# EDGAR Filing Document

**Accession Number:** 0001701108
**File Stem:** 0001193125-23-085694
**Filing Date:** 2023-3
**Character Count:** 17111
**Document Hash:** 2580d23448c797f4a04117a2a5a2677f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-085694.hdr.sgml**: 20230330

**ACCESSION NUMBER**: 0001193125-23-085694

**CONFORMED SUBMISSION TYPE**: S-8

**PUBLIC DOCUMENT COUNT**: 6

**FILED AS OF DATE**: 20230330

**DATE AS OF CHANGE**: 20230330

**EFFECTIVENESS DATE**: 20230330

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Spero Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001701108
- **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:** 333-271000
- **FILM NUMBER:** 23781344

**BUSINESS ADDRESS:**
- **STREET 1:** 675 MASSACHUSETTS AVENUE
- **STREET 2:** 14TH FLOOR
- **CITY:** CAMBRIDGE
- **STATE:** MA
- **ZIP:** 02139
- **BUSINESS PHONE:** 857-242-1600

**MAIL ADDRESS:**
- **STREET 1:** 675 MASSACHUSETTS AVENUE
- **STREET 2:** 14TH FLOOR
- **CITY:** CAMBRIDGE
- **STATE:** MA
- **ZIP:** 02139

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Spero Therapeutics, LLC
- **DATE OF NAME CHANGE:** 20170316

**As filed with the Securities and Exchange Commission on March 30, 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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## SPERO THERAPEUTICS, INC.
**(Exact name of registrant as specified in its charter)** 

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---

| | |
|:---|:---|
| **Delaware** | **46-4590683** |
| **(State or other jurisdiction of**<br> **incorporation or organization)** | **(I.R.S. Employer**<br> **Identification No.)** |
| **675 Massachusetts Avenue, 14th Floor**<br> **Cambridge, Massachusetts** | **02139** |
| **(Address of Principal Executive Offices)** | **(Zip Code)** |

---

**SPERO THERAPEUTICS, INC. 2019 INDUCEMENT EQUITY INCENTIVE PLAN, AS AMENDED** 

**(Full title of the plan)** 

**Ankit Mahadevia, M.D., Chief Executive Officer and President** 

**Spero Therapeutics, Inc.** 

**675 Massachusetts Avenue, 14th Floor** 

**Cambridge, Massachusetts 02139** 

**(Name and address of agent of service)** 

**(857) 242-1600** 

**(Telephone number, including area code, of agent for service)** 

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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.

---

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

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**EXPLANATORY NOTE** 

This registration statement registers an aggregate of 875,000 additional shares of common stock of Spero Therapeutics, Inc. (the "Registrant") reserved under the Spero Therapeutics, Inc. 2019 Inducement Equity Incentive Plan, as amended (the "2019 Plan"), representing an increase of 875,000 shares reserved under the 2019 Plan effective December 22, 2022. This registration statement registers additional securities of the same class as other securities for which a registration statement filed on [Form S-8](http://www.sec.gov/Archives/edgar/data/1701108/000119312519074902/d720152ds8.htm) (File No. 333-230283) relating to an employee benefit plan is effective. The information contained in the Registrant's registration statement on Form S-8 filed with the Securities and Exchange Commission on March 14, 2019 (File No. 333-230283) is hereby incorporated by reference pursuant to General Instruction E of Form S-8.

