09/11/2025 | Press release | Distributed by Public on 09/11/2025 09:27
TABLE OF CONTENTS
|
|
|
|
|
|
|
Delaware
|
|
|
3826
|
|
|
26-1756290
|
(State or other jurisdiction of incorporation or organization)
|
|
|
(Primary Standard Industrial Classification Code Number)
|
|
|
(I.R.S. Employer
Identification No.)
|
|
|
|
|
|
|
|
|
|
|
|
Rakesh Gopalan
David S. Wolpa
Troutman Pepper Locke LLP
301 S. College Street, Suite 3400
Charlotte, NC 28202
(704) 998-4050
|
|
|
Rick A. Werner
Alla Digilova
Haynes and Boone, LLP
30 Rockefeller Plaza, 26th Floor
New York, New York 10112
(212) 659-7300
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Large accelerated filer
|
|
|
☐
|
|
|
Accelerated filer
|
|
|
☐
|
Non-accelerated filer
|
|
|
☒
|
|
|
Smaller reporting company
|
|
|
☒
|
|
|
|
|
Emerging growth company
|
|
|
☐
|
||
|
|
|
|
|
|
|
|
|
|
TABLE OF CONTENTS
|
|
|
|
PRELIMINARY PROSPECTUS
|
|
|
SUBJECT TO COMPLETION, DATED SEPTEMBER 11, 2025
|
|
|
|
|
TABLE OF CONTENTS
|
|
|
|
|
|
|
|
|
|
|
|
Per Share and
Accompanying
Warrants
|
|
|
Per Pre-
Funded
Warrant and
Accompanying
Warrants
|
|
|
Total
|
|
Combined public offering price
|
|
|
$
|
|
|
$
|
|
|
$
|
Placement agent fees(1)
|
|
|
$
|
|
|
$
|
|
|
$
|
Proceeds to us, before expenses(2)
|
|
|
$
|
|
|
$
|
|
|
$
|
|
|
|
|
|
|
|
|
|
|
(1)
|
We have agreed to pay the placement agent a cash fee equal to 6.0%. We have also agreed to pay the placement agent a management fee of 0.5% of the aggregate gross proceeds raised in this offering and to reimburse the placement agent for certain of its offering related expenses, including reimbursement for non-accountable expenses in an amount up to $50,000, legal fees and expenses and other out-of-pocket expenses in the amount of up to $100,000, road show expenses in the amount of up to $5,000, and for its clearing expenses in the amount up to $15,950. For a description of compensation to be received by the placement agent, see "Plan of Distribution" for more information.
|
(2)
|
Because there is no minimum number of securities or amount of proceeds required as a condition to closing in this offering, the actual public offering amount, placement agent fees, and proceeds to us, if any, are not presently determinable and may be substantially less than the total maximum offering amounts set forth above. The amount of the proceeds to us presented in this table does not give effect to any exercise of the Warrants or the Pre-Funded Warrants offered hereby. For more information, see "Plan of Distribution."
|
TABLE OF CONTENTS
|
|
|
|
|
|
Page
|
|
ABOUT THIS PROSPECTUS
|
|
|
ii
|
CAUTIONARY NOTE CONCERNING FORWARD-LOOKING STATEMENTS
|
|
|
iii
|
PROSPECTUS SUMMARY
|
|
|
1
|
THE OFFERING
|
|
|
3
|
RISK FACTORS
|
|
|
6
|
USE OF PROCEEDS
|
|
|
9
|
DIVIDEND POLICY
|
|
|
10
|
DESCRIPTION OF CAPITAL STOCK
|
|
|
11
|
DESCRIPTION OF SECURITIES WE ARE OFFERING
|
|
|
14
|
PLAN OF DISTRIBUTION
|
|
|
18
|
INFORMATION INCORPORATED BY REFERENCE
|
|
|
21
|
WHERE YOU CAN FIND MORE INFORMATION
|
|
|
22
|
LEGAL MATTERS
|
|
|
23
|
EXPERTS
|
|
|
23
|
|
|
|
|
TABLE OF CONTENTS
TABLE OF CONTENTS
•
|
our ability to improve our margins, extend our cash runway and reach a potential pathway to profitability;
|
•
|
our ability to continue as a going concern within 12 months of the filing of our Quarterly Report on Form 10-Q for the quarter ended June 30, 2025, which requires us to manage costs and obtain significant additional financing to fund our strategic plans and commercialization efforts;
|
•
|
our ability to execute on our strategy and achieve our objectives;
|
•
|
the impact and utility of our cost savings initiative and our recent financing;
|
•
|
our ability to continue to drive OGM (as defined below) adoption by potential customers for routine use in genomic analysis;
|
•
|
the impact, or lack thereof, of Category I CPT codes to accelerate or increase the adoption of OGM;
|
•
|
continued research, presentations and publications involving OGM and its utility compared to traditional cytogenetics and our technologies;
|
•
|
the impact of our Stratys™ system and VIA™ software to increase throughput and simplify analysis of OGM data;
|
•
|
our ability to drive adoption of OGM and our technology solutions;
|
•
|
our ability to further deploy new products and applications for our technology platforms;
|
•
|
our expectations and beliefs regarding future growth of the business and the markets in which we operate;
|
•
|
our ability to consummate any strategic alternatives including the risk that if we fail to obtain additional financing we may seek relief under applicable insolvency laws;
|
•
|
the size and growth potential of the markets for our products, and our ability to serve those markets;
|
•
|
the rate and degree of market acceptance of our products;
|
•
|
our ability to manage the growth of our business and integrate acquired businesses;
|
•
|
