# EDGAR Filing Document

**Accession Number:** 0001708493
**File Stem:** 0001193125-23-080626
**Filing Date:** 2023-3
**Character Count:** 21560
**Document Hash:** 7b93fcf374ede99c173ada7cdb66bf3a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-080626.hdr.sgml**: 20230327

**ACCESSION NUMBER**: 0001193125-23-080626

**CONFORMED SUBMISSION TYPE**: S-8

**PUBLIC DOCUMENT COUNT**: 5

**FILED AS OF DATE**: 20230327

**DATE AS OF CHANGE**: 20230327

**EFFECTIVENESS DATE**: 20230327

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Harpoon Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001708493
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 473458693
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** S-8
- **SEC ACT:** 1933 Act
- **SEC FILE NUMBER:** 333-270883
- **FILM NUMBER:** 23765468

**BUSINESS ADDRESS:**
- **STREET 1:** 131 OYSTER POINT BOULEVARD
- **STREET 2:** SUITE 300
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080
- **BUSINESS PHONE:** 650-443-7400

**MAIL ADDRESS:**
- **STREET 1:** 131 OYSTER POINT BOULEVARD
- **STREET 2:** SUITE 300
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080

**As filed with the Securities and Exchange Commission on March 27, 2023** 

**Registration No. 333-** 

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**UNITED STATES** 

**SECURITIES AND EXCHANGE COMMISSION** 

**Washington, D.C. 20549** 

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**Form S-8**

**REGISTRATION STATEMENT** 

***UNDER***

***THE SECURITIES ACT OF 1933***

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## Harpoon Therapeutics, Inc.
**(Exact name of registrant as specified in its charter)** 

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---

| | |
|:---|:---|
| **Delaware** | **47-3458693** |
| **(State or other jurisdiction of**<br> **incorporation or organization)** | **(IRS employer**<br> **identification number)** |
| **131 Oyster Point Blvd, Suite 300**<br> **South San Francisco, California** | **94080** |
| **(Address of Principal Executive Offices)** | **(Zip Code)** |

---

**2019 Equity Incentive Plan** 

**2019 Employee Stock Purchase Plan** 

**(Full titles of the plans)** 

**Julie Eastland** 

**President and Chief Executive Officer** 

**Harpoon Therapeutics, Inc.** 

**131 Oyster Point Blvd, Suite 300** 

**South San Francisco, California 94080** 

**(650) 443-7400**

**(Name, address, including zip code and telephone number, including area code, of agent for service)** 

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***Copies to:***

**Laura A. Berezin** 

**Cooley LLP** 

**3175 Hanover Street** 

**Palo Alto, California 94304** 

**(650) 843-5000**

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Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of "large accelerated filer," "accelerated filer," "smaller reporting company," and "emerging growth company" in Rule 12b-2 of the Exchange Act.

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| | | | |
|:---|:---|:---|:---|
| Large accelerated filer | ☐ | Accelerated filer | ☐ |
| Non-accelerated filer | ☒ | Smaller reporting company | ☒ |
| Emerging growth company | ☒ |  |  |

---

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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐

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**PART I** 

**EXPLANATORY NOTE AND GENERAL INSTRUCTION E INFORMATION** 

Harpoon Therapeutics, Inc. (the "**Registrant**") is filing this Registration Statement on Form S-8 for the purpose of registering an additional 1,789,337 shares of common stock under the Harpoon Therapeutics, Inc. 2019 Equity Incentive Plan and an additional 357,867 shares of common stock under the Harpoon Therapeutics, Inc. 2019 Employee Stock Purchase Plan, pursuant to the provisions of each plan which provide for annual automatic increases in the number of shares of common stock reserved for issuance under each respective plan.

