# EDGAR Filing Document

**Accession Number:** 0001753945
**File Stem:** 0001493152-23-003913
**Filing Date:** 2023-2
**Character Count:** 19280
**Document Hash:** 678ecd9673cdb45a819b4d43ea84b32f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-003913.hdr.sgml**: 20230208

**ACCESSION NUMBER**: 0001493152-23-003913

**CONFORMED SUBMISSION TYPE**: S-1/A

**PUBLIC DOCUMENT COUNT**: 2

**FILED AS OF DATE**: 20230208

**DATE AS OF CHANGE**: 20230208

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Opti-Harvest, Inc.
- **CENTRAL INDEX KEY:** 0001753945
- **STANDARD INDUSTRIAL CLASSIFICATION:** FARM MACHINERY & EQUIPMENT [3523]
- **IRS NUMBER:** 813007305
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** S-1/A
- **SEC ACT:** 1933 Act
- **SEC FILE NUMBER:** 333-267203
- **FILM NUMBER:** 23597329

**BUSINESS ADDRESS:**
- **STREET 1:** 1801 CENTURY PARK EAST, SUITE 520
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90067
- **BUSINESS PHONE:** (310) 788-0200

**MAIL ADDRESS:**
- **STREET 1:** 1801 CENTURY PARK EAST, SUITE 520
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90067

**As filed with the Securities and Exchange Commission on February 8, 2023.**

**Registration No. 333-267203**

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**AMENDMENT NO. 3**

**TO**

**FORM S-1**

**REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933**

**OPTI-HARVEST, INC.**

(Exact name of registrant as specified in its charter)

---

| | | |
|:---|:---|:---|
| **Delaware** | **8742** | **81-3007305** |
| (State or Other Jurisdiction of | (Primary Standard Industrial | (IRS Employer |
| Incorporation or Organization) | Classification Number) | Identification Number) |

---

**1801 Century Park East, Suite 520**

**Los Angeles, California 90067**

**(310) 788-0200**

(Address, including zip code, and telephone number, including area code, of registrant's principal executive offices)

**Geoffrey Andersen**

**Chief Executive Officer**

**Opti-Harvest, Inc.**

**1801 Century Park East, Suite 520**

**Los Angeles, California 90067**

**(310) 788-0200**

(Address, including zip code, and telephone number, including area code, of agent for service)

***Copies to:***

---

| | |
|:---|:---|
| **Thomas E. Puzzo, Esq.**<br> **Law Offices of Thomas E. Puzzo, PLLC**<br> **3823 44th Ave. NE**<br> **Seattle, Washington 98105**<br> **(206) 522-2256** | **Andrew M. Tucker, Esq.**<br> **Nelson Mullins Riley & Scarborough LLP**<br> **101 Constitution Avenue, NW, Suite 900**<br> **Washington, D.C. 20001**<br> **(202) 689-2933** |

---

Approximate date of proposed sale to the public: As soon as practicable after the effective date of this Registration Statement.

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, check the following box. ☐

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. ☐

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. ☐

If this Form is a post-effective amendment filed pursuant to Rule 462(d) 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. ☐

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

Large accelerated filer ☐ Accelerated filer ☐ <br> Non-accelerated filer ☒ Smaller reporting company ☒ <br> Emerging growth company ☒

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 to Section 7(a)(2)(B) of the Securities Act. ☐

**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 Securities and Exchange Commission, acting pursuant to said Section 8(a), may determine.**

**EXPLANATORY NOTE**

Opti-Harvest, Inc. is filing this Amendment No. 3 to its Registration Statement on Form S-1 (File No. 333-267203) as an exhibits-only filing. Accordingly, this amendment consists only of the facing page, this explanatory note, Item 16 of Part II of the Registration Statement, the signature page to the Registration Statement and the filed exhibits. The remainder of the Registration Statement is unchanged and has therefore been omitted.