our ability to expand our commercial organization to address effectively existing and new markets that we intend to target;
|
•
|
the impact from future regulatory, judicial, and legislative changes or developments in the U.S. and foreign countries;
|
•
|
our ability to compete effectively in a competitive industry;
|
•
|
the introduction of competitive technologies or improvements in existing technologies and the success of any such technologies;
|
•
|
the performance of our third-party contract sales organizations, suppliers and manufacturers;
|
•
|
our ability to attract and retain key scientific or management personnel;
|
TABLE OF CONTENTS
•
|
the accuracy of our estimates regarding expenses, future revenues, reimbursement rates, capital requirements and needs for additional financing;
|
•
|
the impact of adverse geopolitical and macroeconomic developments, such as recent and future bank failures, the ongoing conflicts between Ukraine and Russia and in the Middle East, and related sanctions, regional or global pandemics, inflation, increased cost of goods, supply chain issues, and global financial market conditions; on our business and operations, as well as the business or operations of our suppliers, customers, manufacturers, research partners and other third parties with whom we conduct business and our expectations with respect to the duration of such impacts and the resulting effects on our business;
|
•
|
our ability to realize the anticipated benefits and synergies of our prior and any future acquisitions or other strategic transactions;
|
•
|
our ability to attract collaborators and strategic partnerships; and
|
•
|
other factors discussed in our most recent Annual Report on Form 10-K and any other subsequent filings we make with the SEC.
|
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
(1)
|
The number of shares of our common stock outstanding prior to this offering and to be outstanding after this offering is based on 4,755,265 shares of common stock outstanding as of September 9, 2025, and excludes as of such date:
|
•
|
191,532 shares of common stock issuable upon the exercise of outstanding stock options with a weighted-average exercise price of $251.09 per share;
|
•
|
2,081,088.57 shares of common stock issuable upon the exercise of outstanding warrants with a weighted average exercise price of $54.74 per share;
|
•
|
633,703.70 shares of common stock issuable upon the exercise of outstanding convertible notes with a conversion price of $16.20 per share;
|
•
|
35,471 shares of common stock reserved for future issuance under our 2020 Inducement Plan ("2020 Plan"), plus any additional shares of our common stock that may become available under the 2020 Plan;
|
•
|
1,013 shares of our common stock reserved for issuance under our 2018 Employee Stock Purchase Plan ("ESPP"); and
|
•
|
11,838 shares of our common stock reserved for issuance under our 2018 Equity Incentive Plan.
|
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
•
|
before such date, the board of directors of the corporation approved either the business combination or the transaction that resulted in the stockholder becoming an interested stockholder;
|
•
|
upon completion of the transaction that resulted in the stockholder becoming an interested stockholder, the interested stockholder owned at least 85% of the voting stock of the corporation outstanding at the time the transaction began, excluding for purposes of determining the voting stock outstanding (but not the outstanding voting stock owned by the interested stockholder) those shares owned (i) by persons who are directors and also officers and (ii) employee stock plans in which employee participants do not have the right to determine confidentially whether shares held subject to the plan will be tendered in a tender or exchange offer; or
|
•
|
on or after such date, the business combination is approved by the board of directors and authorized at an annual or special meeting of the stockholder, and not by written consent, by the affirmative vote of at least 66 2/3% of the outstanding voting stock that is not owned by the interested stockholder.
|
•
|
any merger or consolidation involving the corporation and the interested stockholder;
|
•
|
any sale, transfer, pledge or other disposition of 10% or more of the assets of the corporation involving the interested stockholder;
|
•
|
subject to certain exceptions, any transaction that results in the issuance or transfer by the corporation of any stock of the corporation to the interested stockholder;
|
•
|
any transaction involving the corporation that has the effect of increasing the proportionate share of the stock or any class or series of the corporation beneficially owned by the interested stockholder; or
|
•
|
the receipt by the interested stockholder of the benefit of any loss, advances, guarantees, pledges or other financial benefits by or through the corporation.