The Registration Statement is being filed for the purpose of increasing the number of securities of the same class as other securities for which Registration Statements on Form S-8 of the Registrant relating to the same employee benefit plans set forth herein are effective. Pursuant to General Instruction E of Form S-8, this Registration Statement incorporates by reference the contents of the registration statements on Form S-8 relating to the 2019 Equity Incentive Plan and the 2019 Employee Stock Purchase Plan filed by the Registrant with the Securities and Exchange SEC (the "**SEC**") on [March 10, 2022 (File No. 333-263453)](http://www.sec.gov/Archives/edgar/data/1708493/000119312522072136/d248505ds8.htm), [March 10, 2021 (File No. 333-254098)](http://www.sec.gov/Archives/edgar/data/1708493/000119312521076381/d152807ds8.htm), [March 13, 2020 (File No. 333-237173)](http://www.sec.gov/Archives/edgar/data/1708493/000119312520072999/d869306ds8.htm) and [February 8, 2019 (File No. 333-229592)](http://www.sec.gov/Archives/edgar/data/1708493/000119312519032459/d703026ds8.htm).

**PART II** 

**INFORMATION REQUIRED IN THE REGISTRATION STATEMENT** 

**Item 3.** **Incorporation of Documents by Reference.** <br>

The Registrant hereby incorporates by reference into this Registration Statement the following documents filed by it with the SEC (in each case excluding any information furnished and not filed according to applicable rules, such as information furnished pursuant to Item 2.02 or Item 7.01 on any Current Report on Form 8-K):

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) the Registrant's Annual Report on [Form 10-K](http://www.sec.gov/Archives/edgar/data/../../../ix?doc=/Archives/edgar/data/1708493/000095017023010030/harp-20221231.htm) for the year ended December 31, 2022, filed with the SEC on March 27, 2023;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b) our Current Report on [Form 8-K](http://www.sec.gov/Archives/edgar/data/../../../ix?doc=/Archives/edgar/data/1708493/000119312523080536/d422544d8k.htm) filed with the SEC on March 27, 2023; and

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c) the description of the Common Stock contained in the Registrant's Registration Statement on [Form 8-A](http://www.sec.gov/Archives/edgar/data/1708493/000119312519028374/d679479d8a12b.htm) (File No. 001-38800) filed with the SEC on February 5, 2019, under Section 12(b) of the Securities Exchange Act of 1934, as amended (the
" **Exchange Act** "), including any amendments or reports filed for the purpose of updating such description, including [Exhibit 4.3](http://www.sec.gov/Archives/edgar/data/1708493/000156459020010479/harp-ex43_180.htm) of the Registrant's Annual Report on Form 10-K for the year ended December 31, 2020.

All documents filed by the Registrant pursuant to Section 13(a), 13(c), 14 or 15(d) of the Exchange Act subsequent to the filing of this Registration Statement and prior to the filing of a post-effective amendment which indicates that all securities offered hereby have been sold or which deregisters all securities then remaining unsold, shall be deemed to be incorporated by reference into this Registration Statement and to be a part hereof from the date of filing such documents, except as to specific sections of such documents as set forth therein. Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement herein or in any subsequently filed document which also is or is deemed to be incorporated by reference herein modifies or supersedes such statement. Any such statement so modified or superseded shall not constitute a part of this Registration Statement, except as so modified or superseded.

**Item 8.** **Exhibits.** <br>

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| | |
|:---|:---|
| **Exhibit<br>Number** | **Exhibit Description** |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4.1 | [Amended and Restated Certificate of Incorporation (incorporated herein by reference to Exhibit 3.1 to the Registrant's Quarterly Report on Form 10-Q (File No. 001-38800), filed with the SEC on August 5, 2019).](http://www.sec.gov/Archives/edgar/data/1708493/000156459019028819/harp-ex31_119.htm) |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4.2 | [Amended and Restated Bylaws (incorporated herein by reference to Exhibit 3.2 to the Registrant's Current Report on Form 8-K (File No. 001-38800), filed with the SEC on February 13, 2019).](http://www.sec.gov/Archives/edgar/data/0001708493/000119312519038191/d670752dex32.htm) |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4.3 | [Form of Common Stock Certificate (incorporated herein by reference to Exhibit 4.1 to the Registrant's Registration Statement on Form S-1/A (File No. 333-229040), filed with the SEC on January 29, 2019).](http://www.sec.gov/Archives/edgar/data/1708493/000119312519019639/d630873dex41.htm) |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;5.1 | [Opinion of Cooley LLP.](d423474dex51.htm) |

