2000 EQUITY INCENTIVE PLAN
(Full title of the Plan)
JOHN C.
BATTY
AFFYMETRIX,
INC.
3420
CENTRAL EXPRESSWAY
SANTA
CLARA, CA 95051
(408)
731-5000
(Name, address including
zip code, and telephone number,
including area code, of
agent for service)
CALCULATION
OF REGISTRATION FEE
Title of
Securities
to be
Registered
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Amount
to be
Registered (1)
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Proposed
Maximum
Offering
Price
per Share (2)
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Proposed
Maximum
Aggregate
Offering
Price (2)
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Amount of
Registration
Fee
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Common Stock,
$0.01 par value
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4,200,000 shares
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$
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11.76
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$
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49,392,000
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$
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1941.11
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(1)
This
Registration Statement covers 4,200,000 shares being added to the Affymetrix, Inc.
Amended and Restated 2000 Equity Incentive Plan. This Registration Statement shall also cover
any additional shares of common stock which become issuable under the
Affymetrix, Inc. Amended and Restated 2000 Equity Incentive Plan by reason
of any stock dividend, stock split, recapitalization or other similar
transaction effected without Registrants receipt of consideration which
results in an increase in the number of the outstanding shares of Registrants
common stock, and the rights pursuant to the Rights Agreement, dated October 15,
1998, as amended February 7, 2000.
(2)
Calculated
under Rule 457(h) of the Securities Act of 1933, as amended, on the
basis of the average of the high and low selling prices per share of the
Registrants Common Stock on June 16, 2008 as reported by the NASDAQ
National Market.
PART II
Information Required in the
Registration Statement
Item 3.
Incorporation of Documents
by Reference
Affymetrix, Inc. (the Registrant) hereby
incorporates by reference into this Registration Statement the following
documents previously filed with the Securities and Exchange Commission (the SEC):
(a)
The
Corporations Annual Report on Form 10-K for the fiscal year ended December 31,
2007, filed with the SEC pursuant to Section 13 of the Securities Exchange
Act of 1934, as amended (the 1934 Act);
(b)
The
Corporations Quarterly Report on Form 10-Q for the fiscal quarter ended March 31,
2008;
(c)
The
Corporations Current Reports on Form 8-K filed with the SEC since December 31,
2007; and
(d)
The
descriptions of the Registrants Common Stock and of certain rights associated
with such Common Stock (the Rights) contained in the Registrants
registration statements on Form 8-A filed with the Commission under Section 12
of the 1934 Act on April 16, 1996 (with respect to the Common Stock) and
on October 16, 1998 and March 29, 2000 (with respect to the Rights),
including any amendments or reports filed for the purpose of updating such
descriptions.
All reports and definitive proxy or information
statements filed pursuant to Section 13(a), 13(c), 14 or 15(d) of the
1934 Act after the date of this Registration Statement and prior to the filing
of a post-effective amendment which indicates that all securities offered
hereby have been sold or which deregisters all securities then remaining unsold
shall be deemed to be incorporated by reference into this Registration
Statement and to be a part hereof from the date of filing of such
documents. Any statement contained in a
document incorporated or deemed to be incorporated by reference herein shall be
deemed to be modified or superseded for purposes of this Registration Statement
to the extent that a statement contained herein or in any subsequently filed
document which also is deemed to be incorporated by reference herein modifies
or supersedes such statement. Any such
statement so modified or superseded shall not be deemed, except as so modified
or superseded, to constitute a part of this Registration Statement.
Item 4.
Description
of Securities
Not Applicable.
Item 5.
Interests
of Named Experts and Counsel
Not Applicable.
Item 6.
Indemnification
of Directors and Officers
Section 145 of the Delaware General Corporation
Law provides that a corporation may indemnify its directors and officers as
well as other employees and individuals against expenses (including attorneys
fees), judgments, fines and amounts paid in settlement actually and reasonably
incurred by such person in connection with any threatened, pending or completed
actions, suits or proceedings in which such person is made a party by reason of
such person being or having been a director, officer, employee or agent to the
Registrant. The Delaware General Corporation Law provides that Section 145
is not exclusive of other rights to which those seeking indemnification may be
entitled under any bylaw, agreement, vote of stockholders or disinterested directors
or otherwise. Article VIII of the Registrants bylaws provides for
indemnification by the Registrant of its directors, officers and employees to
the fullest extent permitted by the Delaware General Corporation Law.