**Item 16. Exhibits and Financial Statement Schedules**

The following exhibits are filed as part of this registration statement:

---

| | |
|:---|:---|
| **Number** | **Description** |
| 1.1\*\* | [Form of Underwriting Agreement](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex1-1.htm) |
| 3.1.1\*\* | [Certificate of Incorporation](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex3-1_1.htm) |
| 3.1.2\*\* | [Certificate of Amendment](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex3-1_2.htm) |
| 3.1.3\*\* | [Certificate of Designation](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex3-1_3.htm) |
| 3.1.4\*\* | [Certificate of Amendment](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex3-1_4.htm) |
| 3.1.5\*\* | [First Amendment to Certificate of Designation](https://www.sec.gov/Archives/edgar/data/1753945/000149315223003502/ex3-1_5.htm) |
| 3.2\*\* | [Bylaws](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex3-2.htm) |
| 4.1\*\* | [Specimen of Common Stock Certificate](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex4-1.htm) |
| 4.2\*\* | [Form of Warrant](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex4-2.htm) |
| 4.3\*\* | [Form of Senior Convertible Promissory Note](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex4-3.htm) |
| 4.4\*\* | [Form of Convertible Promissory Note](https://www.sec.gov/Archives/edgar/data/1753945/000149315223003502/ex4-4.htm) |
| 4.5\*\* | [Amendment No. 1 to Senior Convertible Promissory Note](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex4-4.htm) |
| 4.6\*\* | [Amendment No. 2 to Senior Convertible Promissory Note](https://www.sec.gov/Archives/edgar/data/1753945/000149315223003502/ex4-6.htm) |
| 4.7\*\* | [Amendment No. 3 to Senior Convertible Promissory Note](https://www.sec.gov/Archives/edgar/data/1753945/000149315223003502/ex4-7.htm) |
| 4.8\*\* | [Form of Representative's Warrant (included in Exhibit 1.1)](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex1-1.htm) |
| 4.9\*\* | [Form of Warrant Agency Agreement by and between Opti-Harvest, Inc. and Colonial Stock Transfer Company, Inc.](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex4-6.htm) |
| 4.10\*\* | [Form of Common Stock Purchase Warrant (included in Exhibit 4.2)](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex4-2.htm) |
| 4.11\*\* | [Form of Warrant](https://www.sec.gov/Archives/edgar/data/1753945/000149315223003502/ex4-11.htm) |
| 5.1 | [Opinion of Law Offices of Thomas E. Puzzo, PLLC](ex5-1.htm) |
| 9.1\*\* | [Voting Trust Agreement, dated December 23, 2022, by and among Jonathan Destler, Deborah Destler, Destler Family Trust, Touchstone Holding Company LLC, a California limited liability company, and Jeffrey Klausner](https://www.sec.gov/Archives/edgar/data/1753945/000149315223003502/ex9-1.htm) |
| 10.1#\*\* | [Employment Agreement, dated December 17, 2018, by and between Opti-Harvest, Inc., a Delaware corporation and Jonathan Destler](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex10-1.htm) |
| 10.2#\*\* | [Amendment No. 1 to Employment Agreement, dated March 21, 2021, by and between Opti-Harvest, Inc., a Delaware corporation and Jonathan Destler](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex10-2.htm) |
| 10.3#\*\* | [Amendment No. 2 to Employment Agreement, dated December 8, 2022, by and between Opti-Harvest, Inc., a Delaware corporation and Jonathan Destler](https://www.sec.gov/Archives/edgar/data/1753945/000149315223003502/ex10-3.htm) |
| 10.4#\*\* | [Amendment No. 3 to Employment Agreement, dated January 12, 2023, by and between Opti-Harvest, Inc., a Delaware corporation and Jonathan Destler](https://www.sec.gov/Archives/edgar/data/1753945/000149315223003502/ex10-4.htm) |
| 10.5#\*\* | [Employment Agreement, dated December 8, 2022, by and between Opti-Harvest, Inc., a Delaware corporation and Geoffrey Andersen](https://www.sec.gov/Archives/edgar/data/1753945/000149315223003502/ex10-5.htm) |
| 10.6#\*\* | [Employment Agreement, dated May 17, 2021, by and between Opti-Harvest, Inc., a Delaware corporation and Steve Handy](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex10-3.htm) |
| 10.7#\*\* | [Employment Agreement, dated May 9, 2022, by and between Opti-Harvest, Inc., a Delaware corporation and Steve Handy](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex10-4.htm) |
| 10.8#\*\* | [Consulting Agreement, dated March 15, 2021, by and between Opti-Harvest, Inc., a Delaware corporation and Jeffrey Klausner](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex10-5.htm) |
| 10.9#\*\* | [2016 Equity Incentive Plan](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex10-6.htm) |
| 10.10#\*\* | [2022 Stock Incentive Plan](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex10-7.htm) |
| 10.11#\*\* | [Form of Indemnification Agreement](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex10-8.htm) |
| 10.12\*\* | [Form of Note and Warrant Purchase Agreement](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex10-9.htm) |
| 10.13\*\* | [Form of Amended and Restated Investors' Rights Agreement](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex10-10.htm) |
| 10.14\*\* | [Restated Patent Purchase Obligation with DisperSolar LLC](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex10-11.htm) |
| 10.15\*\* | [Letter Agreement with Nick Booth Regarding Restated Patent Purchase Obligation with DisperSolar LLC](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex10-12.htm) |
| 14.1\*\* | [Code of Ethics](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex14-1.htm) |
| 23.1\*\* | [Consent of Weinberg & Company, P.A.](https://www.sec.gov/Archives/edgar/data/1753945/000149315223003502/ex23-1.htm) |
| 23.2 | [Consent of Law Offices of Thomas E. Puzzo, PLLC (included in Exhibit 5.1)](ex5-1.htm) |
| 24.1 | [Power of Attorney (included on signature page)](#x_001) |
| 107\*\* | [Filing Fee Table](https://www.sec.gov/Archives/edgar/data/1753945/000149315222024661/ex107.htm) |

