As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 8/08/11  Isis Pharmaceuticals Inc          S-8         8/08/11    5:287K                                   Merrill Corp-MD/FA

Document/Exhibit                   Description                      Pages   Size 

 1: S-8         Registration of Securities to be Offered to         HTML     90K 
                          Employees Pursuant to an Employee                      
                          Benefit Plan                                           
 2: EX-5.1      Opinion re: Legality                                HTML     11K 
 3: EX-23.1     Consent of Experts or Counsel                       HTML      7K 
 4: EX-99.2     Miscellaneous Exhibit                               HTML     58K 
 5: EX-99.3     Miscellaneous Exhibit                               HTML     64K 

 

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM S-8

 

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933

 

 

ISIS PHARMACEUTICALS, INC.

(Exact name of registrant as specified in its charter)

 

 

 

1896 Rutherford Road

Carlsbad, CA  92008

(Address of principal executive offices)

 

 

Isis Pharmaceuticals, Inc. 2011 Equity Incentive Plan

(Full title of the plans)

 

B. Lynne Parshall

Chief Operating Officer, Chief Financial Officer and Secretary

ISIS PHARMACEUTICALS, INC.

1896 Rutherford Road

Carlsbad, California  92008

(760) 931-9200

(Name, address, including zip code, and telephone number, including area code, of agent for service)

 

 

Copies to:

Patrick R. O’Neil, Esq.

Vice President, Legal and General Counsel

ISIS PHARMACEUTICALS, INC.

1896 Rutherford Road

Carlsbad, California  92008

(760) 931-9200

 

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 definition of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):

 

 

 

CALCULATION OF REGISTRATION FEE

 

Title of Securities to be Registered		Amount to be Registered(2)		Proposed Maximum Offering Price per Share (3)			Proposed Maximum Aggregate Offering Price (2)			Amount of Registration Fee
Common Stock, par value $.001 per share		2,000,000 shares		$	7.695		$	15,390,000		$	1,787

(1)           In accordance with Rule 416 under the Securities Act of 1933, as amended, (the “Securities Act”) this registration statement shall be deemed to cover any additional securities that may from time to time be offered or issued to prevent dilution resulting from stock splits, stock dividends or similar transactions.

 

(2)           Includes 2,000,000 shares issuable pursuant to the Registrant’s 2011 Equity Incentive Plan (the “2011 Plan”).

 

(3)           Estimated solely for the purpose of calculating the amount of the registration fee pursuant to Rule 457(c) and Rule 457(h) of the Securities Act.  The price per share and the aggregate offering price are calculated on the basis of $7.695, the average of the high and low sales prices of Registrant’s Common Stock on August 5, 2011, as reported on the NASDAQ Global Market for the shares subject to the 2011 Plan.

 

 

 

INCORPORATION OF CERTAIN DOCUMENTS BY REFERENCE

 

The SEC allows us to “incorporate” by reference certain of our publicly-filed documents into this prospectus, which means that information included in those documents is considered part of this prospectus. Information that we file with the SEC after the effective date of this prospectus will automatically update and supersede this information. We incorporate by reference the documents listed below and any future filings made with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Securities Exchange Act, of 1934, as amended (the “Exchange Act”) until all the shares of common stock that are part of this offering are sold.

 

The following documents filed with the SEC are incorporated by reference in this prospectus:

 

·                  our Annual Report on Form 10-K for the year ended December 31, 2010;

 

·                  our Quarterly Reports, on Form 10-Q for the quarters ended March 31, 2011, and June 30, 2011;

 

·                  our Current Reports on Form 8-K or 8-K/A filed with the SEC on:

 

·                  January 10, 2011;

·                  June 17, 2011;

·                  June 20, 2011;

·                  July 28, 2011

 

·                  our Notice of 2011 Annual Meeting  of Stockholders and Proxy Statement filed with the SEC on April 28, 2011; and

 

·                  the description of our common stock in our Registration Statement on Form 8-A filed with the SEC on April 12, 1991, as updated by our Certificate of Amendment of our Restated Certificate of Incorporation filed with our Quarterly Report on Form 10-Q for the period ended June 30, 2001 and our Certificate of Amendment of our Restated Certificate of Incorporation filed with our Quarterly Report on Form 10-Q for the quarter ended March 31, 2006.

