sv3
As
filed with the United States Securities and Exchange Commission on
April 27, 2007
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM S-3
REGISTRATION STATEMENT
UNDER THE SECURITIES ACT OF 1933
SANGAMO BIOSCIENCES, INC.
(Exact name of Registrant as specified in its charter)
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Delaware
(State or Other Jurisdiction of
Incorporation or Organization)
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68-0359556
(I.R.S. Employer
Identification No.) |
501 Canal Boulevard, Suite A100
Richmond, CA 94804
(510) 970-6000
(Address, Including Zip Code, and Telephone Number,
Including Area Code, of Registrants Principal Executive Offices)
Edward O. Lanphier II
Sangamo BioSciences, Inc.
501 Canal Boulevard, Suite A100
Richmond, CA 94804
(510) 970-6000
(Name, Address, Including Zip Code, and Telephone Number,
Including Area Code, of Agent for Service)
Copies to:
John W. Larson, Esquire
Scott D. Karchmer, Esquire
Morgan, Lewis & Bockius LLP
One Market, Spear Street Tower
San Francisco, CA 94105
(415) 442-1000
Approximate date of commencement of proposed sale to the public: From time to time after
the effective date of this registration statement.
If the only securities being registered on this form are being offered pursuant to dividend or
interest reinvestment plans, please check the following box. o
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, other than securities
offered only in connection with dividend or interest reinvestment plans, 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, please check the following box and list the Securities Act
registration statement number of the earlier effective registration statement for the same
offering. o
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. o
If this form is a registration statement pursuant to General Instruction I.D. or a
post-effective amendment thereto that shall become effective upon filing with the Commission
pursuant to Rule 462(e) under the Securities Act, check the following box. o
If this form is a post-effective amendment to a registration statement filed pursuant to
General Instruction I.D. filed to register additional securities or additional class of securities
pursuant to Rule 413(b) under the Securities Act, check the following box. o
CALCULATION OF REGISTRATION FEE
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Proposed Maximum |
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Title of Each Class of Securities To Be |
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Amount To Be |
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Offering Price Per |
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Proposed Maximum Aggregate |
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Amount of |
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Registered |
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Registered |
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Share (1) |
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Offering Price (1) |
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Registration Fee |
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Common Stock |
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(1) |
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(1) |
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(1) |
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N/A |
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Warrants |
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(1) |
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(1) |
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(1) |
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N/A |
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Total for sale by Registrant |
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(1) |
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(1) |
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$50,000,000 |
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$1,535(2) |
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(1) There are being registered hereunder by the registrant such indeterminate number of
shares of common stock and such indeterminate number of warrants to
purchase common stock as shall have an aggregate initial offering price not to exceed
$50,000,000. Any securities registered hereunder may be sold separately or as units with other
securities registered hereunder. The proposed maximum initial offering price per unit will be
determined, from time to time, by the registrant in connection with the issuance by the registrant
of the securities registered hereunder. There are also being registered hereunder by the
registrant an indeterminate number of shares of common stock as shall be issuable upon exercise of
any securities that provide for that issuance.
(2) Calculated pursuant to Rule 457(o) of the rules and regulations under the Securities Act
of 1933, as amended.
The Registrant hereby amends this Registration Statement on such date or dates as may be
necessary to delay its effective date until the Registrant shall file a further amendment which
specifically states that this Registration Statement shall thereafter become effective in
accordance with Section 8(a) of the Securities Act of 1933 or until the Registration Statement
shall become effective on such date as the Commission, acting pursuant to said Section 8(a), may
determine.
The information in this prospectus is not complete and may be changed. We may not sell any of
the securities described in this prospectus until the registration statement that we have filed
with the Securities and Exchange Commission to cover the securities is effective. This prospectus
is not an offer to sell these securities and is not soliciting an offer to buy these securities in
any jurisdiction where the offer or sale is not permitted.
SUBJECT
TO COMPLETION, DATED APRIL 27, 2006
PROSPECTUS
SANGAMO BIOSCIENCES, INC.
$50,000,000
of
Common Stock and Warrants
We may offer the shares of common stock and warrants to purchase shares of common stock
covered by this prospectus from time to time in one or more issuances. We refer to the common
stock and warrants to purchase common stock collectively as the securities.
This prospectus provides you with a general description of the securities that we may offer.