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**PART II** 

**INFORMATION REQUIRED IN THE REGISTRATION STATEMENT** 

**Item 8. Exhibits.** 

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| | | | | | |
|:---|:---|:---|:---|:---|:---|
| **Exhibit<br>Number** | **Exhibit Description** | **Filed<br>Herewith** | **Incorporated by**<br> **Reference**<br> **herein from**<br> **Form or**<br> **Schedule** | **Filing Date** | **SEC File/**<br>**Reg. Number** |
| &nbsp;&nbsp;&nbsp;&nbsp;4.1 | [Form of Common Stock Certificate of Registrant.](http://www.sec.gov/Archives/edgar/data/1701108/000119312517305888/d431217dex41.htm) |  | Form S-1<br> (Exhibit 4.1) | 10/06/2017 | 333-220858 |
| &nbsp;&nbsp;&nbsp;&nbsp;4.2 | [Amended and Restated Certificate of Incorporation of the Registrant.](http://www.sec.gov/Archives/edgar/data/1701108/000119312517334318/d490191dex31.htm) |  | Form 8-K<br> (Exhibit 3.1) | 11/06/2017 | 001-38266 |
| &nbsp;&nbsp;&nbsp;&nbsp;4.3 | [Certificate of Amendment to Amended and Restated Certificate of Incorporation of the Registrant.](http://www.sec.gov/Archives/edgar/data/1701108/000119312521250505/d198322dex31.htm) |  | Form 8-K<br> (Exhibit 3.1) | 08/18/2021 | 001-38266 |
| &nbsp;&nbsp;&nbsp;&nbsp;4.4 | [Amended and Restated Bylaws of the Registrant.](http://www.sec.gov/Archives/edgar/data/1701108/000119312517334318/d490191dex32.htm) |  | Form 8-K<br> (Exhibit 3.2) | 11/06/2017 | 001-38266 |
| &nbsp;&nbsp;&nbsp;&nbsp;4.5 | [2019 Inducement Equity Incentive Plan, as amended.](http://www.sec.gov/Archives/edgar/data/1701108/000095017023010921/spro-ex10_4.htm) |  | Form 10-K<br> (Exhibit 10.4) | 03/30/2023 | 001-38266 |
| &nbsp;&nbsp;&nbsp;&nbsp;4.6 | [Form of Stock Option Agreement under the 2019 Inducement Equity Incentive Plan, as amended.](http://www.sec.gov/Archives/edgar/data/1701108/000095017023010921/spro-ex10_5.htm) |  | Form 10-K<br> (Exhibit 10.5) | 03/30/2023 | 001-38266 |
| &nbsp;&nbsp;&nbsp;&nbsp;4.7 | [Form of Restricted Stock Unit Agreement under the 2019 Inducement Equity Incentive Plan, as amended.](http://www.sec.gov/Archives/edgar/data/1701108/000095017023010921/spro-ex10_6.htm) |  | Form 10-K<br> (Exhibit 10.6) | 03/30/2023 | 001-38266 |
| &nbsp;&nbsp;&nbsp;&nbsp;5.1 | [Opinion of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.](d456870dex51.htm) | X |  |  |  |
| 23.1 | [Consent of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. (included in opinion of counsel filed Exhibit 5.1).](d456870dex51.htm) | X |  |  |  |
| 23.2 | [Consent of PricewaterhouseCoopers LLP, independent registered public accounting firm.](d456870dex232.htm) | X |  |  |  |
| 24.1 | [Power of Attorney to file future amendments (set forth on the signature page of this Registration Statement).](#sig) | X |  |  |  |
| 107 | [Filing Fee Table.](d456870dexfilingfees.htm) | X |  |  |  |

---

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**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 Cambridge, Commonwealth of Massachusetts, on March 30, 2023.

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| | |
|:---|:---|
| **SPERO THERAPEUTICS, INC.** | **SPERO THERAPEUTICS, INC.** |
| By: | /s/ Ankit Mahadevia, M.D. |
|  | Ankit Mahadevia, M.D. |
|  | Chief Executive Officer and President |

---

Each person whose signature appears below constitutes and appoints Ankit Mahadevia, M.D. and Satyavrat Shukla, and each of them singly, his or her true and lawful attorneys-in-fact and agents, with full power of substitution and resubstitution in each of them singly, for him or her and in his or her name, place and stead, and in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement on Form S-8 of Spero Therapeutics, Inc., and to file the same, with all exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, granting to the attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite or 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 the attorneys-in-fact and agents or any of each of them or their substitute 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 dates indicated.

