# EDGAR Filing Document

**Accession Number:** 0001695357
**File Stem:** 0001493152-23-009522
**Filing Date:** 2023-3
**Character Count:** 15209
**Document Hash:** b4aad3a67f11fadb7c027962d2e0d250
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-009522.hdr.sgml**: 20230329

**ACCESSION NUMBER**: 0001493152-23-009522

**CONFORMED SUBMISSION TYPE**: S-8

**PUBLIC DOCUMENT COUNT**: 5

**FILED AS OF DATE**: 20230329

**DATE AS OF CHANGE**: 20230329

**EFFECTIVENESS DATE**: 20230329

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Provention Bio, Inc.
- **CENTRAL INDEX KEY:** 0001695357
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** S-8
- **SEC ACT:** 1933 Act
- **SEC FILE NUMBER:** 333-270948
- **FILM NUMBER:** 23776104

**BUSINESS ADDRESS:**
- **STREET 1:** 55 BROAD STREET, 2ND FLOOR
- **CITY:** RED BANK
- **STATE:** NJ
- **ZIP:** 07701
- **BUSINESS PHONE:** 908-428-9136

**MAIL ADDRESS:**
- **STREET 1:** 55 BROAD STREET, 2ND FLOOR
- **CITY:** RED BANK
- **STATE:** NJ
- **ZIP:** 07701

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Provention Inc.
- **DATE OF NAME CHANGE:** 20170120

**As filed with the Securities and Exchange Commission on March 29, 2023**

**Registration No. 333-**

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM S-8**

**REGISTRATION STATEMENT**

**UNDER THE SECURITIES ACT OF 1933**

**Provention Bio, Inc.**

(Exact name of registrant as specified in its charter)

---

| | |
|:---|:---|
| **Delaware**<br> (State or other jurisdiction of<br> incorporation or organization) | **81-5245912**<br> (I.R.S. Employer<br> Identification No.) |

---

**55 Broad Street, 2nd Floor**

**Red Bank, New Jersey 07701**

(Address of Principal Executive Offices) (Zip Code)

**Provention Bio, Inc. Amended and Restated 2017 Equity Incentive Plan**

(Full title of the plan)

**Ashleigh Palmer**

**Chief Executive Officer**

**Provention Bio, Inc.**

**55 Broad Street, 2nd Floor**

**Red Bank, New Jersey 07701**

**(908) 336-0360**

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

***with copies to:***

 ****

**Thomas J. Danielski**

**Ropes & Gray LLP**

**800 Boylston Street**

**Boston, Massachusetts 02199**

**(617) 951-7000**

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.

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

**EXPLANATORY NOTE**

This Registration Statement is being filed to register an additional 7,186,283 shares of the registrant's common stock for issuance under the Amended and Restated Provention Bio, Inc. 2017 Equity Incentive Plan. Pursuant to General Instruction E to Form S-8, the registrant incorporates by reference, except to the extent supplemented, amended or superseded by the information set forth herein, into this Registration Statement the entire contents of its Registration Statement on Form S-8 (File No. 333-226814) filed with the Securities and Exchange Commission on August 13, 2018, its Registration Statement on Form S-8 (File No. 333-230400) filed with the Securities and Exchange Commission on March 19, 2019, its Registration Statement on Form S-8 (File No. 333-237113) filed with the Securities and Exchange Commission on March 12, 2020, its Registration Statement on Form S-8 (File No. 333-253657) filed with the Securities and Exchange Commission on February 26, 2021 and its Registration Statement on Form S-8 (File No. 333-262945) filed with the Securities and Exchange Commission on February 24, 2022.