Each time we sell securities, we will provide a prospectus supplement that will contain specific
information about the terms of that offering. The prospectus supplement may also add information
or update information contained in this prospectus. You should read both this prospectus and any
prospectus supplement together with the documents incorporated by reference and described under the
heading Where You Can Find More Information before you make your investment decision.
We will sell the securities to underwriters or dealers, through agents, or directly to
investors.
An investment in the securities offered under this prospectus involves a high degree of risk.
You should carefully consider the risk factors described in the applicable prospectus supplement
and certain of our filings with the Securities and Exchange Commission, as described under Risk
Factors on page 2.
Our common stock trades on the Nasdaq Global Market under the symbol SGMO. On April 26, 2007,
the last reported sale price of our common stock on the Nasdaq Global
Market was $7.69.
Neither the Securities and Exchange Commission nor any state securities commission has
approved or disapproved of these securities or determined if this prospectus is truthful or
complete. Any representation to the contrary is a criminal offense.
The date of this prospectus is , 2007.
TABLE
OF CONTENTS
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ABOUT THIS PROSPECTUS
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STATEMENTS REGARDING FORWARD-LOOKING INFORMATION
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ABOUT SANGAMO BIOSCIENCES, INC
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RISK FACTORS
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USE OF PROCEEDS
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PLAN OF DISTRIBUTION
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THE SECURITIES WE MAY OFFER
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DESCRIPTION OF COMMON STOCK
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DESCRIPTION OF WARRANTS
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LEGAL MATTERS
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EXPERTS
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WHERE YOU CAN FIND MORE INFORMATION
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INCORPORATION OF CERTAIN DOCUMENTS BY REFERENCE
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7 |
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ABOUT THIS PROSPECTUS
This prospectus is part of a shelf registration statement we filed with the Securities and
Exchange Commission. By using a shelf registration statement, we may sell any combination of
securities described in this prospectus from time to time for an aggregate offering price of up to
$50,000,000.
You should rely only on the information contained in or specifically incorporated by reference
into this prospectus or a prospectus supplement. No dealer, sales person, agent or other
individual has been authorized to give any information or to make any representations not contained
in this prospectus. If given or made, such information or representations must not be relied upon
as having been authorized by us.
This prospectus does not constitute an offer to sell, or a solicitation of an offer to buy,
the securities offered hereby in any jurisdiction where, or to any person to whom, it is unlawful
to make such offer or solicitation.
The information contained in this prospectus is accurate only as of the date of this
prospectus, regardless of the time of delivery of this prospectus or of any sale of securities.
Neither the delivery of this prospectus nor any sale made hereunder shall, under any circumstances,
create an implication that there has not been any change in the facts set forth in this prospectus
or in our affairs since the date of this prospectus.
STATEMENTS REGARDING FORWARD-LOOKING INFORMATION
Some statements contained in this prospectus and the information incorporated by reference
into this prospectus are forward-looking with respect to our operations, research, development and
commercialization activities and financial condition. Statements that are forward-looking in nature
should be read with caution because they involve risks and uncertainties, which are included, for
example, in specific and general discussions about:
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our strategy; |
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product development and commercialization of our products; |
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clinical trials; |
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revenues from existing and new collaborations; |
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our research and development and other expenses; |
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sufficiency of our cash resources; |
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our operational and legal risks; and |
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our plans, objectives, expectations and intentions and any other statements that are
not historical facts. |
Various terms and expressions similar to them are intended to identify these cautionary
statements. These terms include: anticipates, believes, continues, could, estimates,
expects, intends, may, plans, seeks, should and will. Actual results may differ
materially from those expressed or implied in those statements. Factors that could cause these
differences include, but are not limited to, those discussed under Risk Factors. Sangamo
undertakes no obligation to publicly release any revisions to forward-looking statements to reflect
events or circumstances arising after the date of this prospectus. Readers are cautioned not to
place undue reliance on the forward-looking statements, which speak only as of the date of this
prospectus.
ABOUT SANGAMO BIOSCIENCES, INC.