 

We will furnish without charge to you, on written or oral request, a copy of any or all of the documents incorporated by reference, other than exhibits to those documents. You should direct any requests for documents to Isis’ Corporate Secretary at its principal executive offices at 1896 Rutherford Road, Carlsbad, California 92008, telephone number (760) 931-9200.

 

DESCRIPTION OF SECURITIES

 

Not applicable.

 

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UNDERTAKINGS

 

1.                                      The undersigned registrant hereby undertakes:

 

(a)           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;

 

(ii)           To reflect in the prospectus any facts or events arising after the effective date of the 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 the registration statement.  Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than a 20% change in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective registration statement;

 

(iii)         To include any material information with respect to the plan of distribution not previously disclosed in the registration statement or any material change to such information in the registration statement;

 

Provided, however, that paragraphs (a)(i) and (a)(ii) do not apply if the information required to be included in a post-effective amendment by those paragraphs is contained in reports filed with or furnished to the Commission by the registrant pursuant to section 13 or section 15(d) of the Exchange Act that are incorporated by reference in the registration statement.

 

(b)           That, for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered herein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.

 

(c)           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.

 

(d)           That, for the purpose of determining liability of the registrant under the Securities Act to any purchaser in the initial distribution of the securities, the undersigned registrant undertakes that in a primary offering of securities of the undersigned registrant pursuant to this registration statement, regardless of the underwriting method used to sell the securities to the purchaser, if the securities are offered or sold to such purchaser by means of any of the following communications, the undersigned registrant will be a seller to the purchaser and will be considered to offer or sell such securities to such purchaser:

 

(i)            Any preliminary prospectus or prospectus of the undersigned registrant relating to the offering required to be filed pursuant to Rule 424;

 

(ii)           Any free writing prospectus relating to the offering prepared by or on behalf of the undersigned registrant or used or referred to by the undersigned registrant;

 

(iii)         The portion of any other free writing prospectus relating to the offering containing material information about the undersigned registrant or its securities provided by or on behalf of the undersigned registrant; and

 

(iv)          Any other communication that is an offer in the offering made by the undersigned registrant to the purchaser.

 

5

 

2.                                      The undersigned registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the registrant’s annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to Section 15(d) of the Exchange Act) that is incorporated by reference in the registration statement shall be deemed to be a new registration statement relating to the securities offered herein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.

 

3.                                      Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Securities 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 Securities Act and will be governed by the final adjudication of such issue.

 

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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 Carlsbad, State of California, on August 8, 2011.

 

 

	ISIS PHARMACEUTICALS, INC.
	By:	/S/ B. LYNNE PARSHALL
	B. Lynne Parshall
	Chief Operating Officer, Chief Financial Officer and
	Secretary (Principal Financial and Accounting Officer)

 

POWER OF ATTORNEY

 

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Stanley T. Crooke and B. Lynne Parshall, and each or any one of them, his true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for him and in his 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 he 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 substitutes or substitute, may lawfully do or cause to be done by virtue hereof.

 

Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated.

 

Signature		Title		Date
/S/STANLEY T. CROOKE, M.D., PH.D.		Chairman of the Board, Chief Executive Officer and President		August 8, 2011
Stanley T. Crooke, M.D., Ph.D.		(Principal Executive Officer)
/S/B. LYNNE PARSHALL		Chief Operating Officer and Chief Financial Officer		August 8, 2011
B. Lynne Parshall		(Principal Financial and Accounting Officer)
/S/SPENCER R. BERTHELSEN		Director		August 8, 2011
Spencer R. Berthelsen
/S/JOSEPH KLEIN, III		Director		August 8, 2011
Joseph Klein, III
/S/FREDERICK T. MUTO		Director		August 8, 2011
Frederick T. Muto
/S/JOHN C. REED		Director		August 8, 2011
John C. Reed
/S/JOSEPH H. WENDER		Director		August 8, 2011
Joseph H. Wender

 

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