---

\*\* previously field

# Indicates management contract or compensatory plan.

**SIGNATURES**

Pursuant to the requirements of the Securities Act of 1933, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized in Los Angeles, California, on February 8, 2023.

---

| | |
|:---|:---|
| **OPTI-HARVEST, INC.** | **OPTI-HARVEST, INC.** |
| By: | */s/ Geoffrey Andersen* |
| Name: | Geoffrey Andersen |
| Title: | Chief Executive Officer |

---

Pursuant to the requirements of the Securities Act of 1933, as amended, this registration statement was signed by the following persons in the capacities and on the dates stated.

---

| | | |
|:---|:---|:---|
| Dated: February 8, 2023 | By: | */s/ Geoffrey Andersen* |
|  | Name: | Geoffrey Andersen |
|  | Title: | Chief Executive Officer (principal executive officer) |
| Dated: February 8, 2023 | By: | */s/ Steve Handy* |
|  | Name: | Steve Handy |
|  | Title: | Chief Financial Officer (principal accounting officer and principal financial officer) |
| Dated: February 8, 2023 | By: | /*s/ Jeffrey Klausner* |
|  | Name: | Jeffrey Klausner |
|  | Title: | Director |

---

## Exhibit 5.1

**<u>EXHIBIT 5.1</u>**

**Law Offices of Thomas E. Puzzo, PLLC**

3823 44<sup>th</sup> Ave. NE

Seattle, WA 98105

USA

Direct: +1 (206) 522-2256

E-mail: tpuzzo@puzzolaw.com

February 7, 2023

<u>VIA EDGAR</u>

Securities and Exchange Commission

100 F Street, N.E.

Washington, DC 20549

**Re: Opti-Harvest, Inc.; Registration Statement on Form S-1**

Ladies and Gentlemen:

We act as counsel to Opti-Harvest, Inc., a Delaware corporation (the "Company"), in connection with the registration by the Company of (i) up to 2,000,000 shares (the "Shares") of its common stock, $0.0001 par value per share (the "Common Stock"), (ii) certain Underwriter Warrants (as defined below), and (iii) certain Underwriter Warrant Shares (as defined below). The Shares are to be offered by the Company under a Registration Statement on Form S-1 (Registration No. 333-267203), as may be amended from time to time (the "Registration Statement"), in accordance with the Securities Act of 1933, as amended (the "Securities Act"), as filed with the Securities and Exchange Commission (the "Commission"). The Shares are subject to an over-allotment option granted to the underwriters in connection with the offering. Additionally, up to 60,000 shares of common stock (the "Underwriter Warrant Shares") are to be issued upon exercise of warrants granted to the underwriters in connection with the issuance of the Shares (the "Underwriter Warrants").