Sangamo BioSciences, Inc. is developing a new class of human therapeutics. We are a leader in
the research, development, and commercialization of DNA-binding proteins for the therapeutic
regulation and modification of disease-related genes. Our proprietary technology platform is based
on the engineering of a naturally occurring class of proteins referred to as zinc finger
DNA-binding proteins (ZFPs). We believe that ZFPs can be targeted to virtually any gene in the
human genome or the genome of any other organism. Our scientists use engineered ZFPs to make ZFP
transcription factors, or ZFP TFsTM, which are proteins that bind to DNA and are able to
turn genes on or off. Additionally, ZFPs may be engineered to create zinc finger nucleases, or
ZFNsTM. Engineered ZFNs can be used to cut genomic DNA at a pre-selected sequence
location, enabling ZFN-mediated disruption of genes that facilitate or are responsible for disease
pathology, correction of genes that contain disease-causing mutations, or the targeted addition of
a selected DNA sequence.
1
We were incorporated in June 1995. From our inception through December 31, 2006, our
activities related primarily to establishing and operating a biotechnology research and development
organization and developing relationships with our corporate collaborators. Our scientific and
business development endeavors currently focus on the engineering of novel ZFPs for the regulation
and modification of genes. Our revenues have consisted primarily of revenues from our corporate
partners for ZFP TFs and ZFNs, contractual payments from strategic partners for research programs
and research milestones, and Federal government research grant funding.
Our principal offices are located at 501 Canal Boulevard, Suite A100, Richmond, California
94804, and our telephone number there is (510) 970-6000.
RISK FACTORS
An investment in the securities offered through this prospectus involves certain risks. You
should carefully consider the specific risks set forth under the caption Risk Factors in the
applicable prospectus supplement and under the caption Risk Factors in our filings with the
Securities and Exchange Commission pursuant to Sections 13(a), 13(c), 14 or 15(d) of the Securities
Exchange Act of 1934, as amended, incorporated by reference herein, before making an investment
decision. The risks and uncertainties we have described are not the only ones facing our company.
Additional risks and uncertainties not presently known to us or that we currently consider
immaterial may also affect our business operations. To the extent that a particular offering
implicates additional significant risks, we will include a discussion of those risks in the
applicable prospectus supplement.
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USE OF PROCEEDS
Except as may be otherwise set forth in the prospectus supplement accompanying this
prospectus, we will use the net proceeds we receive from sales of the securities offered hereby for
general corporate purposes, including support for our continuing research and development,
commercialization activities, business development activities, and, if opportunities arise,
acquisitions of businesses, products, technologies or licenses that are complementary to our
business.
PLAN OF DISTRIBUTION
We may sell the securities being offered by us in this prospectus:
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directly to purchasers or investors; |
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through agents; |
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through dealers; |
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through underwriters; or |
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through a combination of any of these methods of sale. |
We and our agents and underwriters may sell the securities being offered by us in this
prospectus from time to time in one or more transactions:
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at a fixed price or prices which may be changed; |
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at market prices prevailing at the time of sale; |
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at prices related to such prevailing market prices; or |
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at negotiated prices. |
Offers to purchase securities may be solicited directly by us, or by agents designated by us,
from time to time. Any such agent, which may be deemed to be an underwriter as that term is defined
in the Securities Act of 1933, as amended (the Securities Act), involved in the offer or sale of
the securities in respect of which this prospectus is delivered will be named, and any commissions
payable by us to such agent will be set forth, in the applicable prospectus supplement.
If an underwriter is, or underwriters are, utilized in the offer and sale of securities in
respect of which this prospectus and the accompanying prospectus supplement are delivered, we will
execute an underwriting agreement with such underwriter(s) for the sale to it or them and the
name(s) of the underwriter(s) and the terms of the transaction, including any underwriting
discounts and other items constituting compensation of the underwriters and dealers, if any, will
be set forth in such prospectus supplement, which will be used by the underwriter(s) to make
resales of the securities in respect of which this prospectus and such prospectus supplement are
delivered to the public. The securities will be acquired by the underwriters for their own accounts
and may be sold by the underwriters from time to time in one or more transactions, including
negotiated transactions, at a fixed public offering price or at varying prices determined at the
time of sale. Any public offering price and any discounts or concessions allowed or reallowed or
paid to dealers may be changed from time to time.
If a dealer is utilized in the sale of the securities in respect of which this prospectus is
delivered, we will sell such securities to the dealer, as principal. The dealer may then resell
such securities to the public at varying prices to be determined by such dealer at the time of
resale. The name of the dealer and the terms of the transaction will be identified in the
applicable prospectus supplement.
