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<TITLE>Avigen, Inc. Form S-8</TITLE>
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<P align="center"><FONT size="2">As filed with the Securities and Exchange Commission on June&nbsp;14, 2002</FONT>

<DIV align="right"><FONT size="2">Registration No.&nbsp;333-&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</FONT></DIV>

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<P align="center"><FONT size="4"><B>SECURITIES AND EXCHANGE COMMISSION</B></FONT>
<DIV align="center"><FONT size="2">Washington, D.C. 20549</FONT></DIV>

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<P align="center"><FONT size="4"><B>FORM S-8</B></FONT>
<DIV align="center"><FONT size="2">REGISTRATION STATEMENT<BR>
UNDER<BR>
THE SECURITIES ACT OF 1933</FONT></DIV>

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<P align="center"><FONT size="4"><B>AVIGEN, INC.</B></FONT>
<DIV align="center"><FONT size="2">(Exact name of registrant as specified in its charter)</FONT></DIV>

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        <TD width="44%">&nbsp;</TD>
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        <TD align="center" valign="top"><FONT size="2"><B>Delaware</B><BR>
(State of incorporation)</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">
<B>13-3647113</B><BR>
(I.R.S. Employer Identification No.)</FONT></TD>
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<P align="center"><FONT size="2"><B>1301 HARBOR BAY PARKWAY<BR>
ALAMEDA, CA 94502<BR>
(510)&nbsp;748-7150</B><BR>
(Address of principal executive offices, including zip code)</FONT>

<P align="center"><FONT size="2"><B>1996 EQUITY INCENTIVE PLAN</B><BR>
(Full title of the plans)</FONT>

<P align="center"><FONT size="2"><B>JOHN MONAHAN, PH.D.<BR>
PRESIDENT AND CHIEF EXECUTIVE OFFICER<BR>
AVIGEN, INC.<BR>
1301 HARBOR BAY PARKWAY<BR>
ALAMEDA, CA 94502<BR>
(510)&nbsp;748-7150</B><BR>
(Name, address, including zip code, and telephone number,<BR>
including area code, of agent for service)</FONT>

<P align="center"><FONT size="2">Copies to:</FONT>

<P align="center"><FONT size="2"><B>BRETT D. WHITE, ESQ.<BR>
COOLEY GODWARD LLP<BR>
FIVE PALO ALTO SQUARE<BR>
3000 EL CAMINO REAL<BR>
PALO ALTO, CA 94306-2155<BR>
(650)&nbsp;843-5000</B></FONT>