---

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| | |
|:---|:---|
| &nbsp;&nbsp;&nbsp;&nbsp;23.1 | [Consent of Independent Registered Public Accounting Firm.](d423474dex231.htm) |
| &nbsp;&nbsp;&nbsp;&nbsp;23.2 | [Consent of Cooley LLP (included in Exhibit 5.1).](d423474dex51.htm) |
| &nbsp;&nbsp;&nbsp;&nbsp;24.1 | [Power of Attorney (included on the signature page to this Registration Statement).](d423474ds8.htm#sig) |
| &nbsp;&nbsp;&nbsp;&nbsp;99.1 | [2019 Equity Incentive Plan and forms of grant notice, stock option and restricted stock unit awards agreements and notice of exercise thereunder (incorporated herein by reference to Exhibit 10.2 to the Registrant's Registration Statement on Form S-1/A (File No. 333-229040), filed with the SEC on January 29, 2019).](http://www.sec.gov/Archives/edgar/data/1708493/000119312519019639/d630873dex102.htm) |
| &nbsp;&nbsp;&nbsp;&nbsp;99.2 | [2019 Employee Stock Purchase Plan (incorporated herein by reference to Exhibit 10.3 to the Registrant's Registration Statement on Form S-1/A (File No. 333-229040), filed with the SEC on January 29, 2019).](http://www.sec.gov/Archives/edgar/data/1708493/000119312519019639/d630873dex103.htm) |
| 107 | [Filing Fee Table.](d423474dexfilingfees.htm) |

---

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**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 of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of South San Francisco, State of California on March 27, 2023.

---

| | |
|:---|:---|
| **Harpoon Therapeutics, Inc.** | **Harpoon Therapeutics, Inc.** |
| By: | /s/ Julie Eastland |
|  | Julie Eastland |
|  | President and Chief Executive Officer |

---

**POWER OF ATTORNEY** 

KNOW ALL BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Julie Eastland and Frank Lanza, and each of them, as his or her true and lawful attorney-in-fact and agent, with the full power of substitution and resubstitution, for him or her and in his or her name, place or stead, in any and all capacities, to sign any and all amendments to this Registration Statement (including post-effective amendments), and to file the same, with all exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them, 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 he or she might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, or her substitute or substitutes, may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement on Form S-8 has been signed by the following persons in the capacities and on the dates indicated.

---

| | | |
|:---|:---|:---|
| **Signature** | **Title** | **Date** |
| /s/ Julie Eastland<br> Julie Eastland | President, Chief Executive Officer and Director<br> (*Principal Executive Officer*) | March 27, 2023 |
| /s/ Frank Lanza<br> Frank Lanza | Corporate Controller (*Principal Financial and Accounting Officer*) | March 27, 2023 |
| /s/ Scott Myers<br> Scott Myers | Chairman of the Board of Directors | March 27, 2023 |
| /s/ Joseph Bailes, M.D.<br> Joseph Bailes, M.D. | Director | March 27, 2023 |
| /s/ Mark Chin<br> Mark Chin | Director | March 27, 2023 |
| /s/ Alan Colowick, M.D.<br> Alan Colowick, M.D. | Director | March 27, 2023 |
| /s/ Jonathan Drachman, M.D.<br> Jonathan Drachman, M.D. | Director | March 27, 2023 |
| /s/ Ron Hunt <br> Ron Hunt | Director | March 27, 2023 |
| /s/ Andrew Robbins<br> Andrew Robbins | Director | March 27, 2023 |
| /s/ Lauren Silvernail<br> Lauren Silvernail | Director | March 27, 2023 |
| /s/ Joanne Viney, Ph.D.<br> Joanne Viney, Ph.D. | Director | March 27, 2023 |

---

## Exhibit 5.1

**Exhibit 5.1**![LOGO](g423474g0324064744089.jpg)

**Laura A. Berezin** 

+1 650 843 5128

lberezin@cooley.com

March 27, 2023

Harpoon Therapeutics, Inc.

