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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/22/21 Qualys, Inc. S-8 2/22/21 3:69K Donnelley … Solutions/FA
Document/Exhibit Description Pages Size 1: S-8 Registration of Securities to be Offered to HTML 47K Employees Pursuant to an Employee Benefit Plan 2: EX-5.1 Opinion of Counsel re: Legality HTML 6K 3: EX-23.1 Consent of Experts or Counsel HTML 5K
|1||1st Page – Filing Submission|
|"||Power of attorney (contained on signature page hereto)|
As filed with the Securities and Exchange Commission on February 22, 2021
Registration No. 333-
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
The Securities Act of 1933
(Exact name of Registrant as specified in its charter)
(State or other jurisdiction of
incorporation or organization)
919 East Hillsdale Boulevard, 4th Floor
|(Address of principal executive offices, including zip code)|
2012 Equity Incentive Plan
(Full title of the plan)
Chief Financial Officer
919 East Hillsdale Boulevard, 4th Floor
(Name, address and telephone number, including area code, of agent for service)
Jeffrey D. Saper
Rezwan D. Pavri
Wilson Sonsini Goodrich & Rosati, P.C.
650 Page Mill Road
Bruce K. Posey
Vice President, General Counsel and
919 East Hillsdale Boulevard, 4th Floor
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
|Large accelerated filer||☒||Accelerated filer||☐|
|Non-accelerated filer||☐||Smaller reporting company||☐|
|Emerging growth company||☐|
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 7(a)(2)(B) of the Securities Act. ☐
CALCULATION OF REGISTRATION FEE
Title of Securities
to be Registered
Common Stock, $0.001 par value per share, reserved for issuance pursuant to the Registrant’s 2012 Equity Incentive Plan
Pursuant to Rule 416(a) of the Securities Act of 1933, as amended, this Registration Statement shall also cover any additional shares of the Registrant’s common stock that become issuable under the 2012 Equity Incentive Plan (the “2012 Plan”) by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without receipt of consideration that increases the number of the Registrant’s outstanding shares of common stock.
Represents an automatic annual increase on January 1, 2021 to the number of shares of common stock reserved for issuance pursuant to future awards under the 2012 Plan, which increase is provided for in the 2012 Plan.
Estimated in accordance with Rule 457(c) and (h) of the Securities Act solely for the purpose of calculating the registration fee on the basis of $102.95 per share, which represents the average of the high and low sale prices of the Registrant’s common stock as reported on The NASDAQ Stock Market on February 17, 2021.
This Registration Statement on Form S-8 registers additional shares of common stock of Qualys, Inc. (the “Registrant”) under the Registrant’s 2012 Equity Incentive Plan (the “2012 Plan”). The number of shares of the Registrant’s common stock available for grant and issuance under the 2012 Plan is subject to an annual increase on the first day of each fiscal year starting on January 1, 2014, by an amount equal to five percent (5%) of the number of shares of the Registrant’s common stock issued and outstanding on each December 31 immediately prior to the date of increase, but not more than 3,050,000 shares, unless the Registrant’s board of directors, in its discretion, determines to make a smaller increase (the provision of the 2012 Plan allowing for this annual increase is referred to as the “Evergreen Provision”). On January 1, 2021, the number of shares of the Registrant’s common stock available for grant and issuance under the 2012 Plan increased by 1,962,633 shares. This Registration Statement registers these additional 1,962,633 shares of the Registrant’s common stock, which were available for grant and issuance under the 2012 Plan pursuant to the Evergreen Provision as of January 1, 2021.
INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS
The documents containing the information specified by Part I, Items 1 and 2, of Form S-8 have been or will be delivered to participants in the plans covered by this Registration Statement, as specified in Rule 428(b)(1) promulgated by the Securities and Exchange Commission (the “Commission”) under the Securities Act of 1933, as amended (the “Securities Act”) and the instructions to Form S-8. In accordance with the rules and regulations of the Commission and the instructions to Form S-8, such documents are not being filed with the Commission either as part of the Registration Statement or as prospectuses or prospectus supplements pursuant to Rule 424 under the Securities Act.
INFORMATION REQUIRED IN REGISTRATION STATEMENT
(1) The Registrant’s Annual Report on Form 10-K for the fiscal year ended December 31, 2020, filed with the Commission on February 22, 2021, pursuant to Section 13(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”);
(3) The description of the Registrant’s common stock contained in the Company’s Registration Statement on Form 8-A (File No. 001-35662) filed with the Commission on September 24, 2012, pursuant to Section 12(b) of the Exchange Act, including any amendment or report filed for the purpose of updating such description.
All documents filed by the Registrant pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act on or after the date of this Registration Statement and prior to the filing of a post-effective amendment to this Registration Statement that indicates that all securities offered have been sold or that deregisters all securities then remaining unsold shall be deemed to be incorporated by reference in this Registration Statement and to be part hereof from the date of filing of such documents; provided, however, that documents or information deemed to have been furnished and not filed in accordance with the rules of the Commission shall not be deemed incorporated by reference into this Registration Statement. 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.
|Item 5.|| |
Interests of Named Experts and Counsel.
As of the date of the filing of this Registration Statement, an attorney associated with Wilson Sonsini Goodrich & Rosati, P.C. beneficially owned an aggregate of 14,078 shares of the Registrant’s common stock.
|Item 6.|| |
Indemnification of Directors and Officers.