<P align="center"><FONT size="2"><B>CALCULATION OF REGISTRATION FEE</B></FONT>

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        <TD width="5%">&nbsp;</TD>
        <TD width="9%">&nbsp;</TD>
        <TD width="1%">&nbsp;</TD>
        <TD width="9%">&nbsp;</TD>
        <TD width="5%">&nbsp;</TD>
        <TD width="3%">&nbsp;</TD>
        <TD width="1%">&nbsp;</TD>
        <TD width="4%">&nbsp;</TD>
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        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD nowrap align="center" colspan="3"><FONT size="1"><B>Proposed Maximum</B></FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD nowrap align="center" colspan="3"><FONT size="1"><B>Proposed Maximum</B></FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
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        <TD nowrap align="center"><FONT size="1"><B>Title of Securities</B></FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD nowrap align="center" colspan="3"><FONT size="1"><B>Amount to be</B></FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD nowrap align="center" colspan="3"><FONT size="1"><B>Offering Price Per</B></FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD nowrap align="center" colspan="3"><FONT size="1"><B>Aggregate Offering</B></FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD nowrap align="center" colspan="3"><FONT size="1"><B>Amount of</B></FONT></TD>
</TR>
<TR valign="bottom">
        <TD nowrap align="center"><FONT size="1"><B>to be Registered</B></FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD nowrap align="center" colspan="3"><FONT size="1"><B>Registered (1)</B></FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD nowrap align="center" colspan="3"><FONT size="1"><B>Share (2)</B></FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD nowrap align="center" colspan="3"><FONT size="1"><B>Price (2)</B></FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD nowrap align="center" colspan="3"><FONT size="1"><B>Registration Fee</B></FONT></TD>
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        <TD><FONT size="2">Common Stock,
$0.001 par value
per share</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD colspan="3" align="center"><FONT size="2">1,000,000 shares</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="right"><FONT size="2">$</FONT></TD>
        <TD align="right"><FONT size="2">7.93</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="right"><FONT size="2">$</FONT></TD>
        <TD align="right"><FONT size="2">7,930,000.00</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="right"><FONT size="2">$</FONT></TD>
        <TD align="right"><FONT size="2">730.00</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
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      <TD width="1%" align="left" nowrap><FONT size="2">(1)</FONT></TD>
        <TD width="3%"><FONT size="2">&nbsp;</FONT></TD>
        <TD width="96%"><FONT size="2">1,000,000 shares to be registered pursuant to the Avigen, Inc. 1996 Equity
Incentive Plan. This Registration Statement shall cover any additional shares
of Common Stock which become issuable under the plan set forth herein by reason
of any stock dividend, stock split, recapitalization or any other similar
transaction without receipt of consideration which results in an increase in
the number of shares of the Registrant&#146;s outstanding Common Stock.</FONT></TD>
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<TR><TD><TR><TD><TR><TD><TR><TD>
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      <TD width="1%" align="left" nowrap><FONT size="2">(2)</FONT></TD>
        <TD width="3%"><FONT size="2">&nbsp;</FONT></TD>
        <TD width="96%"><FONT size="2">Estimated solely for the purpose of calculating the amount of the
registration fee pursuant to Rule&nbsp;457(h) under the Securities Act of 1933, as
amended (the &#147;Act&#148;). The price per share and aggregate offering price are based
upon the average of the high and low prices of Registrant&#146;s Common Stock on
June&nbsp;12, 2002 as reported on the Nasdaq National Market (pursuant to Rule
457(c) under the Act).</FONT></TD>
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<P align="center"><FONT size="2">&nbsp;
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<A name="toc"><DIV align="CENTER" style="page-break-before:always"><U><B>TABLE OF CONTENTS</B></U></DIV></A>

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<TR><TD colspan="9"><A HREF="#000">PART II</A></TD></TR>
<TR><TD colspan="9"><A HREF="#001">INFORMATION REQUIRED IN THE REGISTRATION STATEMENT</A></TD></TR>
<TR><TD></TD><TD colspan="8"><A HREF="#002">ITEM 3. INCORPORATION OF DOCUMENTS BY REFERENCE</A></TD></TR>
<TR><TD></TD><TD colspan="8"><A HREF="#003">ITEM 4. DESCRIPTION OF SECURITIES</A></TD></TR>
<TR><TD></TD><TD colspan="8"><A HREF="#004">ITEM 5. INTERESTS OF NAMED EXPERTS AND COUNSEL</A></TD></TR>
<TR><TD></TD><TD colspan="8"><A HREF="#005">ITEM 6. INDEMNIFICATION OF DIRECTORS AND OFFICERS</A></TD></TR>
<TR><TD></TD><TD colspan="8"><A HREF="#006">ITEM 7. EXEMPTION FROM REGISTRATION CLAIMED</A></TD></TR>
<TR><TD></TD><TD colspan="8"><A HREF="#007">ITEM 8. EXHIBITS</A></TD></TR>
<TR><TD></TD><TD colspan="8"><A HREF="#008">ITEM 9. UNDERTAKINGS</A></TD></TR>
<TR><TD colspan="9"><A HREF="#009">SIGNATURES</A></TD></TR>
<TR><TD colspan="9"><A HREF="#010">EXHIBIT INDEX</A></TD></TR>
<TR><TD colspan="9"><A HREF="f82366exv5w1.txt">EXHIBIT 5.1</A></TD></TR>
<TR><TD colspan="9"><A HREF="f82366exv23w1.txt">EXHIBIT 23.1</A></TD></TR>
<TR><TD colspan="9"><A HREF="f82366exv99w1.txt">EXHIBIT 99.1</A></TD></TR>
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<DIV align="left"><A NAME="000"></A></DIV>
<P align="center"><FONT size="2"><B>PART II</B></FONT>

<!-- link1 "INFORMATION REQUIRED IN THE REGISTRATION STATEMENT" -->
<DIV align="left"><A NAME="001"></A></DIV>
<P align="center"><FONT size="2"><B>INFORMATION REQUIRED IN THE REGISTRATION STATEMENT</B></FONT>