|
TABLE OF CONTENTS
•
|
do not provide stockholders with cumulative voting rights such that stockholders holding a plurality of the voting power of our shares of common stock would be able to elect all of our directors;
|
•
|
provide for stockholder actions to be taken at a duly called meeting of stockholders and not by written consent;
|
•
|
provide that a special meeting of stockholders may only be called by a majority of our board of directors, the chair of our board of directors or our chief executive officer;
|
•
|
establish an advance notice procedure for stockholder proposals to be brought before an annual meeting of our stockholders, including proposed nominations of persons for election to our board of directors;
|
•
|
divide our board of directors into three classes with staggered three-year terms;
|
•
|
provide that the authorized number of directors may be changed only by resolution adopted by a majority of the authorized number of directors constituting the board of directors;
|
•
|
provide that the board of directors or any individual director may only be removed with cause and the affirmative vote of the holders of at least 66 2/3% of the voting power of all of our then outstanding shares of common stock; and
|
•
|
provide that all vacancies, including newly created directorships, may, except as otherwise required by law or subject to the rights of holders of preferred stock as designated from time to time, be filled by the affirmative vote of a majority of directors then in office, even if less than a quorum.
|
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
•
|
standard and customary issuer representations and warranties on matters such as due organization, qualification, authorization, no conflict, no governmental filings required, currentness and accuracy of SEC filings, absence of litigation, labor or other compliance issues, environmental, intellectual property and title matters and compliance with various laws such as the Foreign Corrupt Practices Act; and
|
•
|
covenants regarding matters such as registration of the offering of the warrant shares, the filing of a Current Report on Form 8-K to disclose entering into these securities purchase agreements, the providing of material nonpublic information, use of proceeds, indemnification of purchasers, reservation and listing of common stock, and prohibitions on subsequent equity sales for 30 days.
|
|
|
|
|
|
|
|
|
|
|
|
|
Per Share and
Accompanying
Warrants
|
|
|
Per Pre-
Funded
Warrant and
Accompanying
Warrants
|
|
|
Total
|
|
Combined public offering price
|
|
|
$
|
|
|
$
|
|
|
$
|
Placement agent fees
|
|
|
$
|
|
|
$
|
|
|
$
|
Proceeds to us, before expenses
|
|
|
$
|
|
|
$
|
|
|
$
|
|
|
|
|
|
|
|
|
|
|
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
•
|
our Annual Report on Form 10-K for the year ended December 31, 2024, filed with the SEC on March 31, 2025;
|
•
|
our Quarterly Reports on Form 10-Q for the quarters ended March 31, 2025 and June 30, 2025, filed with the SEC on May 14, 2025 and August 14, 2025, respectively;
|
•
|
our Current Reports on Form 8-K (other than information furnished rather than filed) filed with the SEC on January 3, 2025 (with respect to Items 1.01, 3.02 and 9.01 only), January 6, 2025 (with respect to Items 1.01, 8.01 and 9.01 only), January 13, 2025, January 16, 2025, January 27, 2025 (with respect to Items 3.03, 5.03 and 9.01 only), February 10, 2025, February 21, 2025 and June 13, 2025, and on Form 8-K/A, filed with the SEC on June 18, 2025;
|
•
|
our Definitive Proxy Statement on Schedule 14A, filed with the SEC on April 28, 2025 (solely those portions that were incorporated by reference into Part III of our Annual Report on Form 10-K for the fiscal year ended December 31, 2024); and
|
•
|
the description of the Company's Common Stock contained in the Company's Registration Statement on Form 8-A/A, filed with the SEC on August 17, 2018, as updated by the description of capital stock contained in Exhibit 4.5 to the Annual Report on Form 10-K for the year ended December 31, 2023, filed with the SEC on March 5, 2024, and including any amendments or reports filed for the purposes of updating this description.
|
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
Item 13.
|
Other Expenses of Issuance and Distribution.
|
|
|
|
|
|
|
Amount
to be paid
|
|
SEC registration fee
|
|
|
$4,593
|
FINRA filing fee
|
|
|
5,000
|
Legal fees and expenses
|
|
|
100,000
|
Accounting fees and expenses
|
|
|
45,000
|
Miscellaneous
|
|
|
5,500
|
Total expenses
|
|
|
$160,093
|
|
|
|
|
Item 14.
|
Indemnification of Directors and Officers.
|
•
|
transaction from which the director or officer derives an improper personal benefit;
|
•
|
act or omission not in good faith or that involves intentional misconduct or a knowing violation of law;
|
•
|
in the case of a director, unlawful payment of dividends or redemption of shares;
|
•
|
breach of a director's duty of loyalty to the corporation or its stockholders; or
|
•
|
in the case of an officer, action by or in the right of the corporation.