Section 145 of the Delaware General Corporation Law authorizes a corporation’s board of directors to grant, and authorizes a court to award, indemnity to officers, directors and other corporate agents under certain circumstances.
As permitted by Section 102(b)(7) of the Delaware General Corporation Law, the Registrant’s Amended and Restated Certificate of Incorporation, as currently in effect, provides that the Registrant will indemnify its directors and officers, and may indemnify its employees and other agents, to the fullest extent permitted by the Delaware General Corporation Law. If the Delaware General Corporation Law is amended to authorize corporate action further eliminating or limiting the personal liability of a director, then the liability of the Registrant’s directors will be eliminated or limited to the fullest extent permitted by Delaware General Corporation Law, as so amended.
The Registrant is required to indemnify its directors and officers for serving the Registrant in those capacities or for serving other business enterprises at the Registrant’s request, to the fullest extent permitted by Delaware law. Delaware law provides that a corporation may indemnify such person if such person acted in good faith and in a manner such person reasonably believed to be in or not opposed to the best interests of the Registrant and, with respect to any criminal proceeding, had no reasonable cause to believe such person’s conduct was unlawful.
The Registrant may, in its discretion, indemnify employees and agents in those circumstances where indemnification is permitted by applicable law.
The Registrant is required to advance expenses, as incurred, to its directors and officers in connection with defending a proceeding, except that such director or officer shall undertake to repay such advances if it is ultimately determined that such person is not entitled to indemnification.
The Registrant will not be obligated pursuant to the Amended and Restated Bylaws to indemnify a person with respect to proceedings initiated by that person, except with respect to proceedings authorized by the Registrant’s board of directors or brought to enforce a right to indemnification.
The rights conferred in the Amended and Restated Certificate of Incorporation and Bylaws are not exclusive, and the Registrant is authorized to enter into indemnification agreements with its directors, officers, employees and agents and to obtain insurance to indemnify such persons.
In addition, the Registrant’s policy is to enter into separate indemnification agreements with each of its directors and officers that require the Registrant to indemnify its directors and officers, to the maximum extent permitted by applicable law, and also provide for certain procedural protections.
The indemnification obligations described above may be sufficiently broad to permit the indemnification of the Registrant’s directors and officers for liabilities (including reimbursement for expenses incurred) arising under the Securities Act.
|Item 7.|| |
Exemption from Registration Claimed.
|Item 8.|| |
|Incorporated by Reference|
|Form||File No.||Exhibit||Filing Date|
|4.1||Form of common stock certificate||S-1/A||333-182027||4.1||September 11, 2012|
|5.1||Opinion of Wilson Sonsini Goodrich & Rosati, P.C.|
|23.1||Consent of Grant Thornton LLP, independent registered public accounting firm|
|23.2||Consent of Wilson Sonsini Goodrich & Rosati, P.C. (included in Exhibit 5.1)|
|24.1||Power of attorney (contained on signature page hereto)|
|99.1||2012 Equity Incentive Plan and forms of agreements thereunder||S-1/A||333-182027||10.2||September 11, 2012|
|Item 9.|| |
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;
(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 percent change in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective Registration Statement; and
(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)(1)(i) and (A)(1)(ii) do not apply if the information required to be included in a post-effective amendment by those paragraphs is contained in periodic 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 this Registration Statement.
(2) 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 therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
(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 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 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 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 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.
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 Foster City, State of California, on the 22nd day of February, 2021.
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Sumedh Thakar, Philippe F. Courtot and Joo Mi Kim, jointly and severally, as his or her true and lawful attorneys-in-fact and agents, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in any and all capacities, to sign the Registration Statement on Form S-8 of Qualys, Inc., and any or all amendments (including post-effective amendments) thereto, 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 full power and authority to do and perform each and every act and thing requisite or necessary to be done in and about the premises hereby ratifying and confirming all that said attorneys-in-fact and agents, or his, her or their substitute or substitutes, may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement on Form S-8 has been signed by the following persons in the capacities and on the dates indicated.
|/s/ Sumedh Thakar||Director and Interim Chief Executive Officer (principal executive officer)||February 22, 2021|
|/s/ Joo Mi Kim||Chief Financial Officer (principal financial and accounting officer)||February 22, 2021|
|/s/ Philippe F. Courtot||Chairman||February 22, 2021|
|/s/ Sandra E. Bergeron||Director||February 22, 2021|
|/s/ Jeffrey P. Hank||Director||February 22, 2021|
|/s/ General Peter Pace||Director||February 22, 2021|
|/s/ Wendy M. Pfeiffer||Director||February 22, 2021|
|/s/ Kristi M. Rogers||Director||February 22, 2021|
|/s/ John Zangardi||Director||February 22, 2021|
|This ‘S-8’ Filing||Date||Other Filings|
|Filed on / Effective on:||2/22/21||10-K|
|List all Filings|
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/22/21 Qualys, Inc. 10-K 12/31/20 101:11M RDG Filings/FA 2/10/21 Qualys, Inc. 8-K:2,5,9 2/07/21 12:402K Donnelley … Solutions/FA 9/24/12 Qualys, Inc. 8-A12B 1:13K Donnelley … Solutions/FA 9/12/12 Qualys, Inc. S-1/A¶ 15:6.8M Donnelley … Solutions/FA