**PART II**

**INFORMATION REQUIRED IN THE REGISTRATION STATEMENT**

**Item 8.** **Exhibits**

---

| | |
|:---|:---|
| **Exhibit <br> Number** | **Description** |
| 3.1 | [Second Amended and Restated Certificate of Incorporation of Provention Bio, Inc., effective as of July 19, 2018 (incorporated by reference to Exhibit 3.1 to the registrant's Form 8-K filed with the Securities and Exchange Commission on July 19, 2018)](https://www.sec.gov/Archives/edgar/data/1695357/000149315218010205/ex3-1.htm) |
| 3.2<br>| [Certificate of Amendment to the Second Amended and Restated Certificate of Incorporation of Provention Bio, Inc., effective as of May 13, 2021 (incorporated by reference to Exhibit 3.1 to the registrant's Form 8-K filed with the Securities and Exchange Commission on May 14, 2021)](https://www.sec.gov/Archives/edgar/data/1695357/000149315221011511/ex3-1.htm) |
| 3.3 | [Amended and Restated Bylaws of Provention Bio, Inc., as adopted on May 9, 2023 (incorporated by reference to Exhibit 3.1 to the registrant's Form 8-K filed with the Securities and Exchange Commission on March 13, 2023)](https://www.sec.gov/Archives/edgar/data/1695357/000149315223007347/ex3-1.htm) |
| 4.1 | [Provention Bio, Inc. Amended and Restated 2017 Equity Incentive Plan (incorporated by reference to Exhibit 4.4 to the registrant's Form S-8 Registration Statement filed with the Securities and Exchange Commission on August 13, 2018)](https://www.sec.gov/Archives/edgar/data/1695357/000149315218011524/ex4-4.htm) |
| 4.2 | [Form of Stock Option Award under 2017 Provention Bio, Inc. Equity Incentive Plan (incorporated by reference to Exhibit 10.4 to the registrant's Form S-1 Registration Statement filed with the Securities and Exchange Commission on May 9, 2018)](https://www.sec.gov/Archives/edgar/data/1695357/000149315218006498/ex10-4.htm) |
| 5.1 | [Opinion of Ropes & Gray LLP](ex5-1.htm) |
| 23.1 | [Consent of EisnerAmper LLP](ex23-1.htm) |
| 23.2 | [Consent of Ropes & Gray LLP (included in Exhibit 5.1)](ex5-1.htm) |
| 24.1 | [Power of Attorney (included on the signature page of this Registration Statement under the caption "Power of Attorney")](#a_001) |
| 107 | [Filing Fee Table](ex-107.htm) |

---

**SIGNATURES**

Pursuant to the requirements of the Securities Act of 1933, 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 Red Bank, State of New Jersey, on March 29, 2023.

---

| | |
|:---|:---|
| **Provention Bio, Inc.** | **Provention Bio, Inc.** |
| By: | */s/ Ashleigh Palmer* |
|  | Ashleigh Palmer |
|  | Chief Executive Officer |

---

**POWER OF ATTORNEY**

Each person whose signature appears below constitutes and appoints Ashleigh Palmer, Thierry Chauche and Heidy King-Jones, and each of them acting individually, his or her true and lawful attorney-in-fact and agent with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement, 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 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 their substitutes, may lawfully do or cause to be done by virtue hereof.

\* \* \* \*

Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the date indicated.

---

| | | |
|:---|:---|:---|
| **Signature** | **Title** | **Date** |
| */s/ Ashleigh Palmer* | Chief Executive Officer and Director | March 29, 2023 |
| Ashleigh Palmer | (Principal Executive Officer) |  |
| */s/ Thierry Chauche* | Chief Financial Officer | March 29, 2023 |
| Thierry Chauche | (Principal Financial Officer) |  |
| */s/ Justin Vogel* | Chief Accounting Officer | March 29, 2023 |
| Justin Vogel | (Principal Accounting Officer) |  |
| */s/ Avery Catlin* | Director | March 29, 2023 |
| Avery Catlin |  |  |
| */s/ Rita Jain* | Director | March 29, 2023 |
| Rita Jain |  |  |
| */s/ John Jenkins, MD* | Director | March 29, 2023 |
| John Jenkins, MD |  |  |
| */s/ Wayne Pisano* | Director | March 29, 2023 |
| Wayne Pisano |  |  |
| */s/ Nancy Wysenski* | Director | March 29, 2023 |
| Nancy Wysenski |  |  |

---

## Exhibit 5.1

**Exhibit 5.1**

![](ex_001.jpg)

ROPES & GRAY LLP

PRUDENTIAL TOWER

800 BOYLSTON STREET

BOSTON, MA 02199-3600

WWW.ROPESGRAY.COM

March 29, 2023

Provention Bio, Inc.

55 Broad Street, 2nd Floor

Red Bank, New Jersey 07701

Re: Registration of Securities by Provention Bio, Inc.