<!-- link2 "ITEM 3. INCORPORATION OF DOCUMENTS BY REFERENCE" -->
<DIV align="left"><A NAME="002"></A></DIV>
<P align="left"><FONT size="2"><B>ITEM 3. INCORPORATION OF DOCUMENTS BY REFERENCE</B></FONT>

<P><FONT size="2">The following documents filed by Avigen, Inc. (the &#147;Company&#148;) with the
Securities and Exchange Commission (the &#147;SEC&#148;) are incorporated by reference
into this Registration Statement:
</FONT>
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<TR>
        <TD width="1%" nowrap>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</TD>
        <TD width="99%"></TD>
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        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
        <TD><FONT size="2">(a)&nbsp;the Company&#146;s latest Transition Report on Form&nbsp;10-K for the six month
period ended December&nbsp;31, 2001, filed with the SEC on March&nbsp;26, 2002;</FONT></TD>
</TR>
<TR>
        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
</TR>
<TR valign="top">
        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
        <TD><FONT size="2">(b)&nbsp;the Company&#146;s Quarterly Report on Form&nbsp;10-Q for the quarter ended March
31, 2002, filed with the SEC on May&nbsp;14, 2002; and</FONT></TD>
</TR>
<TR>
        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
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        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
        <TD><FONT size="2">(c)&nbsp;the description of the Company&#146;s Common Stock contained in the
registration statement on Form&nbsp;8-A (File No.&nbsp;000-28272), filed with the SEC
on April&nbsp;22, 1996 under the Securities Exchange Act of 1934, as amended (the
&#147;Exchange Act&#148;).</FONT></TD>
</TR>
<TR>
        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
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        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
        <TD><FONT size="2">All reports and other documents subsequently filed by the Company pursuant
to Sections&nbsp;13(a), 13(c), 14 and 15(d) of 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 herein and to be a
part of this registration statement from the date of the filing of such
reports and documents.</FONT></TD>
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<P align="left"><FONT size="2"><B>ITEM 4. DESCRIPTION OF SECURITIES</B></FONT>

<P><FONT size="2">Not applicable.
</FONT>
<!-- link2 "ITEM 5. INTERESTS OF NAMED EXPERTS AND COUNSEL" -->
<DIV align="left"><A NAME="004"></A></DIV>
<P align="left"><FONT size="2"><B>ITEM 5. INTERESTS OF NAMED EXPERTS AND COUNSEL</B></FONT>

<P><FONT size="2">Not applicable.
</FONT>
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<P align="left"><FONT size="2"><B>ITEM 6. INDEMNIFICATION OF DIRECTORS AND OFFICERS</B></FONT>

<P><FONT size="2">The Company&#146;s Restated Certificate of Incorporation provides that directors of
the Company shall not be personally liable to the Company or its stockholders
for monetary damages for breach of fiduciary duty as a director, to the fullest
extent permitted by the General Corporation Law of the State of Delaware. The
Company&#146;s Restated Bylaws provide for indemnification of officers and directors
to the full extent and in the manner permitted by Delaware law. Section&nbsp;145 of
the Delaware General Corporation Law makes provision for such indemnification
in terms sufficiently broad to cover officers and directors under certain
circumstances for liabilities arising under the Securities Act of 1933, as
amended.
</FONT>
<P><FONT size="2">The Company has entered into indemnification agreements with each director
which provides indemnification under certain circumstances for acts and
omissions which may not be covered by any directors&#146; and officers&#146; liability
insurance.
</FONT>
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<DIV align="left"><A NAME="006"></A></DIV>
<P align="left"><FONT size="2"><B>ITEM 7. EXEMPTION FROM REGISTRATION CLAIMED</B></FONT>

<P><FONT size="2">Not applicable.
</FONT>
<P align="center"><FONT size="2">&nbsp;
</FONT>

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<!-- link2 "ITEM 8. EXHIBITS" -->
<DIV align="left"><A NAME="007"></A></DIV>
<P align="left"><FONT size="2"><B>ITEM 8. EXHIBITS</B></FONT>

