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PART II
EXPLANATORY NOTE
This Amendment to Form 1-A/A is being filed by
Energous Corp solely for the purpose of filing exhibits. Accordingly, this Amendment consists only this Explanatory Note, Part III, the
signature page, and previously unfiled exhibits.
PART III
INDEX TO EXHIBITS
The documents listed in the Exhibit Index of this offering statement
are incorporated by reference or are filed with this offering statement, in each case as indicated below.
Exhibit
No. |
|
Description
of Document |
| 1.1 |
|
Engagement
Agreement with Digital Offering+ |
| |
|
|
| 1.2 |
|
Soliciting Dealer Agreement with Digital Offering |
| |
|
|
| 1.3 |
|
Amendment to Engagement Agreement with Digital Offering+ |
| |
|
|
| 2.1 |
|
Second
Amended and Restated Certificate of Incorporation of Energous Corporation, as amended (incorporated by reference to Exhibit 3.1
to the Company’s Quarterly Report on Form 10-Q filed on August 10, 2020) |
| |
|
|
| 2.2 |
|
Certificate
of Amendment to the Second Amended and Restated Certificate of Incorporation of Energous Corporation (incorporated by reference to
Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on August 15, 2023) |
| |
|
|
| 2.3 |
|
Amended
and Restated Bylaws of Energous Corporation (incorporated by reference to Exhibit 3.2 to Amendment No. 1 to the Company’s
Registration Statement on Form S-1/A (File No. 333-193522) filed on March 13, 2014) |
| |
|
|
| 2.4 |
|
Form of Certificate of Designations for Series A Convertible Preferred Stock |
| |
|
|
| 3.1 |
|
Common
Stock Purchase Warrant (incorporated by reference to Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q
filed on May 10, 2019) |
| |
|
|
| 3.2 |
|
Form of Common Warrant |
| |
|
|
| 3.4 |
|
Form of
Pre-Funded Warrant (incorporated by reference to Exhibit 4.1 of the Company's Current Report on Form 8-K filed on February 20,
2024). |
| |
|
|
| 3.5 |
|
Form of Selling Agent’s Warrant |
| |
|
|
| 4.1 |
|
Form of Subscription
Agreement + |
| |
|
|
| 4.2 |
|
Form of Subscription Agreement+ |
| |
|
|
| 4.3 |
|
Form of Subscription Agreement+ |
| |
|
|
| 6.1 |
|
Form of
Indemnity Agreement (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q filed
on August 10, 2021)* |
| |
|
|
| 6.2 |
|
Energous
Corporation 2013 Equity Incentive Plan, as amended and restated June 16, 2021 (incorporated by reference to Exhibit 10.2
to the Company’s Quarterly Report on Form 10-Q filed on August 10, 2021)* |
| 6.3 |
|
Form of
stock option award under 2013 Equity Incentive Plan, as amended and restated on June 16, 2021 (incorporated by reference to
Exhibit 10.17 to the Company’s Registration Statement on Form S-1 (File No. 333-193522) filed on January 24,
2014)* |
| |
|
|
| 6.4 |
|
Form of
Non-Statutory Option Award (incorporated by reference to Exhibit 10.19 to Amendment No. 1 to the Company’s Registration
Statement on Form S-1/A (File No. 333-193522) filed on March 13, 2014)* |
| |
|
|
| 6.5 |
|
2014
Non-Employee Equity Compensation Plan, as amended and restated May 26, 2020 (incorporated by reference to Exhibit 10.2
to the Company’s Current Report on Form 8-K filed on May 28, 2020)* |
| |
|
|
| 6.6 |
|
Form of
stock option award under 2014 Non-Employee Equity Compensation Plan (incorporated by reference to Exhibit 10.22 to Amendment
No. 2 to the Company’s Registration Statement on Form S-1/A (File No. 333-193522) filed on March 21, 2014)*
|
| |
|
|
| 6.7 |
|
Offer
