Delaware
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7374
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68-0370244
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(State or other jurisdiction of incorporation or organization)
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(Primary Standard Industrial Classification Code Number)
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(I.R.S. Employer Identification Number)
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William Davison, Esq.
Goodwin Procter LLP
135 Commonwealth Drive
Menlo Park, California 94025
(650) 752-3114
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Gregory Sichenzia, Esq.
Marcelle Balcombe, Esq.
Jeff Cahlon, Esq.
Sichenzia Ross Friedman Ference LLP
61 Broadway
New York, NY 10006
(212) 930-9700
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Large accelerated filer ☐
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Accelerated filer ☐
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Non-accelerated filer ☐
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Smaller reporting company T
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(Do not check if a smaller reporting company)
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Title of Each Class of Securities to be Registered
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Amount to be Registered(1)
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Proposed Maximum Offering Price Share
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Proposed Maximum Aggregate Offering Price
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Amount of Registration Fee(2)
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||||||||||||
Common Stock, $0.01 par value per share
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736,000
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$
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1.25
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$
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920,000
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$
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106.90
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|||||||||
Common Stock Purchase Warrants
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-
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-
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-
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-
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||||||||||||
Shares of Common Stock underlying Common Stock Purchase Warrants
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736,000
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$
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1.56
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$
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1,148,160
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$
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133.42
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|||||||||
Underwriter’s Common Stock Purchase Warrants
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-
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-
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-
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-
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||||||||||||
Shares of Common Stock underlying Underwriter’s Common Stock Purchase Warrants
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22,080
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$
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1.56
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$
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34,444.80
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$
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4.00
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|||||||||
Total
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1,494,080
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$
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2,102,604.80
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$
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244.32
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(1) | Represents only the additional number of shares being registered and includes shares of common stock that may be purchased by the underwriter to cover over-allotments, if any. Does not include the securities that the Registrant previously registered on the Registration Statement on Form S-1 (File No. 333-199477). |
(2) | The registration fee is calculated in accordance with Rule 457(a) under the Securities Act of 1933, as amended, based on the proposed maximum aggregate offering price. The registrant previously registered securities at an aggregate offering price not to exceed $4,600,000 on a Registration Statement on Form S-1 (File No. 333-199477), which was declared effective by the Securities and Exchange Commission on February 18, 2015. In accordance with Rule 462(b) under the Securities Act, an additional amount of securities having a proposed maximum aggregate offering price of $2,102,604.80 is hereby registered, which includes shares issuable upon the exercise of the underwriters’ over-allotment option. |
COLLABRX, INC.
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||
By:
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/s/ Thomas R. Mika
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Thomas R. Mika
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||
President, Chief Executive Officer and Chairman of the Board
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Signature
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Title
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Date
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||
/s/ Thomas R. Mika
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President, CEO and Chairman of the Board
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February 19, 2015
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||
Thomas R. Mika
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(Principal Executive Officer)
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/s/ Thomas R. Mika
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Acting Chief Financial Officer
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February 19, 2015
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Thomas R. Mika
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(Principal Financial and Accounting Officer)
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*
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Director
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February 19, 2015
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Jeffrey M. Krauss
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||||
*
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Director
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February 19, 2015
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Carl Muscari
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||||
*
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Director
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February 19, 2015
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James Karis
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*
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Director
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February 19, 2015
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Paul Billings
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*By:
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/s/ Thomas R. Mika
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Thomas R. Mika
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Attorney-in-Fact
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Exhibit
number
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Description of exhibit
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Opinion of Goodwin Procter LLP
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||
Consent of Burr Pilger Mayer, Inc., Independent Registered Public Accounting Firm
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23.2
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Consent of Goodwin Procter LLP (included in Exhibit 5.1)
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24.1
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Power of Attorney (incorporated by reference to Registration Statement on Form S-1 (File No. 333-199477) filed October 20, 2014, as amended)
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