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        <TD nowrap align="center"><FONT size="1">EXHIBIT</FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
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<TR valign="bottom">
        <TD nowrap align="center"><FONT size="1">NUMBER</FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
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        <TD align="center" valign="top"><FONT size="2">&nbsp;&nbsp;5.1</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="left" valign="top"><FONT size="2">
Opinion of Cooley Godward LLP</FONT></TD>
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<TR valign="bottom">
        <TD align="center" valign="top"><FONT size="2">23.1</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="left" valign="top"><FONT size="2">
Consent of Ernst &#038; Young LLP, Independent Auditors</FONT></TD>
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        <TD align="center" valign="top"><FONT size="2">23.2</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="left" valign="top"><FONT size="2">
Consent of Cooley Godward LLP (contained in Exhibit&nbsp;5.1)</FONT></TD>
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<TR valign="bottom">
        <TD align="center" valign="top"><FONT size="2">24.1</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="left" valign="top"><FONT size="2">
Power of Attorney (contained on the signature page)</FONT></TD>
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<TR valign="bottom">
        <TD align="center" valign="top"><FONT size="2">99.1</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="left" valign="top"><FONT size="2">
1996 Equity Incentive Plan, as amended</FONT></TD>
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<DIV align="left"><A NAME="008"></A></DIV>
<P align="left"><FONT size="2"><B>ITEM 9. UNDERTAKINGS</B></FONT>

<P><FONT size="2">1.&nbsp;The undersigned registrant hereby undertakes:
</FONT>
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        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
        <TD><FONT size="2">(a)&nbsp;To file, during any period in which offers or sales are being made, a
post-effective amendment to this registration statement:</FONT></TD>
</TR>
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<TR>
        <TD width="5%" nowrap>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</TD>
        <TD width="95%"></TD>
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        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
        <TD><FONT size="2">(i)&nbsp;To include any prospectus required by section 10(a)(3) of the
Securities Act;</FONT></TD>
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<TR>
        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
</TR>
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        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
        <TD><FONT size="2">(ii)&nbsp;To reflect in the prospectus any facts or events arising after the
effective date of the registration statement (or the most recent
post-effective amendment thereof) which, individually or in the
aggregate, represent a fundamental change in the information set forth
in the registration statement. Notwithstanding the foregoing, any
increase or decrease in volume of securities offered (if the total
dollar value of securities offered would not exceed that which was
registered) and any deviation from the low or high end of the estimated
maximum offering range may be reflected in the form of prospectus filed
with the Commission pursuant to Rule&nbsp;424(b) (ss. 230.424(b) of this
chapter) if, in the aggregate, the changes in volume and price represent
no more than a 20% change in the maximum aggregate offering price set
forth in the &#147;Calculation of Registration Fee&#148; table in the effective
registration statement.</FONT></TD>
</TR>
<TR>
        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
</TR>
<TR valign="top">
        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
        <TD><FONT size="2">(iii)&nbsp;To include any material information with respect to the plan of
distribution not previously disclosed in the registration statement or
any material change to such information in the registration statement;</FONT></TD>
</TR>
<TR>
        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
</TR>
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        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
        <TD><FONT size="2">Provided, however, that paragraphs (a)(i) and (a)(ii) do not apply if
the information required to be included in a post-effective amendment by
those paragraphs is contained in periodic reports filed by the issuer
pursuant to section 13 or section 15(d) of the Exchange Act that are
incorporated by reference herein.</FONT></TD>
</TR>
</TABLE>
<TABLE width="100%" border="0" cellpadding="0" cellspacing="0">
<TR>
        <TD width="1%" nowrap>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</TD>
        <TD width="99%"></TD>
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        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
        <TD><FONT size="2">(b)&nbsp;That, for the purpose of determining any liability under the Securities
Act, each such post-effective amendment shall be deemed to be a new
registration statement relating to the securities offered herein, and the
offering of such securities at that time shall be deemed to be the initial
bona fide offering thereof.</FONT></TD>
</TR>
<TR>
        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
</TR>
<TR valign="top">
        <TD nowrap><FONT size="2">&nbsp;</FONT></TD>
        <TD><FONT size="2">(c)&nbsp;To remove from registration by means of a post-effective amendment any
of the securities being registered which remain unsold at the termination of
the offering.</FONT></TD>
</TR>
</TABLE>
<P><FONT size="2">2.&nbsp;The undersigned registrant hereby undertakes that, for purposes of
determining any liability under the Securities Act, each filing of the
registrant&#146;s annual report pursuant to Section&nbsp;13(a) or Section&nbsp;15(d) of the
Exchange Act (and, where applicable, each filing of an employee benefit plan&#146;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 herein, and the
offering of such securities at that time shall be deemed to be the initial bona
fide offering thereof.
</FONT>
<P><FONT size="2">3.&nbsp;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 Securities and Exchange Commission
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.
</FONT>
<P align="center"><FONT size="2">&nbsp;
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<!-- link1 "SIGNATURES" -->
<DIV align="left"><A NAME="009"></A></DIV>
<P align="center"><FONT size="2"><B>SIGNATURES</B></FONT>

