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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 9/03/21 ReShape Lifesciences Inc. S-3 5:337K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: S-3 Registration Statement - Securities for a HTML 169K Transaction 2: EX-5.1 Opinion of Counsel re: Legality HTML 11K 3: EX-23.1 Consent of Expert or Counsel HTML 5K 4: EX-23.2 Consent of Expert or Counsel HTML 5K 5: EX-23.3 Consent of Expert or Counsel HTML 5K
tm2126927-2_s3 - none - 3.23442s |
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Delaware
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26-1828101
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(State or other jurisdiction of
incorporation or organization) |
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(I.R.S. Employer
Identification Number) |
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| Large accelerated filer ☐ | | |
Accelerated filer
☐
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Non-accelerated filer
☒
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Smaller reporting company
☒
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Emerging growth company
☐
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Title of each class of securities to be registered
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Amount to be
registered(1) |
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Proposed maximum
aggregate offering price(2) |
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Amount of
registration fee |
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Common Stock ($0.001 par value per share)
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6,347,039 shares
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$21,294,316
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| | | | $ | 2,324 | | |
| | | | | 1 | | | |
| | | | | 2 | | | |
| | | | | 3 | | | |
| | | | | 4 | | | |
| | | | | 6 | | | |
| | | | | 7 | | | |
| | | | | 8 | | | |
| | | | | 10 | | | |
| | | | | 12 | | | |
| | | | | 12 | | | |
| | | | | 12 | | | |
| | | | | 12 | | |
(in thousands, except per share amounts)
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Years Ended December 31,
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2019
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Net loss
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| | | $ | (21,630) | | | | | $ | (74,207) | | |
Net loss per share – basic and diluted: | | | | | | | | | | | | | |
Net loss per share – basic and diluted
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| | | $ | (3.12) | | | | | $ | (42.93) | | |
Shares used to compute basic and diluted net loss per share
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| | | | 6,927,021 | | | | | | 1,728,722 | | |
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Three Months Ended March 31,
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2020
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Net loss
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| | | $ | (4,874) | | | | | $ | (4,311) | | |
Net loss per share – basic and diluted: | | | | | | | | | | | | | |
Net loss per share – basic and diluted
|
| | | $ | (0.70) | | | | | $ | (0.63) | | |
Shares used to compute basic and diluted net loss per share
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| | | | 6,968,221 | | | | | | 6,859,240 | | |
| | | | | | ||||||||
Net loss
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| | | $ | (3,604) | | | | | $ | (7,915) | | |
Net loss per share – basic and diluted: | | | | | | | | | | | | | |
Net loss per share – basic and diluted
|
| | | $ | (0.52) | | | | | $ | (1.15) | | |
Shares used to compute basic and diluted net loss per share
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| | | | 6,911,497 | | | | | | 6,885,368 | | |
(in thousands, except per share amounts)
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Years Ended December 31,
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2019
|
| |||||||||
Net loss
|
| | | $ | (21,630) | | | | | $ | (74,207) | | |
Net loss per share – basic and diluted: | | | | | | | | | | | | | |
Net loss per share – basic and diluted
|
| | | $ | (5.54) | | | | | $ | (76.15) | | |
Shares used to compute basic and diluted net loss per share
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| | | | 3,904,762 | | | | | | 974,481 | | |
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Three Months Ended March 31,
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2020
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Net loss
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| | | $ | (4,874) | | | | | $ | (4,311) | | |
Net loss per share – basic and diluted: | | | | | | | | | | | | | |
Net loss per share – basic and diluted
|
| | | $ | (1.24) | | | | | $ | (1.11) | | |
Shares used to compute basic and diluted net loss per share
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| | | | 3,927,987 | | | | | | 3,866,554 | | |
| | | | | | ||||||||
Net loss
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| | | $ | (3,604) | | | | | $ | (7,915) | | |
Net loss per share – basic and diluted: | | | | | | | | | | | | | |
Net loss per share – basic and diluted
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| | | $ | (0.93) | | | | | $ | (2.04) | | |
Shares used to compute basic and diluted net loss per share
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| | | | 3,896,011 | | | | | | 3,881,282 | | |
Name of Selling Stockholder
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Shares Beneficially Owned
Prior to the Offering |
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Number of
Shares Being Offered(1) |
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Shares Beneficially
Owned After Completion of the Offering |
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Number
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Percentage(1)
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Number
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Percentage
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Armistice Capital Master Fund Ltd.(2)(4)
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| | | | 5,348,106 | | | | | | 25.24% | | | | | | 5,348,106 | | | | | | 0 | | | | | | 0.00% | | |
District 2 Capital Fund LP(2)(5)
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| | | | 352,313 | | | | | | 2.18 | | | | | | 352,313 | | | | | | 0 | | | | | | 0.00% | | |
Bigger Capital Fund, LP(2)(5)
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| | | | 246,620 | | | | | | 1.53 | | | | | | 246,620 | | | | | | 0 | | | | | | 0.00% | | |
Empery Tax Efficient II, LP(3)(6)
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| | | | 265,754 | | | | | | 1.65 | | | | | | 265,754 | | | | | | 0 | | | | | | 0.00% | | |
Empery Asset Master, Ltd(3)(6)
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| | | | 109,134 | | | | | | 0.68 | | | | | | 109,134 | | | | | | 0 | | | | | | 0.00% | | |
Empery Tax Efficient, LP(3)(6)
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| | | | 25,112 | | | | | | 0.16 | | | | | | 25,112 | | | | | | 0 | | | | | | 0.00% | | |
Total
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| | | | 6,347,039 | | | | | | | | | | | | 6,347,039 | | | | | | | | | | | | | | |
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SEC registration fee
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| | | $ | 2,324 | | |
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Legal fees and expenses
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| | | | 10,000 | | |
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Accountants’ fees and expenses
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| | | | 5,000 | | |
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Miscellaneous expenses
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| | | | 5,000 | | |
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Total
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| | | $ | 22,234 | | |
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RESHAPE LIFESCIENCES INC.
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By:
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/s/ Barton P. Bandy
Barton P. Bandy
President and Chief Executive Officer |
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Signature
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Title
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Date
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/s/ Barton P. Bandy
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| | President and Chief Executive Officer and Director(principal executive officer) | | | | |
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| | Chief Financial Officer(principal financial and accounting officer) | | | | |
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| | Director | | | | |
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/s/ Dan W. Gladney
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| | Director | | | | |
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/s/ Lori C. McDougal
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| | Director | | | | |
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| | Director | | | |
This ‘S-3’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 9/3/21 | S-3 | ||
9/2/21 | ||||
9/1/21 | ||||
8/31/21 | 4 | |||
7/31/21 | ||||
7/16/21 | 8-K | |||
6/30/21 | 10-Q, SC 13D/A, SC 13G/A | |||
6/28/21 | 4, 8-K | |||
6/16/21 | 4 | |||
6/15/21 | 3, 8-K | |||
3/31/21 | 10-Q | |||
1/19/21 | 8-K | |||
12/31/20 | 10-K | |||
6/30/20 | 10-Q, 8-K | |||
12/31/19 | 10-K, 10-K/A | |||
List all Filings |