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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 5/13/20 Atomera Inc 8-K:1,8,9 5/12/20 5:214K GlobalOne Filings Inc/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 19K 2: EX-1.1 Underwriting Agreement HTML 112K 3: EX-5.1 Opinion of Counsel re: Legality HTML 8K 4: EX-99.1 Consent of Counsel HTML 8K 5: EX-99.2 Press Release HTML 9K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
Date of report (Date of earliest event reported): May 12, 2020
ATOMERA INCORPORATED
(Exact Name of Registrant as Specified in Its Charter)
| Delaware | 001-37850 | 30-0509586 | ||
| (State or Other Jurisdiction of Incorporation) | (Commission File Number) | (I.R.S. Employer Identification Number) |
|
750 University Avenue, Suite 280 |
| (Address of principal executive offices) |
| (408) 442-5248 |
| (Registrant’s telephone number, including area code) |
| (Former name or former address, if changed since last report) |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
|
Title of each class Common stock: Par value $0.001 |
Trading Symbol(s) ATOM |
Name of each exchange on which registered Nasdaq Capital Market |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company x
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. x
C:
| C: |
| Item 1.01 | Entry into a Material Definitive Agreement. |
On May 13, 2020, Atomera Incorporated (the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) with National Securities Corporation (the “Underwriter”), relating to an underwritten public offering of 1,760,000 shares (the “Shares”) of the Company’s common stock, $0.001 par value. All of the Shares are being sold by the Company. The offering price to the public is $5.00 per share, and the Underwriter has agreed to purchase the Shares from the Company pursuant to the Underwriting Agreement at a price of $4.70 per share. Under the terms of the Underwriting Agreement, the Company granted the Underwriter a 45-day option to purchase up to an additional 264,000 shares of common stock.
The Underwriting Agreement includes customary representations, warranties and covenants by the Company and customary conditions to closing, obligations of the parties and termination provisions. Additionally, under the terms of the Underwriting Agreement, the Company has agreed to indemnify the Underwriter against certain liabilities, including liabilities under the Securities Act of 1933, as amended, or to contribute to payments the Underwriter may be required to make in respect of these liabilities.
The Shares will be issued pursuant to a shelf registration statement that the Company filed with the Securities and Exchange Commission, which became effective on November 15, 2019 (File No. 333-234382). A preliminary prospectus supplement relating to the offering was filed with the Securities and Exchange Commission on May 12, 2020. The closing of the offering is expected to take place on or about May 18, 2020, subject to the satisfaction of customary closing conditions.
A copy of the Underwriting Agreement is attached hereto as Exhibit 1.1 and is incorporated herein by reference. The foregoing description of the material terms of the Underwriting Agreement does not purport to be complete and is qualified in its entirety by reference to such exhibit.
A copy of the legal opinion and consent of Greenberg Traurig, LLP relating to the Shares is attached hereto as Exhibit 5.1.
| Item 8.01 | Other Events. |
The Company issued a press release on May 12, 2020 announcing the launch of the public offering and a press release on May 13, 2020 announcing the pricing of the public offering. The press releases are attached hereto as Exhibits 99.1 and 99.2, respectively, and are incorporated herein by reference.
| Item 9.01 | Financial Statements and Exhibits |
| (d) | Exhibits | Method Filing |
The following exhibits are filed with this report:
| 1.1 | Underwriting Agreement dated as of May 13, 2020 between the Company and National Securities Corporation, as underwriter | Filed electronically herewith |
| 5.1 | Opinion of Greenberg Traurig, LLP regarding legality of the shares | Filed electronically herewith |
| 23.1 | Consent of Greenberg Traurig, LLP (included in Exhibit 5.1) | Filed electronically herewith |
| 99.1 | Press release dated May 12, 2020 regarding the launch of the public offering | Filed electronically herewith |
| 99.2 | Press release dated May 13, 2020 regarding the pricing of the public offering | Filed electronically herewith |
C:
| C: 2 |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
|
| |
| ATOMERA INCORPORATED | |
| Dated: May 13, 2020 | /s/ Francis B. Laurencio |
| Francis B. Laurencio, | |
| Chief Financial Officer | |
C:
| 3 |
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 5/18/20 | ||||
| Filed on: | 5/13/20 | |||
| For Period end: | 5/12/20 | 424B5 | ||
| 11/15/19 | EFFECT | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 9/02/20 Atomera Inc. 424B5 1:353K GlobalOne Filings Inc/FA |