<P><FONT size="2">Pursuant to the requirements of the Securities Act of 1933, as amended, the
Company certifies that it has reasonable grounds to believe that it meets all
of the requirements for filing on Form&nbsp;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 Alameda, State of California, on this 14th day
of June, 2002.
</FONT>
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        <TD width="50%">&nbsp;</TD>
        <TD width="1%">&nbsp;</TD>
        <TD width="49%">&nbsp;</TD>
</TR>
<TR>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD colspan="2"><FONT size="2"><B>AVIGEN, INC</B></FONT></TD>
</TR>

<TR><TD>&nbsp;<BR>&nbsp;</TD></TR>
<TR>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD><FONT size="2">By:&nbsp;</FONT></TD>
        <TD><FONT size="2">/s/ John Monahan, Ph.D.</FONT></TD>
</TR>
<TR>
        <TD colspan="2"><FONT size="1">&nbsp;</FONT></TD>
        <TD><HR size="1" noshade color="#000000"></TD>
</TR>
<TR valign="top">
        <TD colspan="2">&nbsp;</TD>
        <TD><FONT size="2">
John Monahan, Ph.D.<BR>
President and Chief Executive Officer</FONT></TD>
</TR>
</TABLE>

<P align="center"><FONT size="2"><B>POWER OF ATTORNEY</B></FONT>

<P><FONT size="2">KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears
below constitutes and appoints John Monahan, Ph.D. and Thomas J. Paulson, and
each or any one of them, his true and lawful attorney-in-fact and agent, 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 all 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 in
connection therewith, 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 any of them, or their or his substitutes or substitute, may
lawfully do or cause to be done by virtue hereof.
</FONT>
<P><FONT size="2">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Pursuant to the requirements of the Securities Act of 1933, as amended,
this Registration Statement has been signed by the following persons in the
capacities and on the dates indicated:
</FONT>
<CENTER>
<TABLE cellspacing="0" border="0" cellpadding="0" width="100%">
<TR valign="bottom">
        <TD width="38%">&nbsp;</TD>
        <TD width="5%">&nbsp;</TD>
        <TD width="38%">&nbsp;</TD>
        <TD width="5%">&nbsp;</TD>
        <TD width="14%">&nbsp;</TD>
</TR>
<TR valign="bottom">
        <TD nowrap align="center"><FONT size="1"><B>Signatures</B></FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD nowrap align="center"><FONT size="1"><B>Title</B></FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD nowrap align="center"><FONT size="1"><B>Date</B></FONT></TD>
</TR>
<TR valign="bottom">
        <TD nowrap align="center"><HR size="1" noshade></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD nowrap align="center"><HR size="1" noshade></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD nowrap align="center"><HR size="1" noshade></TD>
</TR>
<TR><TD>&nbsp;</TD></TR>
<TR valign="bottom">
        <TD align="center" valign="top"><FONT size="2">/s/ John Monahan, Ph.D.<BR>
<HR size="1" noshade>
John Monahan, Ph.D.</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">
President, Chief Executive Officer and Director
</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">June&nbsp;14, 2002</FONT></TD>
</TR>
<TR><TD>&nbsp;</TD></TR>
<TR valign="bottom">
        <TD align="center" valign="top"><FONT size="2">/s/ Thomas J. Paulson<BR>
<HR size="1" noshade>
Thomas J. Paulson</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">
Chief Financial Officer (Principal Financial<BR>
Officer and Principal Accounting Officer)
</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">June&nbsp;14, 2002</FONT></TD>
</TR>
<TR><TD>&nbsp;</TD></TR>
<TR>
        <TD align="center" valign="top"><FONT size="2">/s/ Zola Horovitz, Ph.D.<BR>
<HR size="1" noshade>
Zola Horovitz, Ph.D.</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">
Director
</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">June&nbsp;14, 2002</FONT></TD>
</TR>
<TR><TD>&nbsp;</TD></TR>
<TR>
        <TD align="center" valign="top"><FONT size="2">/s/ Yuichi Iwaki, M.D., Ph.D.<BR>
<HR size="1" noshade>
Yuichi Iwaki, M.D., Ph.D.</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">
Director
</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">June&nbsp;14, 2002</FONT></TD>
</TR>
<TR><TD>&nbsp;</TD></TR>
<TR>
        <TD align="center" valign="top"><FONT size="2">/s/ John K. A. Prendergast, Ph.D.<BR>
<HR size="1" noshade>
John K. A. Prendergast, Ph.D.</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">
Director
</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">June&nbsp;14, 2002</FONT></TD>
</TR>
<TR><TD>&nbsp;</TD></TR>
<TR>
        <TD align="center" valign="top"><FONT size="2">/s/ Philip J. Whitcome, Ph.D.<BR>
<HR size="1" noshade>
Philip J. Whitcome, Ph.D.</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">
Director</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">June&nbsp;14, 2002</FONT></TD>
</TR>
<TR><TD>&nbsp;</TD></TR>
<TR valign="bottom">
        <TD align="center" valign="top"><FONT size="2"><HR size="1" noshade>
Daniel Vapnek, Ph.D.</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">
Director</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="center" valign="top"><FONT size="2">&nbsp;</FONT></TD>
</TR>
</TABLE>
</CENTER>
<P align="center"><FONT size="2">&nbsp;
</FONT>