II-1
Section 102(b)(7) of the Delaware General
Corporation Law permits a corporation to provide in its certificate of
incorporation that a director of the corporation shall not be personally liable
to the corporation or its stockholders for monetary damages for breach of
fiduciary duty as a director, except for liability (i) for any breach of
the directors duty of loyalty to the corporation or its stockholders, (ii) for
acts or omissions not in good faith or which involve intentional misconduct or
a knowing violation of law, (iii) for unlawful payments of dividends or
unlawful stock repurchases, redemptions or other distributions, or (iv) for
any transaction from which the director derived an improper personal benefit.
The Registrants certificate of incorporation provides for such limitation of
liability.
The Registrant maintains standard policies of
insurance under which coverage is provided (a) to its directors and
officers against loss rising from claims made by reason of breach of duty or
other wrongful act, and (b) to the Registrant with respect to payments
which may be made by the Registrant to such officers and directors pursuant to
the above indemnification provision or otherwise as a matter of law.
Item 7.
Exemption
from Registration Claimed
Not Applicable.
Item 8.
Exhibits
Exhibit Number
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Exhibit
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4.1(1)
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Rights Agreement, dated October 15, 1998,
between Affymetrix, Inc. and American Stock Transfer & Trust
Company, as Rights Agent.
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4.2(2)
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Amendment No. 1 to Rights Agreement, dated as
of February 7, 2000, between Affymetrix, Inc. and American Stock
Transfer & Trust Company, as Rights Agent.
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5.1
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Opinion of Counsel.
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23.1
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Consent of Independent Registered Public Accounting
Firm.
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23.2
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Consent of Counsel (included in Exhibit 5).
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24.1
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Powers of Attorney (included on signature page).
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(1)
Incorporated
by reference to Exhibit 1 of the Registrants Form 8-A as filed on October 16,
1998 (File No. 000-28218).
(2)
Incorporated
by reference to Exhibit 4.1 of the Registrants Form 8-A/A as filed
on March 29, 2000 (File No. 000-28218).
Item 9.
Undertakings
A.
The
undersigned Registrant hereby undertakes:
(1)
to
file, during any period in which offers or sales are being made, a
post-effective amendment to this Registration Statement (i) to include any
prospectus required by Section 10(a)(3) of the Securities Act of 1933
(the 1933 Act), (ii) to reflect in the prospectus any facts or events
arising after the effective date of this Registration Statement (or the most
recent post-effective amendment thereof) which, individually or in the
aggregate, represent a fundamental change in the information set forth in this
Registration Statement and (iii) to include any material information with
respect to the plan of distribution not previously disclosed in this
Registration Statement or any material change to such information in this
Registration Statement; provided, however, that clauses (1)(i) and (1)(ii) shall
not apply if the information required to be included in a post-effective amendment
by those paragraphs is contained in periodic reports filed by the Registrant
pursuant to Section 13 or Section 15(d) of the 1934 Act that are
incorporated by reference into this Registration Statement;
II-2
(2)
that
for the purpose of determining any liability under the 1933 Act each such
post-effective amendment shall be deemed to be a new registration statement
relating to the securities offered therein and the offering of such securities
at that time shall be deemed to be the initial bona fide offering thereof; and
(3)
to
remove from registration by means of a post-effective amendment any of the
securities being registered which remain unsold at the termination of the
offering.
B.
The
undersigned Registrant hereby undertakes that, for purposes of determining any
liability under the 1933 Act, each filing of the Registrants annual report
pursuant to Section 13(a) or Section 15(d) of the 1934 Act
that is incorporated by reference into this Registration Statement shall be
deemed to be a new registration statement relating to the securities offered
therein, and the offering of such securities at that time shall be deemed to be
the initial bona fide offering thereof.
C.