If an agent is used in an offering of securities being offered by this prospectus, the agent
will be named, and the terms of the agency will be described, in the applicable prospectus
supplement relating to the offering. Unless otherwise indicated in the prospectus supplement, an
agent will act on a best efforts basis for the period of its appointment.
If indicated in the applicable prospectus supplement, we will authorize underwriters or their
agents to solicit offers by certain institutional investors to purchase our securities pursuant to
contracts providing for payment
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and delivery at a future date. Institutional investors with which these contracts may be made
include commercial and savings banks, insurance companies, pension funds, investment companies,
educational and charitable institutions and others. In all cases, these purchasers must be
approved by us. The obligations of any purchaser under any of these contracts will not be subject
to any conditions except that (a) the purchase of the securities must not at the time of delivery
be prohibited under the laws of any jurisdiction to which that purchaser is subject and (b) if the
securities are also being sold to underwriters, we must have sold to these underwriters the
securities not subject to delayed delivery. Underwriters and other agents will not have any
responsibility in respect of the validity or performance of these contracts.
Certain of the underwriters, dealers or agents utilized by us in any offering may be customers
of, including borrowers from, engage in transactions with, and perform services for us or one or
more of our affiliates in the ordinary course of business. Underwriters, dealers, agents and other
persons may be entitled, under agreements which may be entered into with us, to indemnification
against and contribution toward certain civil liabilities, including liabilities under the
Securities Act.
Until the distribution of the securities is completed, rules of the Securities and Exchange
Commission may limit the ability of the underwriters and certain selling group members, if any, to
bid for and purchase the securities. As an exception to these rules, the representatives of the
underwriters, if any, are permitted to engage in certain transactions that stabilize the price of
the securities in accordance with Regulation M, but only in the case of a fixed-price offering.
Such transactions may consist of bids or purchases for the purpose of pegging, fixing or
maintaining the price of the securities.
If underwriters create a short position in the securities in connection with the offering
thereof (i.e., if they sell more securities than are set forth on the cover page of the applicable
prospectus supplement), the representatives of such underwriters may reduce that short position by
purchasing securities in the open market. Any such representatives also may elect to reduce any
short position by exercising all or part of any over-allotment option described in the applicable
prospectus supplement.
Any such representatives also may impose a penalty bid on certain underwriters and selling
group members. This means that if the representatives purchase securities in the open market to
reduce the underwriters short position or to stabilize the price of the securities, they may
reclaim the amount of the selling concession from the underwriters and selling group members who
sold those shares as part of the offering thereof.
In general, purchases of a security for the purpose of stabilization or to reduce a syndicate
short position could cause the price of the security to be higher than it might otherwise be in the
absence of such purchases. The imposition of a penalty bid might have an effect on the price of a
security to the extent that it were to discourage resales of the security by purchasers in the
offering.
Neither we nor any of the underwriters, if any, makes any representation or prediction as to
the direction or magnitude of any effect that the transactions described above may have on the
price of the securities. In addition, neither we nor any of the underwriters, if any, makes any
representation that the representatives of the underwriters, if any, will engage in such
transactions or that such transactions, once commenced, will not be discontinued without notice.
The anticipated date of delivery of the securities offered by this prospectus will be
described in the applicable prospectus supplement relating to the offering. The securities offered
by this prospectus may or may not be listed on a national securities exchange or a foreign
securities exchange. We cannot give any assurances that there will be a market for any of the
securities offered by this prospectus and any prospectus supplement.
4
THE SECURITIES WE MAY OFFER
The descriptions of the securities contained in this prospectus, together with the applicable
prospectus supplement, summarize the material terms and provisions of the various types of
securities that we may offer. We will describe in the applicable prospectus supplement relating to
any securities the particular terms of the securities offered by that prospectus supplement. We will also include in the prospectus supplement
information, where applicable, about material United States federal income tax considerations
relating to the securities, and the securities exchange or market, if any, on which the securities
will be listed.
We may sell from time to time, in one or more offerings, one or more of the following securities:
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common stock; and |
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warrants to purchase common stock. |
These securities may be offered and sold from time to time for an aggregate offering price not
to exceed $50,000,000.