|
TABLE OF CONTENTS
•
|
indemnification beyond that permitted by the General Corporation Law of the State of Delaware;
|
•
|
indemnification for any proceeding with respect to the unlawful payment of remuneration to the director or officer;
|
•
|
indemnification for certain proceedings involving a final judgment that the director or officer is required to disgorge profits from the purchase or sale of our stock;
|
•
|
indemnification for proceedings involving a final judgment that the director's or officer's conduct was in bad faith, knowingly fraudulent or deliberately dishonest or constituted willful misconduct or a breach of his or her duty of loyalty, but only to the extent of such specific determination;
|
•
|
indemnification for proceedings or claims brought by an officer or director against us or any of our directors, officers, employees or agents, except for (1) claims to establish a right of indemnification or proceedings, (2) claims approved by our board of directors, (3) claims required by law, (4) when there has been a change of control as defined in the indemnification agreement with each director or officer, or (5) by us in our sole discretion pursuant to the powers vested to us under the General Corporation Law of the State of Delaware;
|
•
|
indemnification for settlements the director or officer enters into without our consent; or
|
•
|
indemnification in violation of any undertaking required by the Securities Act or in any registration statement we file.
|
TABLE OF CONTENTS
Item 15.
|
Recent Sales of Unregistered Securities.
|
TABLE OF CONTENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
Item 16.
|
Exhibits.
|
|
|
|
|
Exhibit No.
|
|
|
Description
|
3.1
|
|
|
Amended and Restated Certificate of Incorporation, as amended (incorporated by reference to Exhibit 3.1 to Registrant's Quarterly Report on Form 10-Q, filed with the SEC on November 8, 2023).
|
3.2
|
|
|
Certificate of Amendment to the Amended and Restated Certificate of Incorporation, as amended (incorporated by reference to Exhibit 3.1 to Registrant's Current Report on Form 8-K, filed with the SEC on January 27, 2025).
|
3.3
|
|
|
Amended and Restated Bylaws (incorporated by reference to Exhibit 3.2 to the Registrant's Current Report on Form 8-K, filed with the SEC on August 24, 2018).
|
3.4
|
|
|
Amendment to Amended and Restated Bylaws (incorporated by reference to Exhibit 3.2 to the Registrant's Current Report on Form 8-K, filed with the SEC on April 14, 2023).
|
4.1
|
|
|
Form of Common Stock Certificate (incorporated by reference to Exhibit 4.1 to the Registrant's Registration Statement on Form S-1 (File No. 333-225970), as amended, originally filed with the SEC on June 28, 2018).
|
4.2
|
|
|
Form of Warrant to Purchase Series D-1 Preferred Stock issued to Midcap Financial Trust (incorporated by reference to Exhibit 4.8 to the Registrant's Registration Statement on Form S-1 (File No. 333-225970), as amended, originally filed with the SEC on June 28, 2018).
|
4.3
|
|
|
Form of Warrant to Purchase Common Stock for Service Providers (incorporated by reference to Exhibit 4.1 to the Registrant's Current Report on Form 8-K, filed with the SEC on November 21, 2018).
|
4.4
|
|
|
Form of Warrant to Purchase Common Stock issued to Investors in October 2019 Public Offering (incorporated by reference to Exhibit 4.13 to the Registrant's Registration Statement on Form S-1 (File No. 333-233828), as amended, originally filed with the SEC on September 18, 2019).
|
4.5
|
|
|
Form of Warrant to Purchase Common Stock issued to Investors in April 2020 Public Offering) (incorporated by reference to Exhibit 4.16 to the Registrant's Registration Statement on Form S-1 (File No. 333-237074), as amended, originally filed with the SEC on March 11, 2020).
|
4.6
|
|
|
Form of Warrant to Purchase Common Stock issued to Purchaser in October 2023 Offering (incorporated by reference to Exhibit 4.2 to the Registrant's Current Report on Form 8-K, filed with the SEC on October 11, 2023).
|
4.7
|
|
|
Form of Warrant to Purchase Common Stock issued to Investors in April 2024 Registered Direct Offering) (incorporated by reference to Exhibit 4.1 to the Registrant's Current Report on Form 8-K, filed with the SEC on April 5, 2024).
|
4.8
|
|
|
Form of Warrant to Purchase Common Stock issued to Investors in April 2024 Registered Direct Offering (incorporated by reference to Exhibit 4.2 to the Registrant's Current Report on Form 8-K, filed with the SEC on April 5, 2024).
|
4.9^€
|
|
|
Form of Senior Secured Convertible Debenture Due May 24, 2026 (incorporated by reference to Exhibit 4.1 to the Registrant's Current Report on Form 8-K, filed with the SEC on May 28, 2024).
|
4.10
|
|
|
Form of Pre-Funded Warrant to Purchase Common Stock issued to Investors in July 2024 Registered Direct Offering (incorporated by reference to Exhibit 4.1 to the Registrant's Current Report on Form 8-K, filed with the SEC on July 8, 2024).
