Delaware
|
|
|
46-5696597
|
(State or other jurisdiction of incorporation or organization)
|
|
|
(I.R.S. Employer Identification Number)
|
Andrew D. Hoffman
Wilson Sonsini Goodrich & Rosati 650 Page Mill Road Palo Alto, CA 94304 (650) 493-9300 |
|
|
Sandra A. Gardiner
Chief Financial Officer, Executive Vice President of Finance and Administration, Secretary and Treasurer Pulse Biosciences, Inc. 3957 Point Eden Way Hayward, California 94545 (510) 906-4600 |
Large Accelerated filer
|
|
|
☐
|
|
|
Accelerated filer
|
|
|
☒
|
Non-accelerated filer
|
|
|
☐
|
|
|
Smaller reporting company
|
|
|
☒
|
|
|
|
|
|
|
Emerging growth company
|
|
|
☒
|
SEC Registration Fee
|
|
|
$
|
3,894
|
||
Subscription and Information Agent Fees and Expenses
|
|
|
12,000
|
|||
Legal Fees and Expenses
|
|
|
300,000
|
|||
Accounting Fees and Expenses
|
|
|
55,000
|
|||
Printing and Mailing Expenses
|
|
|
45,000
|
|||
Miscellaneous Expenses
|
|
|
10,106
|
|||
Total
|
|
|
$
|
426,000
|
|
|
|
|
|
|
Incorporation by Reference
|
|||||||||||
Exhibit
Number |
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Exhibit Description
|
|
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Form
|
|
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File No.
|
|
|
Exhibit(s)
|
|
|
Filing Date
|
||
|
|
Plan of Conversion of Pulse Biosciences, Inc.
|
|
|
8-K12B
|
|
|
001-37744
|
|
|
2.1
|
|
|
June 18, 2018
|
|||
|
|
Articles of Conversion
|
|
|
8-K12B
|
|
|
001-37744
|
|
|
3.1
|
|
|
June 18, 2018
|
|||
|
|
Certificate of Conversion
|
|
|
8-K12B
|
|
|
001-37744
|
|
|
3.2
|
|
|
June 18, 2018
|
|||
|
|
Certificate of Incorporation of Pulse Biosciences, Inc.
|
|
|
8-K12B
|
|
|
001-37744
|
|
|
3.3
|
|
|
June 18, 2018
|
|||
|
|
Bylaws of Pulse Biosciences, Inc.
|
|
|
8-K12B
|
|
|
001-37744
|
|
|
3.4
|
|
|
June 18, 2018
|
|||
|
|
Specimen Common Stock Certificate
|
|
|
8-K12B
|
|
|
001-37744
|
|
|
4.1
|
|
|
June 18, 2018
|
|||
|
|
Form of Non-Transferable Subscription Rights Certificates
|
|
|
S-3
|
|
|
333-237577
|
|
|
4.2
|
|
|
April 6, 2020
|
|||
|
|
Opinion of Wilson Sonsini Goodrich & Rosati, P.C.
|
|
|
S-3
|
|
|
333-237577
|
|
|
5.1
|
|
|
April 6, 2020
|
|||
|
|
Consent of Gumbiner Savett Inc., Independent Registered Public Accounting Firm
|
|
|
S-3/A
|
|
|
333-237577
|
|
|
23.1
|
|
|
April 14, 2020
|
|||
|
|
Consent of Deloitte and Touche LLP, Independent Registered Public Accounting Firm
|
|
|
|
|
|
|
|
|
|
|
|
|
|||
|
|
Consent of Wilson Sonsini Goodrich & Rosati, P.C. (contained in Exhibit 5.1 to the original filing of this registration statement)
|
|
|
S-3
|
|
|
333-237577
|
|
|
23.3
|
|
|
April 6, 2020
|
|||
|
|
Powers of Attorney (included on the signature page to the original filing of this registration statement)
|
|
|
S-3
|
|
|
333-237577
|
|
|
24.1
|
|
|
April 6, 2020
|
|||
|
|
Form of Instruction for Use of Pulse Biosciences, Inc.’s Non-Transferable Subscription Rights Certificates
|
|
|
S-3
|
|
|
333-237577
|
|
|
99.1
|
|
|
April 6, 2020
|
|||
|
|
Form of Letter to Stockholders Who are Record Holders
|
|
|
S-3
|
|
|
333-237577
|
|
|
99.2
|
|
|
April 6, 2020
|
|||
|
|
Form of Letter to Brokers and Other Nominee Holders
|
|
|
S-3
|
|
|
333-237577
|
|
|
99.3
|
|
|
April 6, 2020
|
|||
|
|
Form of Letter to Clients of Brokers and Other Nominee Holders
|
|
|
S-3
|
|
|
333-237577
|
|
|
99.4
|
|
|
April 6, 2020
|
|||
|
|
Form of Nominee Holder Certification
|
|
|
S-3
|
|
|
333-237577
|
|
|
99.5
|
|
|
April 6, 2020
|
|||
|
|
Form of Beneficial Owner Election
|
|
|
S-3
|
|
|
333-237577
|
|
|
99.6
|
|
|
April 6, 2020
|
|||
*
|
Filed herewith
|
|
|
|
PULSE BIOSCIENCES, INC.
|
|||
|
|
|
|
|
|
|
|
|
|
By:
|
|
|
/s/ Darrin R. Uecker
|
|
|
|
|
|
|
Darrin R. Uecker
President and Chief Executive Officer |
Signature
|
|
|
Title
|
|
|
Date
|
/s/ Darrin R. Uecker
|
|
|
President, Chief Executive Officer and Director
(Principal Executive Officer) |
|
|
April 21, 2020
|
Darrin R. Uecker
|
|
|||||
|
|
|
|
|
|
|
/s/ Sandra A. Gardiner
|
|
|
Chief Financial Officer, Executive Vice
President of Finance and Administration, Secretary and Treasurer (Principal Financial and Accounting Officer) |
|
|
April 21, 2020
|
Sandra A. Gardiner
|
|
|||||
|
|
|||||
|
|
|
|
|
|
|
*
|
|
|
Chairman of the Board of Directors
|
|
|
April 21, 2020
|
Robert W. Duggan
|
|
|||||
|
|
|
|
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|
|
*
|
|
|
Director
|
|
|
April 21, 2020
|
Kenneth A. Clark
|
|
|||||
|
|
|
|
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|
|
*
|
|
|
Director
|
|
|
April 21, 2020
|
Mitchell E. Levinson
|
|
|||||
|
|
|
|
|
|
|
*
|
|
|
Director
|
|
|
April 21, 2020
|
Manmeet S. Soni
|
|
|||||
|
|
|
|
|
|
|
*
|
|
|
Director
|
|
|
April 21, 2020
|
Mahkam Zanganeh
|
|
|||||
|
|
|
|
|
|
|
*By: /s/ Sandra A Gardiner
|
|
|
|
|
|
|
Sandra A. Gardiner
Attorney-in-fact |
|