This prospectus may not be used to consummate a sale of securities unless it is accompanied by
a prospectus supplement.
DESCRIPTION OF COMMON STOCK
For a description of the material terms and provisions of our common stock and each other
class of our securities which qualifies or limits our common stock, please see the applicable
prospectus supplement, as well as the description of our capital stock in our Registration
Statement on Form 8-A dated March 31, 2000 which is incorporated by reference in this prospectus.
DESCRIPTION OF WARRANTS
We may issue warrants to purchase common stock. The warrants may be issued independently or
together with any other securities and may be attached to or separate from the other securities.
Each series of warrants may be issued under a separate warrant agreement to be entered into between
us and a bank or trust company, as warrant agent. The warrants will be evidenced by warrant
certificates. Unless otherwise specified in the prospectus supplement, the warrant certificates may
be traded separately from the common stock with which the warrant certificates were issued. Warrant
certificates may be exchanged for new warrant certificates of different denominations at the office
of an agent that we will appoint. Until a warrant is exercised, the holder of a warrant does not
have any of the rights of a holder of our common stock and is not entitled to any payments on any
common stock issuable upon exercise of the warrants.
The prospectus supplement relating to a series of warrants will describe the specific terms of
the warrants including the following:
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the title of the warrants; |
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the aggregate number of the warrants; |
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the price or prices at which the warrants will be issued and the currency in which the
price for the warrants may be paid; |
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the price at which and the currency in which the common stock purchasable upon exercise
of the warrants |
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may be purchased band the various factors considered in determining that price; |
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the dates on which the right to exercise the warrants will commence and expire and
whether the exercise of warrants will be at the option of holders, at our option, or
automatic; |
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whether the warrants are exercisable by payment of cash, surrender of other securities, or both; |
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provisions for changes to or adjustments in the exercise price of the warrants; |
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if applicable, the minimum or maximum amount of the warrants that may be exercised at any one time; |
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if applicable, the designation and terms of the other securities with which the warrants
are issued and the number of the warrants issued with each such other security; |
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if applicable, the date on and after which the warrants and other related securities
will be separately transferable; |
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whether the warrants will be issued in registered form or bearer form; |
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information with respect to book-entry procedures, if any; |
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if applicable, a discussion of material U.S. federal income tax considerations; and |
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any other terms of the warrants, including terms, procedures, and limitations relating
to the exchange or exercise of the warrants. |
LEGAL MATTERS
The legality of the securities offered by this prospectus has been passed upon for us by
Morgan, Lewis & Bockius LLP, San Francisco, California. As of April 15, 2007, members of Morgan,
Lewis & Bockius LLP beneficially owned a total of 411,360 shares of our common stock.
EXPERTS
The consolidated financial statements of Sangamo BioSciences, Inc. appearing in our Annual
Report on Form 10K for the year ended December 31, 2006, and our managements assessment of the
effectiveness of internal control over financial reporting as of December 31, 2006 included
therein, have been audited by Ernst & Young LLP, independent registered public accounting firm, as
set forth in their report thereon included therein and incorporated herein by reference. Such
consolidated financial statements and managements assessment are incorporated herein by reference in reliance upon such report
given on the authority of such firm as experts in accounting and auditing.
WHERE YOU CAN FIND MORE INFORMATION
This prospectus is part of a registration statement that we filed with the Securities and
Exchange Commission. The registration statement that contains this prospectus, including the
exhibits to the registration statement, contains additional information about us and the securities
offered by this prospectus.
We file annual, quarterly and current reports, proxy statements and other information with the
Commission. You may read and copy any document we file at the Commissions Public Reference Room at
100 F. Street, N.E., Washington, D.C. 20549. Please call the Commission at 1-800-SEC-0330 for
further information on the Public Reference Room. Our public filings, including reports, proxy and
information statements, are also available on the Commissions web site at http://www.sec.gov.
