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Share Name | Share Symbol | Market | Type |
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Yield10 Bioscience Inc | NASDAQ:YTEN | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
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-0.0256 | -10.85% | 0.2103 | 0.2103 | 0.218 | 0.2359 | 0.2103 | 0.22 | 457,434 | 01:00:00 |
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Megan N. Gates, Esq.
Mintz, Levin, Cohn, Ferris, Glovsky, and Popeo, P.C.
One Financial Center
Boston, Massachusetts 02111
(617) 542-6000
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Large accelerated filer o
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Accelerated filer o
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Non-accelerated filer x
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Smaller reporting company x
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Emerging growth company o
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Title of Securities
To Be Registered
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Amount
To Be
Registered(1)(2)
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Proposed
Maximum
Offering Price
Per Share(3)
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Proposed
Maximum
Aggregate
Offering Price
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Amount of
Registration
Fee(4)
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2018 Stock Option and Incentive Plan
Common Stock, par value $0.01 per share
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1,866,879
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$
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0.27
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$
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504,057.33
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$
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65.43
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(1)
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This registration statement relates to an additional 1,866,879 shares of common stock, $0.01 par value per share, of the Registrant (the “Common Stock”) reserved for issuance under the 2018 Stock Option and Incentive Plan (the “2018 Plan”), added pursuant to an “evergreen” provision in the 2018 Plan as of January 1, 2020.
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(2)
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Pursuant to Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”), this registration statement shall also cover any additional shares of Common Stock which become issuable under the 2018 Plan by reason of any stock dividend, stock split, recapitalization or any other similar transaction effected without the receipt of consideration which results in an increase in the number of outstanding shares of Common Stock.
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(3)
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The price of $0.27 per share, which is the average of the high and low sales price for a share of Common Stock as reported on the Nasdaq Capital Market on January 6, 2020, is set forth solely for purposes of calculating the registration fee pursuant to Rule 457(c) and (h) of the Securities Act.
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(4)
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Calculated pursuant to Section 6(b) of the Securities Act.
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(a)
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The Registrant’s Annual Report on Form 10-K for the year ended December 31, 2018, filed on March 28, 2019 (File No. 001-33133);
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(b)
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The Registrant’s Quarterly Reports on Form 10-Q for the quarter ended March 31, 2019, filed on May 15, 2019; for the quarter ended June 30, 2019, filed on August 12, 2019; and for the quarter ended September 30, 2019, filed on November 12, 2019 (File No. 001-33133);
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(c)
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The Registrant’s Current Reports on Form 8-K, filed on March 15, 2019, May 23, 2019, July 1, 2019, August 19, 2019, September 9, 2019, October 23, 2019, November 15, 2019, November 20, 2019 and December 26, 2019 (File No. 001-33133);
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(d)
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The portions of the Registrant’s Definitive Proxy Statement on Schedule 14A filed on April 4, 2019 that are deemed “filed” with the Commission under the Securities Exchange Act of 1934, as amended (the “Exchange Act”) (File No. 001-33133); and
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(e)
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The section entitled “Description of Registrant’s Securities to be Registered” contained in the Registrant’s Registration Statement on Form 8-A, filed pursuant to Section 12(b) of the Exchange Act on November 6, 2006 (File No. 001-33133), including any amendment or report filed for the purpose of updating such description.
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Exhibit No.
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Description of Exhibit
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Amended and Restated Certificate of Incorporation, as amended, of the Registrant (filed as Exhibit 3.1 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-33133) on August 9, 2018 and incorporated herein by reference)
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Certificate of Designation of Preferences, Rights and Limitations with respect to the Series A Preferred Stock (filed as Exhibit 3.1 to the Registrant’s Current Report on 8-K (File No. 001-33133) on November 20, 2019 and incorporated herein by reference)
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Certificate of Designation of Preferences, Rights and Limitations with respect to the Series B Preferred Stock (filed as Exhibit 3.2 to the Registrant’s Current Report on 8-K (File No. 001-33133) on November 20, 2019 and incorporated herein by reference)
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Amended and Restated By-laws of the Registrant (filed as Exhibit 3.2 to the Registrant’s Current Report on Form 8-K (File No. 001-33133) on January 6, 2017 and incorporated herein by reference)
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5.1*
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Opinion of Mintz, Levin, Cohn, Ferris, Glovsky, and Popeo, P.C.
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23.1
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Consent of Mintz, Levin, Cohn, Ferris, Glovsky, and Popeo, P.C. (included in Exhibit 5.1)
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23.2*
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Consent of RSM US LLP, an independent registered public accounting firm
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24.1
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Power of Attorney (included as part of the signature page of this Registration Statement)
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Yield10 Bioscience, Inc. 2018 Stock Option and Incentive Plan (filed as Exhibit 10.1 to the Registrant’s Quarterly Report on 10-Q (File No. 001-33133) on August 9, 2018 and incorporated herein by reference)
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(1)
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To file, during any period in which offers or sales are being made, a post-effective amendment to this Registration Statement:
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(i)
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To include any prospectus required by Section 10(a)(3) of the Securities Act;
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YIELD10 BIOSCIENCE, INC.
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By:
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/s/ Oliver P. Peoples
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Oliver P. Peoples
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President and Chief Executive Officer
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/s/ Oliver P. Peoples
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Director, President and Chief Executive Officer
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January 8, 2020
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Oliver P. Peoples
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(Principal Executive Officer)
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/s/ Charles B. Haaser
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Chief Accounting Officer
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January 8, 2020
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Charles B. Haaser
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(Principal Financial Officer and Principal Accounting Officer)
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/s/ Richard W. Hamilton
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Director
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January 8, 2020
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Richard W. Hamilton
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/s/ Peter N. Kellogg
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Director
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January 8, 2020
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Peter N. Kellogg
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/s/ Joseph Shaulson
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Director
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January 8, 2020
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Joseph Shaulson
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/s/ Anthony J. Sinskey
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Director
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January 8, 2020
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Anthony J. Sinskey
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/s/ Robert L. Van Nostrand
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Chairman
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January 8, 2020
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Robert L. Van Nostrand
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