|
4.11
|
|
|
Form of Warrant to Purchase Series A Common Stock issued to Investors in July 2024 Registered Direct Offering (incorporated by reference to Exhibit 4.2 to the Registrant's Current Report on Form 8-K, filed with the SEC on July 8, 2024).
|
4.12
|
|
|
Form of Warrant to Purchase Series B Common Stock issued to Investors in July 2024 Registered Direct Offering (incorporated by reference to Exhibit 4.3 to the Registrant's Current Report on Form 8-K, filed with the SEC on July 8, 2024).
|
4.13
|
|
|
Form of Warrant to Purchase Series C Common Stock issued to Investors in October 2024 Registered Direct Offering (incorporated by reference to Exhibit 4.1 to the Registrant's Current Report on Form 8-K, filed with the SEC on October 31, 2024).
|
|
|
|
|
TABLE OF CONTENTS
|
|
|
|
Exhibit No.
|
|
|
Description
|
4.14
|
|
|
Form of Warrant to Purchase Series D Common Stock issued to Investors in October 2024 Registered Direct Offering (incorporated by reference to Exhibit 4.2 to the Registrant's Current Report on Form 8-K, filed with the SEC on October 31, 2024).
|
4.15
|
|
|
Settlement Agreement and First Amendment to Debentures dated December 31, 2024 (incorporated by reference to Exhibit 4.1 to the Registrant's Current Report on Form 8-K, filed with the SEC on January 3, 2025).
|
4.16
|
|
|
Form of Warrant to Purchase Common Stock issued to Investors in January 2025 Registered Direct Offering) (incorporated by reference to Exhibit 4.1 to the Registrant's Current Report on Form 8-K, filed with the SEC on January 6, 2025).
|
4.17
|
|
|
Form of Pre-Funded Warrant to Purchase Common Stock issued to Investors in January 2025 Registered Direct Offering) (incorporated by reference to Exhibit 4.2 to the Registrant's Current Report on Form 8-K, filed with the SEC on January 6, 2025).
|
4.18
|
|
|
Description of the Company's Securities (incorporated by reference to Exhibit 4.5 to the Registrant's Annual Report on Form 10-K, filed with the SEC on March 5, 2024).
|
4.19*
|
|
|
Form of Pre-Funded Warrant issued in this Offering.
|
4.20*
|
|
|
Form of Series E/F Warrant issued in this Offering.
|
5.1*
|
|
|
Opinion of Troutman Pepper Locke LLP.
|
10.1^€
|
|
|
Form of Securities Purchase Agreement, dated April 4, 2024, by and among the Company and the Purchasers named therein (incorporated by reference to Exhibit 10.1 to the Registrant's Current Report on Form 8-K, filed with the SEC on April 5, 2024).
|
10.2^€
|
|
|
Form of Securities Purchase Agreement, dated July 4, 2024, by and among the Company and the Purchasers named therein (incorporated by reference to Exhibit 10.1 to the Registrant's Current Report on Form 8-K, filed with the SEC on July 8, 2024).
|
10.3^€
|
|
|
Form of Securities Purchase Agreement, dated October 30, 2024, by and among the Company and the Purchasers named therein (incorporated by reference to Exhibit 10.1 to the Registrant's Current Report on Form 8-K, filed with the SEC on October 31, 2024).
|
10.4^€
|
|
|
Form of Securities Purchase Agreement, dated January 3, 2025, by and among the Company and the Purchasers named therein (incorporated by reference to Exhibit 10.1 to the Registrant's Current Report on Form 8-K, filed with the SEC on January 6, 2025).
|
10.5+
|
|
|
Bionano Genomics, Inc. 2018 Equity Incentive Plan, as amended (the "2018 Plan") (incorporated by reference to Exhibit 99.1 of the Registrant's Registration Statement on Form S-8 (File No. 333-245764), filed with the SEC on August 13, 2020).
|
10.5A+
|
|
|
Forms of grant notice, stock option agreement and notice of exercise under the 2018 Plan (incorporated by reference to Exhibit 10.2A of the Registrant's Annual Report on Form 10-K, filed with the SEC on March 9, 2023).
|
10.5B+
|
|
|
Forms of director grant notice, stock option agreement and notice of exercise under the 2018 Plan (incorporated by reference to Exhibit 10.2B of the Registrant's Annual Report on Form 10-K, filed with the SEC on March 9, 2023).
|
10.5C+
|
|
|
Forms of double-trigger grant notice, stock option agreement and notice of exercise under the 2018 Plan (incorporated by reference to Exhibit 10.2C of the Registrant's Annual Report on Form 10-K, filed with the SEC on March 9, 2023).
|
10.5D+
|
|
|
Forms of international grant notice, stock option agreement and notice of exercise under the 2018 Plan (incorporated by reference to Exhibit 10.5 of the Registrant's Registration Statement on Form S-1 (File No. 333-225970), as amended, filed with the SEC on August 17, 2018).
