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As filed with the Securities and Exchange Commission on June 29, 2004

Registration No. 333-          



UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933


VICAL INCORPORATED
(Exact name of registrant as specified in its charter)

Delaware
(State or other jurisdiction of
incorporation or organization)
      93-0948554
(I.R.S. Employer Identification No.)

10390 Pacific Center Court
San Diego, California

(Address of Principal
Executive Offices)

 

 

 

92121-4340
(Zip Code)

AMENDED AND RESTATED STOCK INCENTIVE PLAN OF VICAL INCORPORATED
(Full title of the plan)

Copies to:

Vijay B. Samant
President and Chief Executive Officer
Vical Incorporated
10390 Pacific Center Court
San Diego, California 92121-4340
(858) 646-1100

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

 

 

 

Frederick T. Muto, Esq.
L. Kay Chandler, Esq.
Cooley Godward LLP
4401 Eastgate Mall
San Diego, California 92121-1909
(858) 550- 6000

CALCULATION OF REGISTRATION FEE


Title of
Securities To Be Registered

  Amount To
Be Registered(1)

  Proposed Maximum
Offering Price
Per Share(2)

  Proposed Maximum
Aggregate Offering
Price(2)

  Amount of
Registration Fee


Common Stock, $.01 par value   500,000 shares   $5.39   $2,695,000   $341.46

(1)
Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the "Securities Act"), this Registration Statement also registers any additional shares of Registrant's Common Stock that become issuable under the plan by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without receipt of consideration that increases the number of outstanding shares of Registrant's Common Stock.

(2)
Estimated solely for the purpose of calculating the amount of the registration fee pursuant to Rule 457(h)(1) under the Securities Act. The price per share and aggregate offering price are based upon the average of the high and low prices of Registrant's Common Stock on June 25, 2004, as reported on The Nasdaq National Market, Inc.

        This Registration Statement shall become effective upon filing in accordance with Rule 462 under the Securities Act.





INFORMATION REQUIRED PURSUANT TO GENERAL INSTRUCTION E TO FORM S-8

General Instruction E Information

        This Registration Statement is being filed for the purpose of increasing the number of securities of the same class as other securities for which a Registration Statement on Form S-8 of the Registrant relating to the same employee benefit plan is effective.

        Registrant's Form S-8 Registration Statements filed with the Securities and Exchange Commission (the "SEC") on April 9, 1993 (File No. 333-60826), July 15, 1994 (File No. 33-81602), June 27, 1997 (File No. 333-30181), July 31, 1998 (File No. 333-60293), June 15, 1999 (File No. 333-80681), July 30, 2001 (File No. 333-66254), July 24, 2002 (File No. 333-97019) and August 1, 2003 (File No. 333-107581), are incorporated by reference in this Registration Statement.


PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT

Item 3. Incorporation of Documents by Reference

        The following documents filed by Registrant with the SEC are incorporated by reference in this Registration Statement:

(1)
Registrant's Annual Report on Form 10-K (File No. 0-21088), for the fiscal year ended December 31, 2003;

(2)
Registrant's Quarterly Report on Form 10-Q for the quarter ended March 31, 2004;

(3)
Registrant's Current Report on Form 8-K, filed on February 10, 2004;

(4)
Registrant's Current Report on Form 8-K, filed on March 24, 2004;

(5)
Registrant's Current Report on Form 8-K, filed on May 6, 2004; and

(6)
The description of the Registrant's Common Stock contained in Registrant's Registration Statement on Form 8-A filed with the SEC on January 8, 1993, and the description of the Preferred Stock Purchase Rights for Registrant's Series A Preferred Stock contained in Registrant's Registration Statement on Form 8-A filed with the SEC on March 23, 1995.

        In addition, all documents subsequently filed by Registrant pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), prior to the filing of a post-effective amendment which indicates that all securities offered have been sold or which deregisters all securities then remaining unsold, shall be deemed to be incorporated by reference in this Registration Statement and to be a part hereof from the date of filing of such documents.