Letter effective as of December 6, 2021 between Energous Corporation and Cesar Johnston (incorporated by reference to Exhibit 10.1
to the Company’s Current Report on Form 8-K filed on December 9, 2021)* |
| |
|
|
| 6.8 |
|
Form of
Restricted Stock Unit Award Agreement effective as of August 14, 2014 between Energous Corporation and Cesar Johnston (incorporated
by reference to Exhibit 10.3 to the Company’s Quarterly Report on Form 10-Q filed on November 10, 2014)* |
| |
|
|
| 6.9 |
|
Energous
Corporation Form of Restricted Stock Unit Award Agreement under the 2013 Equity Incentive Plan, as amended and restated on June 16,
2021 (incorporated by reference to Exhibit 10.21 to the Company’s Annual Report on Form 10-K filed on March 30,
2015)* |
| |
|
|
| 6.10 |
|
Form of
Inducement Restricted Stock Unit Award Agreement (incorporated by reference to Exhibit 10.22 to the Company’s Annual Report
on Form 10-K filed on March 30, 2015)* |
| |
|
|
| 6.11 |
|
Energous
Corporation Director Compensation Policy (incorporated by reference to Exhibit 10.5 to the Company’s Quarterly Report
on Form 10-Q filed on August 13, 2015) |
| |
|
|
| 6.12 |
|
Securities
Purchase Agreement between the Company and Dialog Semiconductor plc, dated November 6, 2016 (incorporated by reference to Exhibit 10.25
to the Company’s Annual Report on Form 10-K filed on March 16, 2017) |
| 6.13 |
|
Securities
Purchase Agreement between the Company and Dialog Semiconductor plc, dated June 28, 2017 (incorporated by reference to Exhibit 10.1
to the Company’s Quarterly Report on Form 10-Q filed on August 9, 2017) |
| |
|
|
| 6.14 |
|
Amended
and Restated Warrant to Purchase Common Stock between the Company and Emily T Fairbairn Roth IRA, dated October 6, 2017 (incorporated
by reference to Exhibit 10.27 to the Company’s Annual Report on Form 10-K filed on March 16, 2018) |
| |
|
|
| 6.15 |
|
Amended
and Restated Warrant to Purchase Common Stock between the Company and Malcom P Fairbairn Roth IRA, dated October 6, 2017 (incorporated
by reference to Exhibit 10.28 to the Company’s Annual Report on Form 10-K filed on March 16, 2018) |
| |
|
|
| 6.16 |
|
Form of
Severance and Change in Control Agreement (incorporated by reference to Exhibit 10.31 to the Company’s Annual Report on
Form 10-K filed on March 16, 2018)* |
| |
|
|
| 6.17 |
|
Energous
Corporation MBO Bonus Plan (incorporated by reference to Exhibit 10.32 to the Company’s Annual Report on Form 10-K
filed on March 16, 2018)* |
| |
|
|
| 6.18 |
|
Securities
Purchase Agreement among Energous Corporation and certain purchaser identified on the signature pages thereto, dated as of February 27,
2019 (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on February 27,
2019) |
| |
|
|
| 6.19 |
|
Second
Amendment to lease dated September 22, 2021 by and between Energous Corporation and the Irvine Company, LLC (incorporated by
reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on November 15, 2021) |
| |
|
|
| 6.20 |
|
Letter
Agreement by and between Energous Corporation and William Mannina dated July 28, 2023 (incorporated by reference to Exhibit 10.1
to the Company’s Current Report on Form 8-K filed on August 1, 2023)* |
| |
|
|
| 6.21 |
|
Burak
Offer Letter by and between Energous Corporation and Mallorie Burak, dated December 1, 2023 (incorporated by reference to Exhibit 10.1
to the Company’s Current Report on Form 8-K filed on January 16, 2024)* |
| |
|
|
| 6.22 |
|
Severance