|
10.5E+
|
|
|
Forms of restricted stock unit grant notice and restricted stock unit award agreement under the Bionano Genomics, Inc. 2018 Equity Incentive Plan (incorporated by reference to Exhibit 10.1 of the Registrant's Quarterly Report on Form 10-Q, filed with the SEC on August 4, 2021).
|
10.5F+
|
|
|
Bionano Genomics, Inc. 2018 Employee Stock Purchase Plan (incorporated by reference to Exhibit 99.5 of the Registrant's Registration Statement on Form S-8 (File No. 333-227073), filed with the SEC on August 28, 2018).
|
|
|
|
|
TABLE OF CONTENTS
|
|
|
|
Exhibit No.
|
|
|
Description
|
10.5G+
|
|
|
Bionano Genomics, Inc. 2020 Inducement Plan, as amended (incorporated by reference to Exhibit 99.3 of the Registrant's Registration Statement on Form S-8 (File No. 333-286325), filed with the SEC on March 31, 2025).
|
10.5H+
|
|
|
Form of Stock Option Grant Notice and Stock Option Agreement under the Bionano Genomics, Inc. 2020 Inducement Plan (incorporated by reference to Exhibit 10.2 of the Registrant's Current Report on Form 8-K, filed with the SEC on August 24, 2020).
|
10.5I+
|
|
|
Bionano Genomics, Inc. Non-Employee Director Compensation Policy, as amended (incorporated by reference to Exhibit 10.7 of the Registrant's Annual Report on Form 10-K, filed with the SEC on March 1, 2022).
|
10.6+
|
|
|
Form of Indemnification Agreement by and between the Registrant and each director and executive officer (incorporated by reference to Exhibit 10.7 of the Registrant's Annual Report on Form 10-K, filed with the SEC on March 10, 2020).
|
10.7+
|
|
|
Employment Agreement by and between the Registrant and R. Erik Holmlin, Ph.D., dated November 7, 2017, as amended (incorporated by reference to the Company's Registration Statement on Form S-1 (File No. 333-225970), as amended).
|
10.8+
|
|
|
Employment Agreement, effective as of August 31, 2020, by and between Alka Chaubey and the Company (incorporated by reference to Exhibit 10.7 of the Registrant's Quarterly Report on Form 10-Q, filed with the SEC on November 13, 2020).
|
10.9+
|
|
|
Employment Agreement by and between the Registrant and Mark Oldakowski, dated November 7, 2017 (incorporated by reference to the Company's Registration Statement on Form S-1 (File No. 333-225970), as amended).
|
10.10
|
|
|
Lease by and between the Registrant and The Irvine Company LLC, dated January 16, 2012 (incorporated by reference to the Company's Registration Statement on Form S-1 (File No. 333-225970), as amended).
|
10.10A
|
|
|
First Amendment to the Lease by and between the Registrant and The Irvine Company LLC, dated September 10, 2013 (incorporated by reference to the Company's Registration Statement on Form S-1 (File No. 333-225970), as amended).
|
10.10B
|
|
|
Second Amendment to the Lease by and between the Registrant and The Irvine Company LLC, dated July 1, 2015 (incorporated by reference to the Company's Registration Statement on Form S-1 (File No. 333-225970), as amended).
|
10.10C
|
|
|
Third Amendment to the Lease by and between the Registrant and The Irvine Company LLC, dated December 19, 2019 (incorporated by reference to Exhibit 10.22 of the Registrant's Annual Report on Form 10-K, filed with the SEC on March 23, 2021).
|
10.10D
|
|
|
Fourth Amendment to the Lease by and between the Registrant and The Irvine Company LLC, dated February 15, 2021 (incorporated by reference to Exhibit 10.23 of the Registrant's Annual Report on Form 10-K, filed with the SEC on March 23, 2021).
|
10.10E
|
|
|
Fifth Amendment to the Lease by and between the Registrant and The Irvine Company, LLC, dated January 12, 2022. (incorporated by reference to Exhibit 10.39 of the Registrant's Annual Report on Form 10-K, filed with the SEC on March 1, 2022).
|
10.10F
|
|
|
Sixth Amendment to the Lease by and between the Registrant and Irvine Eastgate Office I LLC, dated June 27, 2025 (incorporated by reference to Exhibit 10.1 of the Registrant's Quarterly Report on Form 10-Q, filed with the SEC on August 14, 2025).
|
10.11
|
|
|
Standard Industrial/Commercial Single-Tenant Lease, made effective as of November 23, 2021, by and between the Company and 6777 Nancy Ridge LLC (incorporated by reference to Exhibit 10.33 of the Registrant's Annual Report on Form 10-K, filed with the SEC on March 1, 2022).
|
10.12
|
|
|
Commercial Single-Tenant Lease - Net, dated February 28, 2016, by and between Tesa Beach LLC and BioDiscovery, Inc. (incorporated by reference to Exhibit 10.38 of the Registrant's Annual Report on Form 10-K, filed with the SEC on March 1, 2022).
