WaferGen Bio-systems, Inc. - FORM S-1MEF - October 15, 2015

Attached files

file filename
EX-5.1 - OPINION OF MCDONALD CARANO WILSON LLP - WaferGen Bio-systems, Inc.ex_5-1.htm
EX-23.1 - CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM - WaferGen Bio-systems, Inc.ex_23-1.htm
EX-5.2 - OPINION OF K&L GATES LLP - WaferGen Bio-systems, Inc.ex_5-2.htm
As filed with the Securities and Exchange Commission on October 15, 2015
Registration No. 333-[●]
 
 
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
__________________________

FORM S-1
REGISTRATION STATEMENT
UNDER THE SECURITIES ACT OF 1933
__________________________

WAFERGEN BIO-SYSTEMS, INC.
(Exact name of registrant as specified in its charter)
__________________________

Nevada
3826
90-0416683
(State or other jurisdiction of
incorporation or organization)
(Primary Standard Industrial
Classification Code Number)
(I.R.S. Employer
Identification Number)

7400 Paseo Padre Parkway
Fremont, CA 94555
(510) 651-4450
(Address, including zip code, and telephone number, including
area code, of registrant’s principal executive offices)
__________________________

Rolland Carlson, President and Chief Executive Officer
7400 Paseo Padre Parkway
Fremont, CA 94555
(510) 651-4450
(Name, address, including zip code, and telephone number, including
area code, of agent for service)
__________________________

Please send copies of all communications to:
 
Mark R. Busch
K&L Gates LLP
214 North Tryon Street, Suite 4700
Charlotte, NC 28202
(704) 331-7440
 
Michael F. Nertney
Ellenoff Grossman & Schole LLP
1345 Avenue of the Americas
New York, NY 10105
(212) 931-8705
 
__________________________

Approximate date of commencement of proposed sale to the public: From time to time after the effective date of this registration statement.
 
If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933 check the following box. þ
 
If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. þ (File No. 333-206397)
 
If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ¨
 
If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ¨
 

 
 
 
 

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 the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Securities Exchange Act of 1934.  (Check one):
 
Large accelerated filer   ¨
  
Accelerated filer   ¨
Non-accelerated filer   ¨ (Do not check if a smaller reporting company)
  
Smaller reporting company   þ
     

CALCULATION OF REGISTRATION FEE

 
 
Title of Each Class of Securities to be Registered
Proposed Maximum
Aggregate Offering
Price (1)
 
 
Amount of Registration Fee
Class B Units consisting of:
$2,445,000
$247.22
(i) Shares of Series 2 Convertible Preferred Stock, par value $0.001 per share
    
(ii) Shares of common stock issuable on conversion of Series 2 Convertible Preferred Stock (2)
    
(iii) Warrants to purchase common stock (2)
    
Common Stock issuable upon exercise of warrants
$3,535,200
$355.99
Total
$5,990,200
$603.21


(1) Estimated solely for the purpose of computing the amount of the registration fee pursuant to Rule 457(o) under the Securities Act of 1933.

(2) No additional consideration is payable pursuant to Rule 457(g) under the Securities Act.



This Registration Statement shall become effective upon filing in accordance with Rule 462(b) under the Securities Act of 1933.
 
 
 




 
 
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EXPLANATORY NOTE
 
This 462(b) Registration Statement relates to the public offering of common stock (the “Offering”) contemplated by the Registration Statement on Form S-1 (File No. 333-206397), which was initially filed on August 14, 2015, and which, as amended, was declared effective by the Securities and Exchange Commission on October 15, 2015. This Registration Statement on Form S-1 (the “462(b) Registration Statement”) is being filed pursuant to Rule 462(b) under the Securities Act of 1933, as amended, for the purposes of registering 2,445 Class B Units of WaferGen Bio-systems (the “Company”) with each unit consisting of one share of Series 2 Convertible Preferred Stock, par value $0.001 per share, convertible into 10,000 shares of common stock and 10,000 warrants to purchase shares of our common stock, together with the shares of common stock underlying such shares of Series 2 Convertible Preferred Stock and warrants, to be sold to the public in the Offering. Pursuant to Rule 462(b), the contents of the Registration Statement on Form S-1 (File No. 333-206397), including the exhibits thereto, are hereby incorporated by reference into this 462(b) Registration Statement.


 
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SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, the registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Fremont, State of California, on October 15, 2015.

 
WAFERGEN BIO-SYSTEMS, INC.
 
 
  
 
By:
/s/ Rolland Carlson
  
   
Rolland Carlson
  
   
Chief Executive Officer and President
  


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/ ROLLAND CARLSON
  
Chief Executive Officer and President
  
October 15, 2015
Rolland Carlson
  
(Principal Executive Officer)
    
         
/s/ MICHAEL P. HENIGHAN
  
Chief Financial Officer
  
October 15, 2015
Michael P. Henighan
  
(Principal Financial Officer and
Principal Accounting Officer)
    
         
*
  
Executive Chairman of the Board
  
October 15, 2015
Ivan Trifunovich
        
         
*
  
Director
  
October 15, 2015
Dr. R. Dean Hautamaki
        
         
*
  
Director
  
October 15, 2015
Makoto Kaneshiro
        
         
*
  
Director
  
October 15, 2015
Joel Kanter
        
         
*
  
Director
  
October 15, 2015
William McKenzie
        
         
*
  
Director
  
October 15, 2015
Robert Schueren
        
         
* By: /s/ ROLLAND CARLSON
        
Rolland Carlson, Attorney in Fact
        


 
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Exhibit Index

           
Incorporated by Reference
Exhibit
Number
  
Exhibit Description
  
Filed
Herewith
  
Form
  
Period
Ending
  
Exhibit
  
Filing
Date
                         
                         
5.1
  
Opinion of McDonald Carano Wilson LLP
  
X
                
                         
5.2
  
Opinion of K&L Gates LLP
  
X
                
                         
                         
23.1
  
Consent of Independent Registered Public Accounting Firm
  
X
                
                         
23.2
  
Letter of Consent from McDonald Carano Wilson LLP (included in Exhibit 5.1)
  
X
                
                         
23.3
  
Letter of Consent from K&L Gates LLP (included in Exhibit 5.2)
  
X
                
                         
24.1
  
Power of Attorney (included on signature page of this registration statement as originally filed)
      
S-1
      
24.1
  
8/14/2015
                         




 
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WaferGen Bio-systems, Inc. Reports