6
INCORPORATION OF CERTAIN DOCUMENTS BY REFERENCE
The Securities and Exchange Commission allows us to incorporate by reference information
from other documents that we file with them, which means that we can disclose important information
by referring to those documents. The information incorporated by reference is considered to be part
of this prospectus, and information that we file later with the Commission will automatically
update and supersede this information. We incorporate by reference into this prospectus the
documents listed below, and any future filings (other than the portions thereof deemed to be
furnished to the Commission pursuant to Item 2.02 or Item 7.01 of Current Report on Form 8-K) we
make with the Commission under Sections 13(a), 13(c), 14 or 15(d) of the Securities Exchange Act of
1934, as amended, until we have sold all of the securities to which
this prospectus relates or the offering is otherwise terminated,
including any such filing prior to the effectiveness of this
registration statement:
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our annual report on Form 10-K for the year ended December 31, 2006, filed with
the Commission on March 1, 2007; |
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our current report on Form 8-K filed with the SEC on April 18, 2007; and |
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the description of our common stock contained in our registration statement on
Form 8-A filed under Section 12(g) of the Securities Exchange Act of 1934 with the
Commission on March 31, 2000, including any amendment or reports filed for the
purpose of updating such description |
To the extent that any statement in this prospectus is inconsistent with any statement that is
incorporated by reference and that was made on or before the date of this prospectus, the statement
in this prospectus shall supersede such incorporated statement. The incorporated statement shall
not be deemed, except as modified or superseded, to constitute a part of this prospectus or the
registration statement. Statements contained in this prospectus as to the contents of any contract
or other document are not necessarily complete and, in each instance, we refer you to the copy of
each contract or document filed as an exhibit to the registration statement.
We will furnish without charge to each person, including any beneficial owner, to whom a copy
of this prospectus is delivered, upon written or oral request, a copy of any or all of the
information that has been incorporated into this prospectus by reference (except exhibits, unless
they are specifically incorporated into this prospectus by reference) but not delivered with this
prospectus. You should direct any requests for copies to:
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Sangamo BioSciences, Inc. |
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501 Canal Boulevard, Suite A100 |
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Richmond, CA 94804 |
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(510) 970-6000 |
7
PART II
INFORMATION NOT REQUIRED IN THE PROSPECTUS
ITEM 14. Other Expenses of Issuance and Distribution.
The following table sets forth the costs and expenses in connection with the issuance and
distribution of the common stock being registered. All amounts are estimated except the SEC
registration fee.
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SEC registration fee.
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$ |
2,000 |
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Accounting fees and expenses.
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$ |
25,000 |
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Legal fees and expenses.
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$ |
27,000 |
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Printing expenses.
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$ |
5,000 |
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Miscellaneous.
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$ |
1,000 |
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Total
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60,000 |
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The expenses set forth above relate solely to the preparation and filing of this Registration
Statement and the Company may incur additional expenses in connection with any offering of the
securities registered hereunder.
ITEM 15. Indemnification of Officers and Directors.
Section 145 of the Delaware General Corporation Law authorizes a court to award, or a
corporations board of directors to grant, indemnity to directors and officers in terms
sufficiently broad to permit such indemnification under certain circumstances for liabilities
(including reimbursement for expenses incurred) arising under the Securities Act of 1933. Our
restated certificate of incorporation and our amended and restated bylaws provide for
indemnification of our directors, officers, employees and other agents to the maximum extent
permitted by Delaware law. In addition, we have entered into indemnification agreements with our
officers and directors.
ITEM 16. Exhibits.
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Exhibit No. |
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Exhibit Title |
5.1
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Opinion of Morgan, Lewis & Bockius LLP |
23.1
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Consent of Morgan, Lewis & Bockius LLP (included in Exhibit 5.1) |
23.2
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Consent of Ernst & Young LLP, independent registered public accounting firm |
24.3
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Power of Attorney (included on the signature page of this registration statement) |
ITEM 17. Undertakings.