        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 contained herein or in any other 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 be deemed, except as so modified or superseded, to constitute a part of this Registration Statement.



Item 8. Exhibits.

Exhibit
Number

  Exhibit
3.1 (i)(1) Restated Certificate of Incorporation.
3.1 (ii)(1) Amended and Restated Bylaws.
4.1 (1) Specimen Common Stock Certificate.
4.2 (2) Rights Agreement dated as of March 20, 1995, between the Registrant and First Interstate Bank of California.
5.1   Opinion of Cooley Godward LLP.
23.1   Consent of KPMG LLP.
23.2   Consent of Arthur Andersen LLP.
23.3   Consent of Cooley Godward LLP. Reference is made to Exhibit 5.1.
24.1   Power of Attorney. Reference is made to page 5.
99.1   Amended and Restated Stock Incentive Plan of Vical Incorporated.

(1)
Incorporated by reference to the exhibit of the same number filed with the Company's Registration Statement on Form S-3 (No. 33-95812) filed on August 15, 1995.

(2)
Incorporated by reference to the exhibit of the same number filed with the Company's Annual Report on Form 10-K for the fiscal year ended December 31, 1994.

2



Item 9. Undertakings.

        (a)   The Registrant hereby undertakes:

        (b)   The Registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the Registrant's annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act (and, where applicable, each filing of an employee benefit plan's annual report pursuant to Section 15(d) of the Exchange Act) that is incorporated by reference in the registration statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.

        (c)   Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the SEC such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.

3



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 San Diego, State of California, on June 29, 2004.

    VICAL INCORPORATED

 

 

By

/s/  
VIJAY B. SAMANT      
     
Vijay B. Samant
President and Chief Executive Officer


POWER OF ATTORNEY

        KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Vijay B. Samant and R. Gordon Douglas, and each of them, his true and lawful attorneys-in-fact and agents, each with full power of substitution and resubstitution, for him and in his 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 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, as fully to all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or his substitute or substitutes, may 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/  VIJAY B. SAMANT      
Vijay B. Samant
  President, Chief Executive Officer and Director (Principal Executive, Financial and Accounting Officer)   June 29, 2004

/s/  
R. GORDON DOUGLAS      
R. Gordon Douglas

 

Chairman of the Board of Directors

 

June 29, 2004

/s/  
ROBERT H. CAMPBELL      
Robert H. Campbell

 

Director

 

June 29, 2004

/s/  
M. BLAKE INGLE      
M. Blake Ingle

 

Director

 

June 29, 2004

/s/  
GARY A. LYONS      
Gary A. Lyons

 

Director

 

June 29, 2004

/s/  
ROBERT C. MERTON      
Robert C. Merton

 

Director

 

June 29, 2004

4



EXHIBITS

Exhibit
Number

  Exhibit
3.1 (i)(1) Restated Certificate of Incorporation.
3.1 (ii)(1) Amended and Restated Bylaws.
4.1 (1) Specimen Common Stock Certificate.
4.2 (2) Rights Agreement dated as of March 20, 1995, between the Registrant and First Interstate Bank of California.
5.1   Opinion of Cooley Godward LLP.
23.1   Consent of KPMG LLP.
23.2   Consent of Arthur Andersen LLP.
23.3   Consent of Cooley Godward LLP. Reference is made to Exhibit 5.1.
24.1   Power of Attorney. Reference is made to page 5.
99.1   Amended and Restated Stock Incentive Plan of Vical Incorporated.

(1)
Incorporated by reference to the exhibit of the same number filed with the Company's Registration Statement on Form S-3 (No. 33-95812) filed on August 15, 1995.

(2)
Incorporated by reference to the exhibit of the same number filed with the Company's Annual Report on Form 10-K for the fiscal year ended December 31, 1994.



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INFORMATION REQUIRED PURSUANT TO GENERAL INSTRUCTION E TO FORM S-8
PART II INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
SIGNATURES
POWER OF ATTORNEY
EXHIBITS