---

| | | |
|:---|:---|:---|
| Signature | Title | Date |
| /s/ Ankit Mahadevia, M.D. | Chief Executive Officer and President and Director | March 30, 2023 |
| Ankit Mahadevia, M.D. | *(Principal Executive Officer)* |  |
| /s/ Satyavrat Shukla | Chief Financial Officer and Treasurer | March 30, 2023 |
| Satyavrat Shukla | *(Principal Financial Officer and Principal Accounting Officer)* |  |
| /s/ Milind Deshpande, Ph.D. | Director | March 30, 2023 |
| Milind Deshpande, Ph.D. |  |  |
| /s/ Scott Jackson | Director | March 30, 2023 |
| Scott Jackson |  |  |
| /s/ John C. Pottage, M.D. | Director | March 30, 2023 |
| John C. Pottage, M.D. |  |  |
| /s/ Cynthia Smith | Director | March 30, 2023 |
| Cynthia Smith |  |  |
| /s/ Frank E. Thomas | Director | March 30, 2023 |
| Frank E. Thomas |  |  |
| /s/ Kathleen Tregoning | Director | March 30, 2023 |
| Kathleen Tregoning |  |  |
| /s/ Patrick Vink, M.D. | Director | March 30, 2023 |
| Patrick Vink, M.D. |  |  |

---

## Exhibit 5.1

**Exhibit 5.1** 

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| | |
|:---|:---|
| ![LOGO](g456870g0309031631726.jpg) | One Financial Center<br> Boston, MA 02111<br> 617 542 6000<br> mintz.com |

---

March 30, 2023

Spero Therapeutics, Inc.

675 Massachusetts Avenue, 14th Floor

Cambridge, Massachusetts 02139

Ladies and Gentlemen:

We have acted as legal counsel to Spero Therapeutics, Inc., a Delaware corporation (the "Company"), in connection with the preparation and filing with the Securities and Exchange Commission (the "Commission") of a Registration Statement on Form S-8 (the "Registration Statement"), pursuant to which the Company is registering the issuance under the Securities Act of 1933, as amended ("Securities Act"), of an aggregate of 875,000 shares (the "Shares") of the Company's common stock, $0.001 par value per share ("Common Stock"), in accordance with the terms of the Spero Therapeutics, Inc. 2019 Inducement Equity Incentive Plan, as amended (the "Inducement Plan"). This opinion is being rendered in connection with the filing of the Registration Statement with the Commission. All capitalized terms used herein and not otherwise defined shall have the respective meanings given to them in the Registration Statement.

In connection with this opinion, we have examined the Company's Amended and Restated Certificate of Incorporation, as amended, and Amended and Restated Bylaws, each as currently in effect; such other records of the corporate proceedings of the Company and certificates of the Company's officers as we have deemed relevant; and the Registration Statement and the exhibits thereto.

In our examination, we have assumed the genuineness of all signatures, the legal capacity of natural persons, the authenticity of all documents submitted to us as originals, the conformity to original documents of all documents submitted to us as copies, the authenticity of the originals of such copies, and the truth and correctness of any representations and warranties contained therein. In addition, we have assumed that the Company will receive any required consideration in accordance with the terms of the Inducement Plan.

Our opinion expressed herein is limited to the General Corporation Law of the State of Delaware and we express no opinion with respect to the laws of any other jurisdiction. No opinion is expressed herein with respect to the qualification of the Shares under the securities or blue sky laws of any state or any foreign jurisdiction.

Please note that we are opining only as to the matters expressly set forth herein, and no opinion should be inferred as to any other matters. This opinion is based upon currently existing statutes, rules, regulations and judicial decisions, and we disclaim any obligation to advise you of any change in any of these sources of law or subsequent legal or factual developments which might affect any matters or opinions set forth herein.

Based upon the foregoing, we are of the opinion that the Shares, when issued and delivered in accordance with the terms of the Inducement Plan, will be validly issued, fully paid and non-assessable.

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BOSTON LONDON LOS ANGELES NEW YORK SAN DIEGO SAN FRANCISCO WASHINGTON

MINTZ, LEVIN, COHN, FERRIS, GLOVSKY AND POPEO, P.C.

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| | |
|:---|:---|
| **MINTZ**<br>March 30, 2023<br> Page 2  | ![LOGO](g456870g0309031631946.jpg) |

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We understand that you wish to file this opinion with the Commission as an exhibit to the Registration Statement in accordance with the requirements of Item 601(b)(5) of Regulation S-K promulgated under the Securities Act, and we hereby consent thereto. In giving this consent, we do not admit that we are within the category of persons whose consent is required under Section 7 of the Securities Act or the rules and regulations of the Commission promulgated thereunder.