(a) |
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The undersigned registrant hereby undertakes: |
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(1) |
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To file, during any period in which offers or sales are being made, a post-effective
amendment to this registration statement: |
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(i) |
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to include any prospectus required by Section 10(a)(3) of the Securities Act of
1933; |
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(ii) |
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To reflect in the prospectus any facts or events arising after the effective
date of this registration statement (or the most recent post-effective amendment
thereof) which, individually or in the aggregate, represent a fundamental change in the
information set forth in the registration statement. Notwithstanding the foregoing,
any increase or decrease in volume of securities offered (if the total dollar value of
securities offered would not exceed that which was registered) and any deviation from
the low or high end of the estimated maximum offering range may be reflected in the
form of prospectus filed with the Commission pursuant to Rule 424(b) if, in the
aggregate, the changes in volume and price represent no more than 20% change in the
maximum aggregate offering price set forth in the Calculation of Registration Fee
table in the effective registration statement; and |
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(iii) |
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to include any material information with respect to the plan of distribution
not previously disclosed in the registration statement or any material change to such
information in the registration statement; |
II-1
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provided, however, that paragraphs (a), (b) and (c) do not apply if the information required
to be included in a post-effective amendment by those paragraphs is contained in reports
filed with or furnished to the SEC by the registrant pursuant to Section 13 or Section 15(d)
of the Securities Exchange Act of 1934 that are incorporated by reference in the
registration statement, or is contained is a form of prospectus filed pursuant to rule
424(b) that is part of the registration statement. |
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(2) |
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That, for purposes of determining any liability under the Securities Act of 1933, each
such post-effective amendment shall be deemed to be a new registration statement relating
to the securities offered therein, and the offering of such securities at that time shall
be deemed to be the initial bona fide offering thereof. |
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(3) |
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To remove from registration by means of a post-effective amendment any of the
securities being registered which remain unsold at the termination of the offering. |
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(4) |
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That, for the purpose of determining liability under the Securities Act of 1933, if the
registrant is relying on Rule 430B of the Securities Act of 1933, |
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(i) |
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each prospectus filed by the registrant pursuant to Rule 424(b)(3) shall be deemed to be
part of the registration statement as of the date the filed prospectus was deemed part of
and included in the registration statement; and |
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(ii) |
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each prospectus required to be filed pursuant to Rule 424(b)(2), (b)(5), or
(b)(7) as part of a registration statement in reliance on Rule 430B relating to an
offering made pursuant to Rule 415(a)(1)(i)(x) for the purpose of providing the
information required by section 10(a) of the Securities Act of 1933 shall be deemed to
be part of and included in the registration statement as of the earlier of the date
such form of prospectus is first used after effectiveness or the date of the first
contract of sale of securities in the offering described in the prospectus. As
provided in Rule 430B, for liability purposes of the issuer and any person that is at
that date an underwriter, such date shall be deemed to be a new effective date of the
registration statement relating to the securities in the registration statement to
which that prospectus relates, and the offering of such securities at that time shall
be deemed to be the initial bona fide offering thereof. Provided, however, that no
statement made in a registration statement or prospectus that is part of the
registration statement or made in a document incorporated or deemed incorporated by
reference into the registration statement or prospectus that is part of the
registration statement will, as to a purchaser with a time of contract of sale prior to
such effective date, supersede or modify any statement that was made in the
registration statement or prospectus that was part of the registration statement or
made in any such document immediately prior to such effective date. |
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(6) |
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That, for the purpose of determining liability of the registrant under the Securities
Act of 1933 to any purchaser in the initial distribution of the securities, in a primary
offering of securities of the undersigned registrant pursuant to this registration
statement, regardless of the underwriting method used to sell the securities to the
purchaser, if the securities are offered or sold to such purchaser by means of any of the
following communications, the undersigned registrant will be a seller to the purchaser and
will be considered to offer or sell such securities to such purchaser: |
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(i) |
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Any preliminary prospectus or prospectus of the undersigned registrant relating
to the offering required to be filed pursuant to Rule 424; |
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(ii) |
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Any free writing prospectus relating to the offering prepared by or on behalf of the
undersigned registrant or used or referred to by the undersigned registrant; |
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(iii) |
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The portion of any other free writing prospectus relating to the offering containing
material information about the undersigned registrant or its securities provided by or on
behalf of the undersigned registrant; and |
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(iv) |
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Any other communication that is an offer in the offering made by the undersigned
registrant to the purchaser. |
II-2
(b) |
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For purposes of determining any liability under the Securities Act of 1933, each filing of
the registrants annual report pursuant to section 13(a) or section 15(d) of the Securities
Exchange Act of 1934 (and, where applicable, each filing of an employee benefit plans annual
report pursuant to section 15(d) of the Securities Exchange Act of 1934) that is incorporated