<!-- PAGEBREAK -->
<P><HR noshade><P>
<H5 align="left" style="page-break-before:always"><A HREF="#toc">Table of Contents</A></H5><P>
<!-- link1 "EXHIBIT INDEX" -->
<DIV align="left"><A NAME="010"></A></DIV>
<P align="center"><FONT size="2"><B>EXHIBIT INDEX</B></FONT>

<CENTER>
<TABLE cellspacing="0" border="0" cellpadding="0" width="100%">
<TR valign="bottom">
        <TD width="5%">&nbsp;</TD>
        <TD width="5%">&nbsp;</TD>
        <TD width="90%">&nbsp;</TD>
</TR>
<TR valign="bottom">
        <TD nowrap align="center"><FONT size="1">EXHIBIT</FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
</TR>
<TR valign="bottom">
        <TD nowrap align="center"><FONT size="1">NUMBER</FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
</TR>
<TR valign="bottom">
        <TD nowrap align="center"><HR size="1" noshade></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
        <TD><FONT size="1">&nbsp;</FONT></TD>
</TR>
<TR valign="bottom">
        <TD align="center" valign="top"><FONT size="2">&nbsp;&nbsp;5.1</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="left" valign="top"><FONT size="2">
Opinion of Cooley Godward LLP</FONT></TD>
</TR>

<TR valign="bottom">
        <TD align="center" valign="top"><FONT size="2">23.1</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="left" valign="top"><FONT size="2">
Consent of Ernst &#038; Young LLP, Independent Auditors</FONT></TD>
</TR>

<TR valign="bottom">
        <TD align="center" valign="top"><FONT size="2">23.2</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="left" valign="top"><FONT size="2">
Consent of Cooley Godward LLP (contained in Exhibit&nbsp;5.1)</FONT></TD>
</TR>

<TR valign="bottom">
        <TD align="center" valign="top"><FONT size="2">24.1</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="left" valign="top"><FONT size="2">
Power of Attorney (contained on the signature page)</FONT></TD>
</TR>

<TR valign="bottom">
        <TD align="center" valign="top"><FONT size="2">99.1</FONT></TD>
        <TD><FONT size="2">&nbsp;</FONT></TD>
        <TD align="left" valign="top"><FONT size="2">
1996 Equity Incentive Plan, as amended</FONT></TD>
</TR>
</TABLE>
</CENTER>