Insofar
as indemnification for liabilities arising under the 1933 Act may be permitted
to directors, officers, or controlling persons of the Registrant pursuant to
the indemnification foregoing provisions summarized in Item 6 or otherwise, the
Registrant has been advised that, in the opinion of the SEC, such
indemnification is against public policy as expressed in the 1933 Act, and is,
therefore, unenforceable. In the event
that a claim for indemnification against such liabilities (other than the
payment by the Registrant of expenses incurred or paid by a director, officer,
or controlling person of the Registrant in the successful defense of any
action, suit, or proceeding) is asserted by such director, officer, or
controlling person in connection with the securities being registered, the
Registrant will, unless in the opinion of its counsel the matter has been
settled by controlling precedent, submit to a court of appropriate jurisdiction
the question whether such indemnification by it is against public policy as
expressed in the 1933 Act and will be governed by the final adjudication of
such issue.
II-3
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 Santa Clara, State of
California, on the 19th day of June, 2008.
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AFFYMETRIX, INC.
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By:
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/s/
Stephen P.A. Fodor
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Name:
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Stephen P.A. Fodor
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Title:
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Chairman and Chief Executive Officer
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(Principal Executive Officer)
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POWER OF
ATTORNEY
KNOW ALL PERSONS BY THESE
PRESENTS:
That the undersigned officers and directors of
Affymetrix, Inc., a Delaware corporation, do hereby constitute and appoint
Stephen P. A. Fodor and John C. Batty, and each one of them, the lawful
attorneys-in-fact and agents with full power and authority to do any and all
acts and things and to execute any and all instruments which said attorneys and
agents, and any one of them, determine may be necessary or advisable or
required to enable said corporation to comply with the Securities Act of 1933,
as amended, and any rules or regulations or requirements of the Securities
and Exchange Commission in connection with this Registration Statement. Without limiting the generality of the
foregoing power and authority, the powers granted include the power and
authority to sign the names of the undersigned officers and directors in the
capacities indicated below to this Registration Statement, to any and all
amendments, both pre-effective and post-effective, and supplements to this
Registration Statement, and to any and all instruments or documents filed as
part of or in conjunction with this Registration Statement or amendments or
supplements thereof, and each of the undersigned hereby ratifies and confirms
all that said attorneys and agents, or any one of them, shall do or cause to be
done by virtue hereof. This Power of
Attorney may be signed in several counterparts.
IN
WITNESS WHEREOF
, each of the undersigned has executed this
Power of Attorney as of the date indicated.
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
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Title
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Date
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/s/ Stephen P.A. Fodor
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Chairman and Chief Executive
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June 19, 2008
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Stephen P.A. Fodor, Ph.D.
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Officer of Affymetrix, Inc.
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(Principal Executive Officer)
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/s/ John C. Batty
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Executive Vice President and
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June 19, 2008
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John C. Batty
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Chief Financial Officer
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(Principal Financial Officer)
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II-4
/s/ Paul Berg
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June 19, 2008
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Paul Berg, Ph.D.
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Director
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/s/ Susan Desmond-Hellmann
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June 19, 2008
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Susan Desmond-Hellmann, M.D.
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Director
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/s/ John D. Diekman
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June 19, 2008
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John D. Diekman, Ph.D.
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Director
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/s/ Vernon R. Loucks, Jr.
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June 19, 2008
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Vernon R. Loucks, Jr.
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Director
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/s/ Robert H. Trice
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June 19, 2008
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Robert H. Trice, Ph.D.
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Director
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/s/ Robert P. Wayman
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June 19, 2008
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Robert P. Wayman
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Director
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/s/ John A. Young
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June 19, 2008
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John A. Young
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Director
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II-5
EXHIBIT
INDEX
Exhibit Number
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Exhibit
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4.1(1)
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Rights Agreement, dated October 15, 1998,
between Affymetrix, Inc. and American Stock Transfer & Trust
Company, as Rights Agent.
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4.2(2)
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Amendment No. 1 to Rights Agreement, dated as
of February 7, 2000, between Affymetrix, Inc. and American Stock
Transfer & Trust Company, as Rights Agent.
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5.1
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Opinion of Counsel.
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23.1
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Consent of Independent Registered Public Accounting
Firm.
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23.2
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Consent of Counsel (included in Exhibit 5).
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24.1
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Powers of Attorney (included on signature page).
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(1)
Incorporated
by reference to Exhibit 1 of the Registrants Form 8-A as filed on October 16,
1998 (File No. 000-28218).
(2)
Incorporated
by reference to Exhibit 4.1 of the Registrants Form 8-A/A as filed
on March 29, 2000 (File No. 000-28218).
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