and Change in Control Agreement by and between Energous Corporation and Mallorie Burak, Dated June 12, 2024 (incorporated by
reference to Exhibit 10.3 of the Company’s Current Report on Form 8-K filed on June 14, 2024) |
| |
|
|
| 6.23 |
|
Energous
Corporation 2024 Equity Incentive Plan (incorporated by reference to Exhibit 10.1 of the Company’s Current Report on Form 8-K
filed on June 14, 2024) |
| 6.24 |
|
Energous
Corporation Amended and Restated Employee Stock Purchase Plan (incorporated by reference to Exhibit 10.2 of the Company’s
Current Report on Form 8-K filed on June 14, 2024) |
| |
|
|
| 6.25 |
|
At
The Market Offering Agreement, dated June 21, 2024, by and between Energous Corporation and H.C. Wainwright & Co.,
LLC (incorporated by reference to Exhibit 10.1 of the Company’s Current Report on Form 8-K filed on June 21,
2024) |
| |
|
|
| 6.26 |
|
Subordinated
Business Loan Agreement, dated October 1, 2024, by and between Energous Corporation, Agile Capital Funding, LLC, and Agile Lending,
LLC. (incorporated by reference to Exhibit 10.1 of the Company’s Current Report on Form 8-K filed on October 3, 2024) |
| |
|
|
| 6.27 |
|
Subordinated
Business Loan Agreement, executed November 6, 2024, by and between Energous Corporation, Agile Capital Funding, LLC, and Agile Lending,
LLC. (incorporated by reference to Exhibit 10.1 of the Company’s Current Report on Form 8-K filed November 8, 2024) |
| |
|
|
| 8.1 |
|
Form of Escrow Agreement+ |
| |
|
|
| 9.1 |
|
Letter
re change in certifying accountant, dated April 15, 2024 (incorporated by reference to Exhibit 16.1 to the Company’s
Current Report on Form 8-K filed on April 16, 2024) |
| |
|
|
| 10.1 |
|
Power
of Attorney (reference is made to the signature page of the offering statement on Form 1-A filed by the Company with the Commission on October 11, 2024) |
| |
|
|
| 11.1 |
|
Consent
of Marcum LLP+ |
| |
|
|
| 12.1 |
|
Legality Opinion of CrowdCheck Law LLP |
* Indicates a management contract or any compensatory plan, contract
or arrangement.
** Company has omitted portions of the referenced exhibit and submitted
such exhibit separately with a request for confidential treatment under Rule 24b-2 promulgated under the Exchange Act.
+Previously filed
SIGNATURES
Pursuant to the requirements of Regulation A,
the issuer certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form 1-A and
has duly caused this offering statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of San
Jose, State of California, on November 20, 2024.
| |
Energous Corporation |
| |
|
|
| |
By: |
/s/
Mallorie Burak |
| |
|
Mallorie Burak |
| |
|
Chief Executive Officer and Chief Financial Officer
(Principal Executive Officer, Principal Financial Officer and Principal Accounting Officer) |
Pursuant to the requirements of the Securities Act of 1933, this offering
statement has been signed by the following persons in the capacities and on the dates indicated.
| Signature |
|
Title |
Date |
| |
|
|
|
| /s/
Mallorie Burak |
|
Chief Executive Officer,
Chief Financial Officer and Director |
November
20, 2024 |
| Mallorie Burak |
|
|
|
| |
|
(Principal Executive Officer, |
|
| |
|
Principal Financial Officer and |
|
| |
|
Principal Accounting Officer) |
|
| |
|
|
|
| * |
|
Director |
November
20, 2024 |
| J. Michael Dodson |
|
|
|
| |
|
|
|
| * |
|
Director |
November
20, 2024 |
| David Roberson |
|
|
|
| |
|
|
|
| * |
|
Director |
November
20, 2024 |
| Rahul Patel |
|
|
|
| * By: |
/s/
Mallorie Burak |
|
| |
Attorney-in-fact |
|