<P align="center"><FONT size="2">&nbsp;</FONT>

</BODY>
</HTML>
[{"type": "S-8", "sequence": "1", "filename": "f82366sv8.htm", "description": "FORM S-8", "secsgml_size_bytes": 32424}]
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Avigen, Inc. Form S-8
Table of Contents
As filed with the Securities and Exchange Commission on June 14, 2002
Registration No. 333-
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
AVIGEN, INC.
(Exact name of registrant as specified in its charter)
Delaware
(State of incorporation)
13-3647113
(I.R.S. Employer Identification No.)
1301 HARBOR BAY PARKWAY
ALAMEDA, CA 94502
(510) 748-7150
(Address of principal executive offices, including zip code)
1996 EQUITY INCENTIVE PLAN
(Full title of the plans)
JOHN MONAHAN, PH.D.
PRESIDENT AND CHIEF EXECUTIVE OFFICER
AVIGEN, INC.
1301 HARBOR BAY PARKWAY
ALAMEDA, CA 94502
(510) 748-7150
(Name, address, including zip code, and telephone number,
including area code, of agent for service)
Copies to:
BRETT D. WHITE, ESQ.
COOLEY GODWARD LLP
FIVE PALO ALTO SQUARE
3000 EL CAMINO REAL
PALO ALTO, CA 94306-2155
(650) 843-5000
CALCULATION OF REGISTRATION FEE
Proposed Maximum
Proposed Maximum
Title of Securities
Amount to be
Offering Price Per
Aggregate Offering
Amount of
to be Registered
Registered (1)
Share (2)
Price (2)
Registration Fee
Common Stock,
$0.001 par value
per share
1,000,000 shares
$
7.93
$
7,930,000.00
$
730.00
(1)
1,000,000 shares to be registered pursuant to the Avigen, Inc. 1996 Equity
Incentive Plan. This Registration Statement shall cover any additional shares
of Common Stock which become issuable under the plan set forth herein by reason
of any stock dividend, stock split, recapitalization or any other similar
transaction without receipt of consideration which results in an increase in
the number of shares of the Registrant's outstanding Common Stock.
(2)
Estimated solely for the purpose of calculating the amount of the
registration fee pursuant to Rule 457(h) under the Securities Act of 1933, as
amended (the "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 12, 2002 as reported on the Nasdaq National Market (pursuant to Rule
457(c) under the Act).
TABLE OF CONTENTS
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
ITEM 3. INCORPORATION OF DOCUMENTS BY REFERENCE
ITEM 4. DESCRIPTION OF SECURITIES
ITEM 5. INTERESTS OF NAMED EXPERTS AND COUNSEL
ITEM 6. INDEMNIFICATION OF DIRECTORS AND OFFICERS
ITEM 7. EXEMPTION FROM REGISTRATION CLAIMED
ITEM 8. EXHIBITS
ITEM 9. UNDERTAKINGS
SIGNATURES
EXHIBIT INDEX
EXHIBIT 5.1
EXHIBIT 23.1
EXHIBIT 99.1
Table of Contents
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
ITEM 3. INCORPORATION OF DOCUMENTS BY REFERENCE
The following documents filed by Avigen, Inc. (the "Company") with the
Securities and Exchange Commission (the "SEC") are incorporated by reference
into this Registration Statement:
(a) the Company's latest Transition Report on Form 10-K for the six month
period ended December 31, 2001, filed with the SEC on March 26, 2002;
(b) the Company's Quarterly Report on Form 10-Q for the quarter ended March
31, 2002, filed with the SEC on May 14, 2002; and
(c) the description of the Company's Common Stock contained in the
registration statement on Form 8-A (File No. 000-28272), filed with the SEC
on April 22, 1996 under the Securities Exchange Act of 1934, as amended (the
"Exchange Act").
All reports and other documents subsequently filed by the Company pursuant
to Sections 13(a), 13(c), 14 and 15(d) of 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 herein and to be a
part of this registration statement from the date of the filing of such
reports and documents.
ITEM 4. DESCRIPTION OF SECURITIES
Not applicable.
ITEM 5. INTERESTS OF NAMED EXPERTS AND COUNSEL
Not applicable.
ITEM 6. INDEMNIFICATION OF DIRECTORS AND OFFICERS
The Company's Restated Certificate of Incorporation provides that directors of
the Company shall not be personally liable to the Company or its stockholders
for monetary damages for breach of fiduciary duty as a director, to the fullest
extent permitted by the General Corporation Law of the State of Delaware. The
Company's Restated Bylaws provide for indemnification of officers and directors
to the full extent and in the manner permitted by Delaware law. Section 145 of
the Delaware General Corporation Law makes provision for such indemnification
in terms sufficiently broad to cover officers and directors under certain
circumstances for liabilities arising under the Securities Act of 1933, as
amended.
The Company has entered into indemnification agreements with each director
which provides indemnification under certain circumstances for acts and
omissions which may not be covered by any directors' and officers' liability
insurance.
