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Delaware
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06-1123096
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(State or Other Jurisdiction of
Incorporation or Organization) |
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(I.R.S. Employer
Identification Number) |
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Large accelerated filer ☐
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Accelerated filer ☐
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Non-accelerated filer ☐
(Do not check if a smaller reporting company) |
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Smaller reporting company ☒
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CALCULATION OF REGISTRATION FEE
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Title of Each Class of Securities to be Registered
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Amount to be
Registered(1) |
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Proposed Maximum
Aggregate Offering Price(2) |
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Amount of
Registration Fee(2)(3) |
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Common Stock, par value $0.004 per share
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| | | | — | | | | | | — | | | | | | — | | |
Preferred Stock, par value $0.001 per share
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| | | | — | | | | | | — | | | | | | — | | |
Warrants
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| | | | — | | | | | | — | | | | | | — | | |
Units
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| | | | — | | | | | | — | | | | | | — | | |
Total
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| | | $ | 30,000,000 | | | | | $ | 30,000,000 | | | | | $ | 3,477.00 | | |
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Page
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| | | | 15 | | | |
| | | | 15 | | | |
| | | | 15 | | |
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Amount to be
Paid |
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Securities and Exchange Commission Registration Fee
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| | | $ | 3,477.00 |
Legal Fees and Expenses
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| | | | * |
Accounting Fees and Expenses
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| | | | * |
Printing Expenses
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| | | | * |
Miscellaneous
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| | | | * |
TOTAL
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| | | $ | * |
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Exhibit No.
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Document
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1.1 | | | Form of Underwriting Agreement* | |
4.1 | | | Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the Company’s quarterly report on Form 10-Q filed with the Securities Exchange Commission on August 12, 2011) | |
4.2 | | | Certificate of Amendment to Certificate of Incorporation filed June 23, 2015 (incorporated by reference to the Company’s current report on Form 8-K filed June 25, 2015) | |
4.3 | | | Amended and Restated Bylaws (incorporated by reference to Exhibit 3.1 to the Company’s current report on Form 8-K filed with the Securities and Exchange Commission on November 30, 2007) | |
4.4 | | | Form of Warrant Agreement* | |
4.5 | | | Form of Unit Agreement* | |
5.1 | | | Opinion of Wiggin and Dana LLP | |
23.1 | | | Consent of CohnReznick LLP | |
23.2 | | | Consent of Wiggin and Dana LLP (included in Exhibit 5.1) | |
24.1 | | | Power of Attorney (included on the signature page of the Registration Statement) | |
| | | | CAS MEDICAL SYSTEMS, INC. | | |||
| | | | By: | | |
/s/ Thomas M. Patton
Thomas M. Patton
President and Chief Executive Officer |
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Signature
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Title
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Date
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/s/ Thomas M. Patton
Thomas M. Patton
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President and Chief Executive Officer,
Director (Principal Executive Officer) |
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November 15, 2016
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/s/ Jeffery A. Baird
Jeffery A. Baird
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Chief Financial Officer
(Principal Financial and Accounting Officer) |
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November 15, 2016
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/s/ Alan W. Milinazzo
Alan W. Milinazzo
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Director
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November 15, 2016
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/s/ Paul A. Molloy
Paul A. Molloy
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Director
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November 15, 2016
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/s/ Gregory P. Rainey
Gregory P. Rainey
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Director
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November 15, 2016
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/s/ James E. Thomas
James E. Thomas
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Director
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November 15, 2016
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/s/ Kathleen A. Tune
Kathleen A. Tune
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Director
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November 15, 2016
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/s/ Kenneth R. Weisshaar
Kenneth R. Weisshaar
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Director
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November 15, 2016
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Exhibit No.
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Document
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1.1 | | | Form of Underwriting Agreement* | |
4.1 | | | Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the Company’s quarterly report on Form 10-Q filed with the Securities Exchange Commission on August 12, 2011) | |
4.2 | | | Certificate of Amendment to Certificate of Incorporation filed June 23, 2015 (incorporated by reference to the Company’s current report on Form 8-K filed June 25, 2015) | |
4.3 | | | Amended and Restated Bylaws (incorporated by reference to Exhibit 3.1 to the Company’s current report on Form 8-K filed with the Securities and Exchange Commission on November 30, 2007) | |
4.4 | | | Form of Warrant Agreement* | |
4.5 | | | Form of Unit Agreement* | |
5.1 | | | Opinion of Wiggin and Dana LLP | |
23.1 | | | Consent of CohnReznick LLP | |
23.2 | | | Consent of Wiggin and Dana LLP (included in Exhibit 5.1) | |
24.1 | | | Power of Attorney (included on the signature page of the Registration Statement) | |