In connection with this opinion, we have examined originals or copies, certified or otherwise identified to our satisfaction, of:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) the
 Registration Statement;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b) a
 form of Underwriting Agreement between the Company and WestPark Capital, Inc., acting as
 representative of the several underwriters (the "Underwriting Agreement);

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c) a
 form of the Warrants;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d) a
 form of Underwriter Warrants;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(e) the
 Certificate of Incorporation of the Company as filed with the Secretary of State of Delaware
 on June 20, 2016, as amended;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(f) the
 Bylaws of the Company as adopted on June 20, 2016;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(g) a
 specimen certificate representing the Common Stock; and

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(h) certain
 resolutions and actions of the Board of Directors of the Company relating to the issuance
 and registration under the Securities Act of the Shares, the Underwriter Warrants and the
 Underwriter Warrant Shares, and such other matters as relevant.

We also have examined originals or copies, certified or otherwise identified to our satisfaction, of such records of the Company and such agreements, certificates of public officials, certificates of officers or other representatives of the Company and others, and such other documents, certificates, and records as we have deemed necessary or appropriate as a basis for the opinions set forth herein.

In our examination of documents, we have assumed the legal capacity of all-natural persons executing the documents, the genuineness of all signatures on the documents; the authenticity of all documents submitted to us as originals, and the conformity to original documents of all documents submitted to us as copies; that the parties to such documents, other than the Company, had the power, corporate or other, to enter into and perform all obligations thereunder; and other than with respect to the Company, the due authorization by all requisite action, corporate or other, the execution and delivery by all parties of the documents, and the validity and binding effect thereof on such parties.

We have relied upon the accuracy and completeness of the information, factual matters, representations, and warranties contained in such documents.

The opinions set forth below are also subject to the further qualification that the enforcement of any agreements or instruments referenced herein and to which the Company is a party may be limited by applicable bankruptcy, insolvency, reorganization, moratorium, or other similar laws affecting creditors' rights generally and by general principles of equity (regardless of whether enforceability is considered in a proceeding in equity or at law).

Based upon and subject to the foregoing, we are of the opinion that:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) the
 issuance of the Shares have been duly authorized and upon issuance in accordance with the
 terms of the Underwriting Agreement, the Shares will be validly issued, fully paid, and nonassessable;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b) the
 issuance of the Underwriter Warrants has been duly authorized and, upon issuance in accordance
 with the terms of the Underwriting Agreement, the obligation to issue the Underwriter Warrant
 Shares upon exercise of the Underwriter Warrants will be a binding obligation of the Company;
 and

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c) the
 issuance of the Underwriter Warrant Shares has been duly authorized and upon issuance the
 Underwriter Warrant Shares upon exercise of and in accordance with the terms of the Underwriter
 Warrants, the Underwriter Warrant Shares will be validly issued, fully paid, and nonassessable.

The opinions expressed herein are limited to the matters specifically set forth herein and no other opinion shall be inferred beyond the matters expressly stated. We disclaim any undertaking to advise you of any subsequent changes in the facts stated or assumed herein or any changes in applicable law that may come to our attention subsequent to the date the Registration Statement is declared effective.

We express no opinion herein as to the laws of any state or jurisdiction other than the State of Delaware, the State of New York (including the statutory provisions and all applicable judicial decisions interpreting those laws) and the federal laws of the United States of America.

We consent to the use of this opinion as an exhibit to the Registration Statement, and we consent to the reference of our name under the caption "Legal Matters" in the prospectus forming part of the Registration Statement.

Very truly yours,

LAW OFFICES OF THOMAS E. PUZZO, PLLC

*/s/ Law Offices of Thomas E. Puzzo, PLLC*