131 Oyster Point Blvd, Suite 300

South San Francisco, California 94080

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| | |
|:---|:---|
| **Re:** | **Registration on Form S-8**  |

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Ladies and Gentlemen:

We have acted as counsel to Harpoon Therapeutics, Inc., a Delaware corporation (the "***Company***"), and you have requested our opinion in connection with the filing of a registration statement on Form S-8 (the "***Registration Statement***") with the Securities and Exchange Commission (the "***Commission***") covering the offering of up to 2,147,204 shares (the "***Shares***") of common stock, par value $0.0001 per share ("***Common Stock***"), consisting of (i) 1,789,337 shares of Common Stock issuable pursuant to the Company's 2019 Equity Incentive Plan and (ii) 357,867 shares of Common Stock issuable pursuant to the Company's 2019 Employee Stock Purchase Plan (together with the 2019 Equity Incentive Plan, the "***Plans***").

In connection with this opinion, we have examined and relied upon (a) the Registration Statement and related prospectuses, (b) the Company's certificate of incorporation and bylaws, each as currently in effect, (c) the Plans and (d) such other records, documents, certificates, memoranda, and other instruments as in our judgment are necessary or appropriate to enable us to render the opinion expressed below. We have assumed the genuineness of all signatures, the authenticity of all documents submitted to us as originals, the conformity to originals of all documents submitted to us as copies, the accuracy, completeness and authenticity of certificates of public officials, and the due authorization, execution and delivery of all documents by all persons other than by the Company where due authorization, execution and delivery are prerequisites to the effectiveness thereof. As to certain factual matters, we have relied upon a certificate of an officer of the Company and have not independently verified such matters.

Our opinion is expressed only with respect to the General Corporation Law of the State of Delaware. We express no opinion to the extent that any other laws are applicable to the subject matter hereof and express no opinion and provide no assurance as to compliance with any federal or state securities law, rule or regulation.

On the basis of the foregoing, and in reliance thereon, we are of the opinion that the Shares, when sold and issued in accordance with the Plans, the Registration Statement and related prospectuses included therein, will be validly issued, fully paid, and nonassessable (except as to shares issued pursuant to deferred payment arrangements, which will be fully paid and nonassessable when such deferred payments are made in full).

COOLEY LLP 3175 HANOVER STREET PALO ALTO, CA 94304-1130

T: (650) 843-5000 F: (650) 849-7400 COOLEY.COM

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![LOGO](g423474g0324064744089.jpg)

We consent to the filing of this opinion as an exhibit to the Registration Statement. In giving such consent, we do not thereby admit that we are in the category of persons whose consent is required under Section 7 of the Securities Act of 1933, as amended, or the rules and regulations of the Commission thereunder.

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| | |
|:---|:---|
| Sincerely, | Sincerely, |
| **COOLEY LLP** | **COOLEY LLP** |
| By: | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; /s/ Laura Berezin |
|  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Laura A. Berezin |

---

COOLEY LLP 3175 HANOVER STREET PALO ALTO, CA 94304-1130

T: (650) 843-5000 F: (650) 849-7400 COOLEY.COM

## Exhibit 23.1

**Exhibit 23.1** 

**Consent of Independent Registered Public Accounting Firm** 

We consent to the incorporation by reference in the Registration Statement (Form S-8) pertaining to the 2019 Equity Incentive Plan and the 2019 Employee Stock Purchase Plan of Harpoon Therapeutics, Inc. of our report dated March 27, 2023, with respect to the financial statements of Harpoon Therapeutics, Inc., included in its Annual Report (Form 10-K) for the year ended December 31, 2022, filed with the Securities and Exchange Commission.

