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AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MAY 22, 1996
REGISTRATION NO. 333-
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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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FORM S-1
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
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AVIGEN, INC.
(EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)
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DELAWARE 8731 13-3647113
(STATE OF INCORPORATION) (PRIMARY STANDARD INDUSTRIAL (I.R.S. EMPLOYER IDENTIFICATION
CLASSIFICATION CODE NUMBER) NUMBER)
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1201 HARBOR BAY PARKWAY, #1000
ALAMEDA, CA 94502
(510) 748-7150
(ADDRESS, INCLUDING ZIP CODE, AND TELEPHONE NUMBER, INCLUDING
AREA CODE, OF REGISTRANT'S PRINCIPAL EXECUTIVE OFFICES)
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JOHN MONAHAN, PH.D.
PRESIDENT AND CHIEF EXECUTIVE OFFICER
AVIGEN, INC.
1201 HARBOR BAY PARKWAY, # 1000
ALAMEDA, CA 94502
(510) 748-7150
(NAME, ADDRESS, INCLUDING ZIP CODE, AND TELEPHONE NUMBER; INCLUDING AREA CODE,
OF AGENT FOR SERVICE)
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COPIES TO:
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ALAN C. MENDELSON, ESQ. E. MICHAEL GREANEY, ESQ.
ROBERT J. BRIGHAM, ESQ. GIBSON, DUNN & CRUTCHER LLP
COOLEY GODWARD CASTRO 4 PARK PLAZA
HUDDLESON & TATUM IRVINE, CA 92714
FIVE PALO ALTO SQUARE (714) 451-3800
3000 EL CAMINO REAL
PALO ALTO, CA 94306-2155
(415) 843-5000
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APPROXIMATE DATE OF COMMENCEMENT OF PROPOSED SALE TO THE PUBLIC:
As soon as possible after the effective date of this Registration Statement
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If this Form is to be filed to register additional securities for an
offering pursuant to Rule 462(b) under the Securities Act, please check the box
and list the registration statement number of the earlier effective registration
statement for the same offering. /X/ 333-3220
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CALCULATION OF REGISTRATION FEE
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PROPOSED PROPOSED
MAXIMUM MAXIMUM
OFFERING AGGREGATE AMOUNT OF
TITLE OF SECURITIES AMOUNT TO BE PRICE PER OFFERING REGISTRATION
TO BE REGISTERED REGISTERED(1) SHARE PRICE FEE(2)
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Common Stock, par value $.001 per
share................................. 230,000 shares $8.00 $1,840,000 $634.48
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This Registration Statement shall hereafter become effective in accordance
with Section 8(a) of the Securities Act of 1933 on such date as the Commission,
acting pursuant to said Section 8(a), may determine.
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EXPLANATORY NOTE
This registration statement is being filed pursuant to Rule 462(b) and
General Instruction IV of Form S-1. Incorporated by reference herein is, in its
entirety, the Registration Statement on Form S-1 (File No. 333-3220) of Avigen,
Inc., which was declared effective by the Securities and Exchange Commission on
May 21, 1996.
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, Avigen, Inc.
has duly caused this Registration Statement to be signed on its behalf, by the
undersigned, thereunto duly authorized, in the City of Alameda, County of
Alameda, State of California, on May 21, 1996.
AVIGEN, INC.
By: /s/ JOHN MONAHAN, PH.D.
John Monahan, Ph.D.
President, Chief Executive Officer
and Director
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.
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SIGNATURE TITLE DATE
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/s/ JOHN MONAHAN, PH.D. President, Chief Executive May 21, 1996
- --------------------------------------------- Officer and Director (Principal
John Monahan, Ph.D. Executive Officer)
GLENN BAUER* Controller (Principal Accounting May 21, 1996
- --------------------------------------------- Officer)
Glenn Bauer
PHILIP J. WHITCOME, PH.D.* Chairman of the Board and acting May 21, 1996
- --------------------------------------------- Chief Financial Officer
Philip J. Whitcome, Ph.D. (Principal Financial Officer)
ZOLA HOROVITZ, PH.D.* Director May 21, 1996
- ---------------------------------------------
Zola Horovitz, Ph.D.
YUICHI IWAKI, M.D., PH.D.* Director May 21, 1996
- ---------------------------------------------
Yuichi Iwaki, M.D., Ph.D.
RICHARD T. PRATT* Director May 21, 1996
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Richard T. Pratt
JOHN K.A. PRENDERGAST, PH.D.* Director May 21, 1996
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John K.A. Prendergast, Ph.D.
LINDSAY A. ROSENWALD, M.D.* Director May 21, 1996
- ---------------------------------------------
Lindsay A. Rosenwald, M.D.
LEONARD P. SHAYKIN* Director May 21, 1996
- ---------------------------------------------
Leonard P. Shaykin
*By: /s/ JOHN MONAHAN
- ---------------------------------------------
John Monahan, Ph.D.
Attorney-in-Fact
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EXHIBIT INDEX
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SEQUENTIALLY
EXHIBIT NUMBERED
NUMBER DESCRIPTION OF DOCUMENT PAGE
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5.1 Opinion of Cooley Godward Castro Huddleson & Tatum........................
23.1 Consent of Ernst & Young LLP, Independent Auditors........................
23.2 Consent of Cooley Godward Castro Huddleson & Tatum (included in Exhibit
5.1)......................................................................
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Exhibit 5.1
[COOLEY GODWARD CASTRO HUDDLESON & TATUM LETTERHEAD]
May 21, 1996
Avigen, Inc.
1201 Harbor Bay Parkway, Suite 1000
Alameda, California 94502
Ladies and Gentlemen:
You have requested our opinion with respect to certain matters in connection
with the filing by Avigen, Inc. (the "Company") of a Registration Statement on
Form S-1 (the "Registration Statement"), pursuant to Rule 462(b), with the
Securities and Exchange Commission (the "Commission") covering an offering by
the Company of up to an additional 230,000 shares of the Company's Common Stock,
as described in the Registration Statement (the "Common Stock"). The
Registration Statement relates to the same offering as described in Registration
Statement No. 333-3220.
In connection with this opinion, we have examined and relied upon the
Registration Statement, the Company's Restated Certificate of Incorporation, as
amended and Bylaws and the originals or copies certified to our satisfaction, of
such records, documents, certificates, memoranda and other instruments as in our
judgment are necessary or appropriate to enable us to render the opinion
expressed below.
On the basis of the foregoing, and in reliance thereon, we are of the opinion
that the Common Stock, when sold in accordance with the Registration Statement,
will be validly issued, fully paid and nonassessable.
We consent to the reference to our firm under the caption "Legal Matters" in the
Prospectus included in the Registration Statement and to the filing of this
opinion as an exhibit to the Registration Statement.
Very truly yours,
COOLEY GODWARD CASTRO
HUDDLESON & TATUM
By /s/ Andrei M. Manoliu
---------------------------------
Andrei M. Manoliu
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EXHIBIT 23.1
CONSENT OF ERNST & YOUNG LLP, INDEPENDENT AUDITORS
We consent to the reference to our firm under the captions "Selected
Financial Data" and "Experts" and to the use of our report dated September 8,
1995 (except Note 10 as to which the date is May 7, 1996) in this Registration
Statement filed pursuant to Rule 462(b) of Avigen, Inc.
ERNST & YOUNG LLP
Walnut Creek, California
May 21, 1996