by reference in this registration statement shall be deemed to be a new registration statement
relating to the securities offered herein, and the offering of such securities at that time
shall be deemed to be the initial bona fide offering thereof. |
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(c) |
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Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be
permitted to directors, officers and controlling persons of the registrant pursuant to the
foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the
SEC such indemnification is against public policy as expressed in the Securities Act of 1933
and is, therefore, unenforceable. In the event that a claim for indemnification against such
liabilities (other than the payment by the registrant of expenses incurred or paid by a
director, officer or controlling person of the registrant in the successful defense of any
action, suit or proceeding) is asserted by such director, officer or controlling person in
connection with the securities being registered, the registrant will, unless in the opinion of
its counsel the matter has been settled by controlling precedent, submit to a court of
appropriate jurisdiction the question whether such indemnification by it is against public
policy as expressed in the Securities Act of 1933 and will be governed by the final
adjudication of such issue. |
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(d) |
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(1) For purposes of determining any liability under the Securities Act of 1933, the
information omitted from the form of prospectus filed as part of this registration statement
in reliance upon Rule 430A and contained in a form of prospectus filed by the registrant
pursuant to Rule 424(b)(1) or (4) or 497(h) under the Securities Act of 1933 will be deemed to
be part of this registration statement as of the time it was declared effective. |
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(2) For the purpose of determining any liability under the Securities Act of 1933, each
post-effective amendment that contains a form of prospectus will be deemed to be a new
registration statement relating to the securities offered therein, and the offering of such
securities at that time will be deemed to be the initial bona fide offering thereof. |
II-3
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant
certifies that it has reasonable grounds to believe that it meets all the requirements for filings
on Form S-3 and has duly caused this Registration Statement to be signed on its behalf by the
undersigned, thereunto duly authorized.
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SANGAMO BIOSCIENCES, INC.
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Richmond, California |
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Dated: April 26, 2007 |
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By: |
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/s/ Edward O. Lanphier II |
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Edward O. Lanphier II |
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President, Chief Executive Officer |
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and Director |
KNOW ALL MEN BY THESE PRESENTS, that the persons whose signatures appear below constitute and
appoint Edward O. Lanphier II as their true and lawful attorney-in-fact and agent, with full power
of substitution and resubstitution, for them and in their names, places and steads, in any and all
capacities, to sign any and all amendments (including post-effective amendments) to this
registration statement, and to sign any subsequent registration statement filed pursuant to Rule
462(b) under the Securities Act of 1933, as amended, and any and all amendments thereto, and to
file the same, with all exhibits thereto, and the other documents in connection therewith, with the
Securities and Exchange Commission, granting unto said attorneys-in-fact and agent full power and
authority to do and perform each and every act and thing requisite and necessary to be done in
connection therewith, as fully to all intents and purposes as they might or could do in person,
hereby ratifying and confirming all that said attorneys-in-fact and agent or his substitutes, may
lawfully do or cause to be done by virtue thereof.
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has
been signed below by the following persons on behalf of the registrant and in the capacities and on
the dates indicated.
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Signature |
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Title |
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Date |
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/s/
Edward O. Lanphier II
Edward O. Lanphier II
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President, Chief
Executive Officer and
Director (Principal
Executive Officer)
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April 26, 2007 |
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/s/
Greg S. Zante
Greg S. Zante
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Vice President, Finance
and Administration
(Principal Financial
and Accounting Officer)
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April 26, 2007 |
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/s/
William G. Gerber, M.D |
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Director
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April 26, 2007 |
William G. Gerber, M.D
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/s/
John W. Larson |
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Director
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April 26, 2007 |
John W. Larson |
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/s/
Margaret A. Liu, M.D.
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Director
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April 26, 2007 |
Margaret A. Liu, M.D. |
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/s/
Steven J. Mento, Ph.D.
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Director
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April 26, 2007 |
Steven J. Mento, Ph.D. |
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II-4
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Signature |
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Title |
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Date |
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/s/
H. Ward Wolff
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Director
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April 26, 2007 |
H. Ward Wolff |
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/s/
Michael C. Wood
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Director
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April 26, 2007 |
Michael C. Wood |
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II-5
INDEX TO EXHIBITS
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Exhibit No. |
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Exhibit Title |
5.1
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Opinion of Morgan, Lewis & Bockius LLP |
23.1
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Consent of Morgan, Lewis & Bockius LLP (included in Exhibit 5.1) |
23.2
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Consent of Ernst & Young LLP, independent registered public accounting firm |
24.3
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Power of Attorney (included on the signature page of this registration statement) |