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EX-23.1 - EX-23.1 - HELIUS MEDICAL TECHNOLOGIES, INC.d110380dex231.htm
EX-5.1 - EX-5.1 - HELIUS MEDICAL TECHNOLOGIES, INC.d110380dex51.htm

As filed with the Securities and Exchange Commission on January 27, 2021

Registration No. 333-                

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM S-1

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

 

 

HELIUS MEDICAL TECHNOLOGIES, INC.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   3845   36-4787690

(State or other jurisdiction of

incorporation or organization)

 

(Primary Standard Industrial

Classification Code Number)

 

(I.R.S. Employer

Identification Number)

642 Newtown Yardley Road, Suite 100

Newtown, Pennsylvania 18940

(215) 944-6100

(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)

 

 

Dane C. Andreeff

Interim President and Chief Executive Officer

Helius Medical Technologies, Inc.

642 Newtown Yardley Road, Suite 100

Newtown, Pennsylvania 18940

(215) 944-6100

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

 

 

Copies to:

 

Phillip D. Torrence, Esq.

Meredith Ervine, Esq.

Honigman LLP

650 Trade Centre Way, Suite 200

Kalamazoo, Michigan 49002

(269) 337-7700

  Michael F. Nertney, Esq.
Ellenoff Grossman & Schole LLP
1345 Avenue of the Americas
New York, NY 10105
(212) 370-1300

 

 

Approximate date of commencement of proposed sale to public: As soon as practicable after this Registration Statement becomes effective.

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.  ☒

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.  ☒

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, 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. (Check one):

 

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 Each Class of

Securities to be Registered

 

Proposed

Maximum
Aggregate

Offering Price (1)

  Amount of
Registration Fee(2)

Units consisting of:

       

Shares of Class A Common Stock, par value $0.001 per share

       

Warrants to purchase shares of Class A Common Stock(3)

       

Class A Common Stock, par value $0.001 per share, issuable upon exercise of Warrants

       

Warrants to purchase Class A Common Stock to be issued to the Underwriter (1)(3)

       

Common Stock issuable upon exercise of Warrants to purchase Class A Common Stock to be issued to the Underwriter (1)

       

Total

  $2,990,000   $326.21(4)

 

 

 

(1)

Estimated solely for the purpose of computing the registration fee pursuant to Rule 457(o) under the Securities Act of 1933, as amended (the “Act”). Pursuant to Rule 416 under the Act, the securities registered also include such indeterminate amounts and numbers of shares of common stock issuable to cover additional securities that may be offered or issued to prevent dilution resulting from stock splits, stock dividends or similar transactions. Also includes the offering price of additional units that the underwriters have the option to purchase.

(2)

Calculated pursuant to Rule 457(o) based on an estimate of the proposed maximum aggregate offering price of all securities being registered.

(3)

No separate fee is required pursuant to Rule 457(g) or Rule 457(i) under the Act.

(4)

The Registrant previously paid a filing fee of $1,633 in connection with previous filings of its registration statement on Form S-1 (File No. 333-251804).

The Registration Statement shall become effective upon filing with the Securities and Exchange Commission in accordance with Rule 462(b) under the Securities Act of 1933, as amended.

 

 

 


EXPLANATORY NOTE

This Registration Statement is being filed pursuant to Rule 462(b) as promulgated under the Securities Act of 1933, as amended, and includes the registration statement facing page, this page, the signature page, an exhibit index and the required opinion and consents solely to register up to an aggregate of $2,990,000 in (i) additional Units, with each Unit consisting of one share of the Company’s common stock, par value $0.001 per share (the “Common Stock”), one warrant to purchase 0.5 shares of Common Stock, (ii) shares of Common Stock issuable upon exercise of the warrants included in the additional Units, (iii) warrants issuable to the underwriter, and (iv)  shares of Common Stock issuable upon exercise of the warrants issuable to the underwriter. The contents of the Registration Statement on Form S-1 (Registration No.  333-251804), as amended, including the exhibits and power of attorney thereto, which was declared effective by the Securities and Exchange Commission on January  27, 2021, are incorporated by reference in this Registration Statement.



SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant has duly caused this Registration Statement on Form S-1 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Newton, State of Pennsylvania, on January 27, 2021.

 

Helius Medical Technologies, Inc.
By:  

    /s/ Dane C. Andreeff

  Dane C. Andreeff
  Interim President, Chief Executive Officer and Director

Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement on Form S-1 has been signed by the following persons in the capacities and on the dates indicated.

 

Signature

  

Title

  

Date

/s/ Dane Andreeff

Dane Andreeff

   Interim President, Chief Executive Officer (Principal Executive Officer) and Director    January 27, 2021

/s/ Joyce LaViscount

Joyce LaViscount

   Chief Financial Officer and Chief Operating Officer (Principal Financial Officer and Principal Accounting Officer)    January 27, 2021

*

Edward M. Straw

   Director    January 27, 2021

*

Jeffrey Mathiesen

   Director    January 27, 2021

*

Mitchell E. Tyler

   Director    January 27, 2021

*

Blane Walter

   Director    January 27, 2021

*By: /s/ Dane Andreeff

Attorney-in-fact