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| |
|:---|
| Very truly yours, |
| /s/ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. |
| Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. |

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## Exhibit 23.2

**Exhibit 23.2** 

**CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** 

We hereby consent to the incorporation by reference in this Registration Statement on Form S-8 of Spero Therapeutics, Inc. of our report dated March 30, 2023 relating to the financial statements, which appears in Spero Therapeutics, Inc.'s Annual Report on Form 10-K for the year ended December 31, 2022.

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| |
|:---|
| /s/ PricewaterhouseCoopers LLP |
| Boston, Massachusetts<br> March 30, 2023 |

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## Ex-Filing

Exhibit 107

**Calculation of Filing Fee Table** 

**Form S-8** 

(Form Type)

**Spero Therapeutics, Inc.** 

(Exact Name of Registrant as Specified in its Charter)

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

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| | | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|:---|
| &nbsp;&nbsp;&nbsp;Security Type | Security<br> Class<br> Title | Fee<br> Calculation<br> Rule | Amount<br> Registered(1) | Proposed<br> Maximum<br> Offering<br> Price Per<br> Unit(2) | Maximum<br>Aggregate<br> Offering<br>Price | Fee<br> Rate | Amount of<br>Registration<br>Fee |
| &nbsp;&nbsp;&nbsp;Equity | Common Stock, par value $0.001 per share | 457(c)<br> and<br> 457(h) | 875000 | $1.415 | $1238125.00 | $0.00011020 | $136.45 |
| &nbsp;&nbsp;&nbsp;Total Offering Amount | &nbsp;&nbsp;&nbsp;Total Offering Amount | &nbsp;&nbsp;&nbsp;Total Offering Amount | &nbsp;&nbsp;&nbsp;Total Offering Amount |  | $1238125.00 |  | $136.45 |
| &nbsp;&nbsp;&nbsp;Total Fees Previously Paid | &nbsp;&nbsp;&nbsp;Total Fees Previously Paid | &nbsp;&nbsp;&nbsp;Total Fees Previously Paid | &nbsp;&nbsp;&nbsp;Total Fees Previously Paid |  |  |  |  |
| &nbsp;&nbsp;&nbsp;Total Fee Offsets | &nbsp;&nbsp;&nbsp;Total Fee Offsets | &nbsp;&nbsp;&nbsp;Total Fee Offsets | &nbsp;&nbsp;&nbsp;Total Fee Offsets |  |  |  |  |
| &nbsp;&nbsp;&nbsp;Net Fee Due | &nbsp;&nbsp;&nbsp;Net Fee Due | &nbsp;&nbsp;&nbsp;Net Fee Due | &nbsp;&nbsp;&nbsp;Net Fee Due |  |  |  | $136.45 |

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(1) The number of shares of common stock, par value $0.001 per share ("Common Stock"), of Spero
Therapeutics, Inc. (the "Registrant") stated above consists of additional shares of common stock available for issuance under the Spero Therapeutics, Inc. 2019 Inducement Equity Incentive Plan, as amended (the "2019 Plan"). The
maximum number of shares which may be sold upon the exercise of such options or issuance of stock-based awards granted under the 2019 Plan are subject to adjustment in accordance with certain anti-dilution and other provisions of the 2019 Plan.
Accordingly, pursuant to Rule 416 under the Securities Act of 1933, as amended (the "Securities Act"), this registration statement covers, in addition to the number of shares stated above, an indeterminate number of shares which may be
subject to grant or otherwise issuable after the operation of any such anti-dilution and other provisions.

(2) Estimated solely for the purpose of calculating the amount of the registration fee pursuant to Rule 457(c) and
Rule 457(h) promulgated under the Securities Act. The offering price per share and the aggregate offering price for shares reserved for future grant or issuance under the 2019 Plan are based on the average of the high and the low price of
Registrant's Common Stock as reported on The Nasdaq Global Select Market as of a date (March 27, 2023) within five business days prior to filing this Registration Statement.