ITEM 7. EXEMPTION FROM REGISTRATION CLAIMED
Not applicable.
Table of Contents
ITEM 8. EXHIBITS
EXHIBIT
NUMBER
5.1
Opinion of Cooley Godward LLP
23.1
Consent of Ernst & Young LLP, Independent Auditors
23.2
Consent of Cooley Godward LLP (contained in Exhibit 5.1)
24.1
Power of Attorney (contained on the signature page)
99.1
1996 Equity Incentive Plan, as amended
ITEM 9. UNDERTAKINGS
1. The undersigned registrant hereby undertakes:
(a) To file, during any period in which offers or sales are being made, a
post-effective amendment to this registration statement:
(i) To include any prospectus required by section 10(a)(3) of the
Securities Act;
(ii) To reflect in the prospectus any facts or events arising after the
effective date of the registration statement (or the most recent
post-effective amendment thereof) which, individually or in the
aggregate, represent a fundamental change in the information set forth
in the registration statement. Notwithstanding the foregoing, any
increase or decrease in volume of securities offered (if the total
dollar value of securities offered would not exceed that which was
registered) and any deviation from the low or high end of the estimated
maximum offering range may be reflected in the form of prospectus filed
with the Commission pursuant to Rule 424(b) (ss. 230.424(b) of this
chapter) if, in the aggregate, the changes in volume and price represent
no more than a 20% change in the maximum aggregate offering price set
forth in the "Calculation of Registration Fee" table in the effective
registration statement.
(iii) To include any material information with respect to the plan of
distribution not previously disclosed in the registration statement or
any material change to such information in the registration statement;
Provided, however, that paragraphs (a)(i) and (a)(ii) do not apply if
the information required to be included in a post-effective amendment by
those paragraphs is contained in periodic reports filed by the issuer
pursuant to section 13 or section 15(d) of the Exchange Act that are
incorporated by reference herein.
(b) That, for the purpose of determining any liability under the Securities
Act, each such post-effective amendment shall be deemed to be a new
registration statement relating to the securities offered herein, and the
offering of such securities at that time shall be deemed to be the initial
bona fide offering thereof.
(c) To remove from registration by means of a post-effective amendment any
of the securities being registered which remain unsold at the termination of
the offering.
2. The undersigned 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 herein, and the
offering of such securities at that time shall be deemed to be the initial bona
fide offering thereof.
3. 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 Securities and Exchange Commission
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.
Table of Contents
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, the
Company 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 Alameda, State of California, on this 14th day
of June, 2002.
AVIGEN, INC
By:
/s/ John Monahan, Ph.D.
John Monahan, Ph.D.
President and Chief Executive Officer
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears
below constitutes and appoints John Monahan, Ph.D. and Thomas J. Paulson, and
each or any one of them, his true and lawful attorney-in-fact and agent, 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 all 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 in
connection therewith, 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 any of them, or their or his substitutes or substitute, may
lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, as amended,
this Registration Statement has been signed by the following persons in the
capacities and on the dates indicated:
Signatures
Title
Date
/s/ John Monahan, Ph.D.
John Monahan, Ph.D.
President, Chief Executive Officer and Director
June 14, 2002
/s/ Thomas J. Paulson
Thomas J. Paulson
Chief Financial Officer (Principal Financial
Officer and Principal Accounting Officer)
June 14, 2002
/s/ Zola Horovitz, Ph.D.
Zola Horovitz, Ph.D.
Director
June 14, 2002
/s/ Yuichi Iwaki, M.D., Ph.D.
Yuichi Iwaki, M.D., Ph.D.
Director
June 14, 2002
/s/ John K. A. Prendergast, Ph.D.
John K. A. Prendergast, Ph.D.
Director
June 14, 2002
/s/ Philip J. Whitcome, Ph.D.
Philip J. Whitcome, Ph.D.
Director
June 14, 2002
Daniel Vapnek, Ph.D.
Director
Table of Contents
EXHIBIT INDEX
EXHIBIT
NUMBER
5.1
Opinion of Cooley Godward LLP
23.1
Consent of Ernst & Young LLP, Independent Auditors
23.2
Consent of Cooley Godward LLP (contained in Exhibit 5.1)
24.1
Power of Attorney (contained on the signature page)
99.1
1996 Equity Incentive Plan, as amended