Ladies and Gentlemen:

This opinion letter is furnished to you in connection with the registration statement on Form S-8 (the "<u>Registration Statement</u>"), filed by Provention Bio, Inc., a Delaware corporation (the "<u>Company</u>"), on the date hereof, with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "<u>Securities Act</u>"), for the registration of 7,186,283 shares of common stock, $0.0001 par value, of the Company (the "<u>Shares</u>"). The Shares are issuable pursuant to the Amended and Restated Provention Bio, Inc. 2017 Equity Incentive Plan (the "<u>Plan</u>").

We are familiar with the actions taken by the Company in connection with the adoption of the Plan. We have examined such certificates, documents and records and have made such investigation of fact and such examination of law as we have deemed appropriate in order to enable us to render the opinions set forth herein. In conducting such investigation, we have relied, without independent verification, upon certificates of officers of the Company, public officials and other appropriate persons.

The opinions expressed below are limited to the Delaware General Corporation Law.

Based upon and subject to the foregoing, we are of the opinion that the Shares have been duly authorized and, when the Shares have been issued and sold in accordance with the terms of the Plan, the Shares will be validly issued, fully paid and nonassessable.

We hereby consent to the filing of this opinion letter 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 or the rules and regulations thereunder.

---

| |
|:---|
| Very truly yours, |
| */s/ Ropes & Gray LLP* |
| Ropes & Gray LLP |

---

## Exhibit 23.1

**Exhibit 23.1**

**CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM**

We consent to the incorporation by reference in this Registration Statement of Provention Bio, Inc. on Form S-8 to be filed on or about March 29, 2023 of our report dated March 29, 2023, on our audits of the consolidated financial statements as of December 31, 2022 and 2021 and for each of the years in the three-year period ended December 31, 2022, which report was included in the Annual Report on Form 10-K filed March 29, 2023.

*/s/ EisnerAmper LLP*

EISNERAMPER LLP

Philadelphia, Pennsylvania

March 29, 2023

## Ex-Filing

**Exhibit 107**

**Calculation of Filing Fee Tables**

**Form S-8**

(Form Type)

**Provention Bio, Inc.**

(Exact Name of Registrant as Specified in its Charter)

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

---

| | | | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|
| **Security Type** | **Security Class Title** | **Fee Calculation Rule** | **Amount Registered<sup>(1)</sup>** | **Amount Registered<sup>(1)</sup>** | **Proposed Maximum Offering Price Per Share<sup>(3)</sup>** | **Maximum Aggregate Offering Price<sup>(3)</sup>** | **Fee Rate** | **Amount of Registration Fee<sup>(3)</sup>** |
| Equity | Common stock, par value $0.0001 per share | 457(c) and 457(h) |  | 7186283<sup>(2)</sup> | $23.90 | $171752163.70 | 0.00011020 | $18927.09 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**Total Offering Amounts** | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**Total Offering Amounts** | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**Total Offering Amounts** | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**Total Offering Amounts** |  |  | $171752163.70 |  | $18927.09 |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**Total Fee Offsets** | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**Total Fee Offsets** | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**Total Fee Offsets** | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**Total Fee Offsets** |  |  |  |  | $- |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**Net Fee Due** | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**Net Fee Due** | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**Net Fee Due** | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**Net Fee Due** |  |  |  |  | $18927.09 |

---

(1) Pursuant
 to Rule 416(a) under the Securities Act of 1933, as amended (the "Securities Act"), this Registration Statement includes
 any additional shares of the registrant's common stock that may be issued pursuant to anti-dilution provisions contained in
 the Amended and Restated Provention Bio, Inc. 2017 Equity Incentive Plan (the "2017 Plan").

(2) Represents
 7,186,283 shares of the registrant's common stock that were automatically added to the shares authorized for issuance under
 the 2017 Plan on January 1, 2023 pursuant to an "evergreen" provision contained in the 2017 Plan. The "evergreen"
 provision provides that on each January 1st from January 1, 2019 through January 1, 2028, the number of shares of common stock available
 for issuance under the 2017 Plan will automatically increase annually in an amount equal to the lesser of (i) the difference between
 (x) eighteen percent (18%) of the total number of shares of common stock outstanding, on a fully diluted basis, on December 31st
 of the preceding calendar year, and (y) the total number of shares of common stock reserved under the 2017 Plan on December 31st
 of such preceding calendar year and (ii) the number of shares determined by the registrant's board of directors.

(3) Pursuant
 to Rules 457(c) and 457(h) under the Securities Act, the registration fee was computed on the basis of the average of the high and
 low prices of the registrant's common stock on the Nasdaq Global Select Market on March 27, 2023.