|
10.13
|
|
|
Lease, dated August 22, 2016, by and between SFF BBC, LLC and Purigen Biosystems, Inc. (incorporated by reference to Exhibit 10.14 of the Registrant's Annual Report on Form 10-K, filed with the SEC on March 9, 2023).
|
|
|
|
|
TABLE OF CONTENTS
|
|
|
|
Exhibit No.
|
|
|
Description
|
10.13A
|
|
|
First Amendment to the Lease by and between Purigen Biosystems Inc, and SFF BBC, LLC, dated August 22, 2016 (incorporated by reference to Exhibit 10.14A of the Registrant's Annual Report on Form 10-K, filed with the SEC on March 9, 2023).
|
10.14
|
|
|
At the Market Offering Agreement, dated February 21, 2025, by and between the Company and H.C. Wainwright, LLC (incorporated by reference to Exhibit 10.1 of the Registrant's Current Report on Form 8-K filed with the SEC on February 21, 2025).
|
10.15#
|
|
|
Master Services Agreement by and between the Registrant and Skorpios Technologies, Inc. (f/k/a Novati Technologies, Inc. and f/k/a SVTC Technologies, LLC), dated March 2, 2009, as amended (incorporated by reference to the Company's Registration Statement on Form S-1 (File No. 333-225970), as amended).
|
10.16#
|
|
|
Manufacturing Services Agreement by and between the Registrant and Paramit Corporation, dated February 18, 2015 (incorporated by reference to Exhibit 10.24 to the Company's Registration Statement on Form S-1 (File No. 333-225970), as amended).
|
10.17^
|
|
|
Securities Purchase Agreement, dated October 11, 2023, by and among the Company and the Purchaser named therein (incorporated by reference to Exhibit 10.1 to the Registrant's Current Report on Form 8-K, filed with the SEC on October 11, 2023).
|
10.18^
|
|
|
Letter Agreement between the Company and the Purchaser named therein, dated February 27, 2024 (incorporated by reference to Exhibit 10.1 to the Registrant's Current Report on Form 8-K, filed with the SEC on February 28, 2024).
|
10.19
|
|
|
Separation Agreement, effective as of February 20, 2025, by and between Gülsen Kama and the Company (incorporated by reference to Exhibit 10.19 to the Registrant's Annual Report on Form 10-K, filed with the SEC on March 31, 2025).
|
10.20^#
|
|
|
Securities Purchase Agreement, dated May 24, 2024, by and among the Company and the Buyers named therein (incorporated by reference to Exhibit 10.1 to the Registrant's Current Report on Form 8-K, filed with the SEC on May 28, 2024).
|
10.21^#
|
|
|
Security Agreement, dated as of May 24, 2024, by and among the Company, BioDiscovery, LLC, Lineagen, Inc., Purigen Biosystems, Inc., and JGB Collateral LLC (incorporated by reference to Exhibit 10.2 to the Registrant's Current Report on Form 8-K, filed with the SEC on May 28, 2024).
|
10.22
|
|
|
Placement Agency Agreement, dated May 24, 2024, by and between the Company and Canaccord Genuity LLC (incorporated by reference to Exhibit 10.4 to the Registrant's Current Report on Form 8-K, filed with the SEC on May 28, 2024).
|
10.23
|
|
|
Registration Rights Agreement, dated May 24, 2024, by and between the Company and the Investors (incorporated by reference to Exhibit 10.5 to the Registrant's Current Report on Form 8-K, filed with the SEC on May 28, 2024).
|
10.24*
|
|
|
Form of Securities Purchase Agreement to be entered into in this Offering.
|
21.1
|
|
|
Subsidiaries of the Registrant (incorporated by reference to Exhibit 21.1 of the Company's Annual Report on Form 10-K filed with the Commission on March 31, 2025).
|
23.1*
|
|
|
Consent of BDO USA, P.C., independent registered public accounting firm.
|
23.2*
|
|
|
Consent of Troutman Pepper Locke LLP (included as part of Exhibit 5.1).
|
24.1*
|
|
|
Power of Attorney (included in the signature page to this registration statement).
|
107*
|
|
|
Filing Fee Table.
|
|
|
|
|
*
|
Filed herewith.
|
^
|
Certain exhibits and schedules have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The Registrant hereby undertakes to furnish supplementally a copy of any omitted exhibit or schedule upon request by the SEC.
|
+
|
Indicates a management contract or compensatory plan, contract or arrangement.
|
#
|
Portions of this exhibit have been omitted pursuant to Item 601(b)(2)(ii) of Regulation S-K. The Company agrees to furnish supplementally an unredacted copy of the Exhibits to the SEC upon its request.