/s/ Ernst & Young LLP

San Mateo, California

March 27, 2023

## Ex-Filing

**Exhibit 107** 

**CALCULATION OF FILING FEE TABLES** 

**Form S-8** 

**Harpoon Therapeutics, Inc.** 

**<u>Table 1: Newly Registered Securities</u>**

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| | | | | | |
|:---|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;&nbsp;**Security Type** | **Security Class Title** | **Fee<br>Calculation<br>Rule** | **Proposed<br>Maximum<br>Aggregate<br>Offering**<br> **Price** | **Fee**<br> **Rate** | **Amount of<br>Registration<br>Fee** |
| &nbsp;&nbsp;&nbsp;Equity | 2019 Equity Incentive Plan (Common stock, $0.0001 par value per share) | 457(c) and 457(h)1789337 <sup>(2)</sup>$0.71 <sup>(4)</sup> | $1270429 | 0.00011020 | $140 |
| &nbsp;&nbsp;&nbsp;Equity | 2019 Employee Stock Purchase Plan (Common stock, $0.0001 par value per share) | 457(c) and 457(h)357867 <sup>(3)</sup>$0.60 <sup>(5)</sup> | $214720 | 0.00011020 | $24 |
| &nbsp;&nbsp;&nbsp;Total Offering Amounts | &nbsp;&nbsp;&nbsp;Total Offering Amounts | &nbsp;&nbsp;&nbsp;Total Offering Amounts | $1486402 |  | $164 |
| &nbsp;&nbsp;&nbsp;Total Fee Offsets | &nbsp;&nbsp;&nbsp;Total Fee Offsets | &nbsp;&nbsp;&nbsp;Total Fee Offsets |  |  | N/A |
| &nbsp;&nbsp;&nbsp;Net Fee Due | &nbsp;&nbsp;&nbsp;Net Fee Due | &nbsp;&nbsp;&nbsp;Net Fee Due |  |  | $164 |

---

(1) Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the "**Securities Act** "),
this Registration Statement shall also cover any additional shares of common stock that become issuable under the above-named plans by reason of any stock dividend, stock split, recapitalization or any other similar transaction effected without
receipt of consideration which results in an increase in the number of Harpoon Therapeutics, Inc.'s (the "**Registrant**") outstanding shares of common stock, par value $0.0001 per share (the "**Common Stock** ").

(2) Represents additional shares of the Registrant's Common Stock reserved for future grant under the Harpoon
Therapeutics, Inc. 2019 Equity Incentive Plan (the "**2019 Plan**") as a result of the automatic increase in shares reserved thereunder on January 1, 2023 pursuant to the terms of the 2019 Plan. The 2019 Plan provides that an
additional number of shares will automatically be added annually to the shares authorized for issuance under the 2019 Plan beginning on January 1, 2019 and ending on (and including) January 1, 2029 in an amount equal to the lesser of (a)
5% of the total number of shares of the Registrant's capital stock outstanding on December 31st of the preceding calendar year and (b) a number of shares of Common Stock designated by action of the Registrant's board of directors
prior to the first day of any calendar year.

(3) Represents additional shares of the Registrant's Common Stock reserved for issuance under the Harpoon
Therapeutics, Inc. 2019 Employee Stock Purchase Plan (the "**ESPP**") as a result of the automatic increase in shares reserved thereunder on January 1, 2023 pursuant to the terms of the ESPP. The ESPP provides that an additional
number of shares will automatically be added annually to the shares authorized for issuance under the ESPP beginning on January 1, 2019 and ending on (and including) January 1, 2029. The number of shares added each year will be equal to
the lesser of: (a) 1% of the total number of shares of the Registrant's capital stock outstanding on December 31st of the preceding calendar year; (b) 750,000 shares of Common Stock and (c) a number of shares of Common Stock designated by
action of the Registrant's board of directors prior to the first day of any calendar year.

(4) Estimated pursuant to Rule 457(c) and Rule 457(h) solely for the purpose of calculating the registration fee on
the basis of $0.71 per share, which is the average of the high and low prices of the Common Stock as reported on The Nasdaq Global Select Market on March 22, 2023, rounded up to the nearest cent.

(5) Estimated pursuant to Rule 457(c) and Rule 457(h) solely for the purpose of calculating the registration fee on
the basis of $0.60 per share, which is 85% of the average of the high and low prices of the Common Stock as reported on The Nasdaq Global Select Market on March 22, 2023, rounded up to the nearest cent.