|
€
|
Pursuant to Item 601(b)(10) of Regulation S-K, certain portions of this exhibit have been omitted (indicated by "[***]") because the Company has determined that the information is not material and is the type that the Company treats as private or confidential. The Registrant hereby agrees to furnish supplementally to the SEC, upon its request, an unredacted copy of this exhibit.
|
TABLE OF CONTENTS
Item 17.
|
Undertakings.
|
(a)
|
The undersigned registrant hereby undertakes:
|
(1)
|
To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:
|
(i)
|
To include any prospectus required by Section 10(a)(3) of the Securities Act;
|
(ii)
|
To reflect in the prospectus any facts or events arising after the effective date of the 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 SEC pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than 20 percent change in the maximum aggregate offering price set forth in the "Calculation of Filing Fee Tables" or "Calculation of Registration Fee" table, as applicable, in the effective registration statement; and
|
(iii)
|
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;
|
(2)
|
That, for the purpose of determining any liability under the Securities Act, 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.
|
(3)
|
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.
|
(4)
|
That, for the purpose of determining liability under the Securities Act of 1933 to any purchaser, each prospectus filed pursuant to Rule 424(b) as part of a registration statement relating to an offering, other than registration statements relying on Rule 430B or other than prospectuses filed in reliance on Rule 430A, shall be deemed to be part of and included in the registration statement as of the date it is first used after effectiveness. 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 first use, 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 date of first use.
|
(5)
|
That, for the purpose of determining liability of the registrant under the Securities Act to any purchaser in the initial distribution of the securities, the undersigned registrant undertakes that 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:
|
(i)
|
Any preliminary prospectus or prospectus of the undersigned registrant relating to the offering required to be filed pursuant to Rule 424;
|
(ii)
|
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;
|
TABLE OF CONTENTS
(iii)
|
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
|
(iv)
|
Any other communication that is an offer in the offering made by the undersigned registrant to the purchaser.
|
(b)
|
The undersigned registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the registrant's annual report pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934 (and, where applicable, each filing of an employee benefit plan's annual report pursuant to Section 15(d) of the Securities Exchange Act of 1934) that is incorporated by reference in the registration statement 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.
|
(c)
|
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 Act 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 and will be governed by the final adjudication of such issue.
|
(d)
|
The undersigned registrant hereby undertakes hat:
|
(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 shall be deemed to be part of this registration statement as of the time it was declared effective.
|
(2)
|
For the purpose of determining any liability under the Securities Act of 1933, each post-effective amendment that contains a form of prospectus 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.
|
TABLE OF CONTENTS
|
|
|
|
|||
|
|
BIONANO GENOMICS, INC.
|
||||
|
|
|
|
|||
|
|
By:
|
|
|
/s/ R. Erik Holmlin, Ph.D.
|
|
|
|
|
|
R. Erik Holmlin, Ph.D.
President and Chief Executive Officer
(Principal Executive Officer and Principal Financial Officer)
|
||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Signature
|
|
|
Title
|
|
|
Date
|
|
|
|
|
|||
/s/ R. Erik Holmlin, Ph.D.
|
|
|
President, Chief Executive Officer and Director
(Principal Executive Officer and
Principal Financial Officer)
|
|
|
September 11, 2025
|
R. Erik Holmlin, Ph.D.
|
|
|||||
|
|
|
|
|||
/s/ Mark Adamchak
|
|
|
VP, Accounting
(Principal Accounting Officer)
|
|
|
September 11, 2025
|
Mark Adamchak
|
|
|||||
|
|
|
|
|||
/s/ David L. Barker, Ph.D.
|
|
|
Director
|
|
|
September 11, 2025
|
David L. Barker, Ph.D.
|
|
|||||
|
|
|
|
|||
/s/ Yvonne Linney, Ph.D.
|
|
|
Director
|
|
|
September 11, 2025
|
Yvonne Linney, Ph.D.
|
|
|||||
|
|
|
|
|||
/s/ Albert A. Luderer, Ph.D.
|
|
|
Director
|
|
|
September 11, 2025
|
Albert A. Luderer, Ph.D.
|
|
|||||
|
|
|
|
|||
/s/ Hannah Mamuszka
|
|
|
Director
|
|
|
September 11, 2025
|
Hannah Mamuszka
|
|
|||||
|
|
|
|
|||
/s/ Aleksandar Rajkovic, M.D., Ph.D.
|
|
|
Director
|
|
|
September 11, 2025
|
Aleksandar Rajkovic, M.D., Ph.D.
|
|
|||||
|
|
|
|
|||
/s/ Christopher Twomey
|
|
|
Director
|
|
|
September 11, 2025
|
Christopher Twomey
|
|
|||||
|
|
|
|
|||
/s/ Kristiina Vuori, M.D., Ph.D.
|
|
|
Director
|
|
|
September 11, 2025
|
Kristiina Vuori, M.D., Ph.D.
|
|
|||||
|
|
|
|
|
|
|