As filed with the Securities and Exchange Commission on June 20, 2003
REGISTRATION NO. 333-
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
APOGEE TECHNOLOGY, INC.
(Exact name of Registrant as specified in its charter)
DELAWARE (State or other jurisdiction of incorporation or organization) |
04-3005815 (I.R.S. Employer Identification Number) |
|
129 Morgan Drive Norwood, Massachusetts 02062 (781) 551-9450 (Address of Principal Executive Offices) |
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APOGEE TECHNOLOGY, INC. 1997 EMPLOYEE, DIRECTOR AND CONSULTANT STOCK OPTION PLAN (Full title of the plan) |
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Herbert M. Stein President and Chief Executive Officer Apogee Technology, Inc. 129 Morgan Drive Norwood, Massachusetts 02062 (781) 551-9450 (Name, address, including zip code, and telephone number, including area code, of agent for service) |
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Copies to: Megan N. Gates, Esq. Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. One Financial Center Boston, Massachusetts 02111 (617) 542-6000 |
CALCULATION OF REGISTRATION FEE
Title of securities to be registered |
Amount to be registered (1) |
Proposed maximum offering price per share (3) |
Proposed maximum aggregate offering price (3) |
Amount of registration fee |
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---|---|---|---|---|---|---|---|---|
Common Stock, $.01 par value | 500,000 (2) | $10.50 | $5,250,000 | $425.00 | ||||
This Registration Statement is filed pursuant to General Instruction E of Form S-8 in order to register additional securities of the same class as other securities for which a registration statement relating to the Plan is effective.
On May 23, 2001 and June 14, 2002, the Registrant filed a registration statement on Form S-8 (Commission File Number 333- 61486) to register an aggregate of 974,900 and 500,000, respectively, shares of Common Stock reserved for issuance under the Plan. The filing of this Registration Statement increases the number of shares registered for issuance under the Plan by 500,000 shares. The contents of the previously filed registration statement relating to the Plan are incorporated by reference herein, except for the items that are set forth below. Pursuant to Instruction E, this Registration Statement contains such information required by Form S-8 that is not otherwise included in the previous registration statement.
PART I
INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS
The document(s) containing the information specified in Part I will be sent or given to employees as specified by Rule 428(b)(1) of the Securities Act of 1933, as amended (the "Securities Act"). Such documents are not being filed with the Securities and Exchange Commission (the "Commission") either as part of this Registration Statement or as prospectuses or prospectus supplements pursuant to Rule 424 of the Securities Act. Such documents and the documents incorporated by reference in this Registration Statement pursuant to Item 3 of Part II of this Form, taken together, constitute a prospectus that meets the requirements of Section 10(a) of the Securities Act.
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PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 3. Incorporation of Documents by Reference.
The following documents filed by the Registrant with the Commission are incorporated herein by reference:
All reports and other documents filed by the Registrant after the date hereof 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 hereby have been sold or which deregisters all securities then remaining unsold, shall be deemed to be incorporated by reference herein and to be part hereof from the date of filing of such reports and documents.
Item 4. Description of Securities.
Not applicable.
Item 5. Interests of Named Experts and Counsel.
The validity of the issuance of the shares of Common Stock registered under this Registration Statement has been passed upon for the Registrant by Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. of Boston, Massachusetts. Members of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. and certain members of their families and trusts for their benefit own an aggregate of approximately XXXX shares of Common Stock of the Company.
Item 6. Indemnification of Directors and Officers.
Incorporated herein by reference from the Registrant's Registration Statement on Form 10-SB, as amended, File No. 000-17053.
Item 7. Exemption from Registration Claimed.
Not applicable.
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Item 8. Exhibits.
The following exhibits are filed herewith or incorporated herein by reference:
(5) | Opinion of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. as to the legality of shares being registered. | |
(23.1) |
Consent of Yohalem Gillman & Company LLP. |
|
(23.2) |
Consent of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. (included in opinion of counsel filed as Exhibit 5). |
|
(24.1) |
Powers of Attorney (included on the signature page of this Registration Statement). |
|
(99.1) |
Apogee Technology, Inc. 1997 Employee, Director and Consultant Stock Option Plan, as amended. |
Item 9. Undertakings.
Provided, however, that paragraphs (a)(1)(i) and (a)(1)(ii) do not apply if the Registration Statement is on Form S-3 or Form S-8, and the information required to be included in a post-effective amendment by those paragraphs is contained in periodic reports filed by the Registrant pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 that are incorporated by reference in this Registration Statement.
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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 Norwood, Massachusetts on June 20, 2003.
APOGEE TECHNOLOGY, INC. | |||
By: |
/s/ HERBERT M. STEIN Herbert M. Stein Chairman of the Board, President and Chief Executive Officer |
Each person whose signature appears below constitutes and appoints David Spiegel and Herbert M. Stein, 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, for him and in his 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 Apogee Technology, Inc., 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 or necessary to be done in or about the premises, 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 any of them or their or his or her substitute or 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 dates indicated.
Signatures |
Title |
Date |
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/s/ HERBERT M. STEIN Herbert M. Stein |
President and Chief Executive Officer Chairman of the Board of Directors |
June 20, 2003 | ||
/s/ DAVID SPIEGEL David Spiegel |
Secretary and Treasurer and Director (principal financial and accounting officer) |
June 20, 2003 |
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/s/ SHERYL STEIN Sheryl Stein |
Director |
June 20, 2003 |
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/s/ ALAN W. TUCK Alan W. Tuck |
Director |
June 20, 2003 |
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APOGEE TECHNOLOGY, INC.
INDEX TO EXHIBITS FILED WITH
FORM S-8 REGISTRATION STATEMENT
Exhibit Number |
Description |
|
---|---|---|
5 | Opinion of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. as to the legality of shares being registered. | |
23.1 |
Consent of Yohalem Gillman & Company LLP. |
|
23.2 |
Consent of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. (included in opinion of counsel filed as Exhibit 5). |
|
24.1 |
Powers of Attorney (included on the signature page of this Registration Statement). |
|
99.1 |
Apogee Technology, Inc. 1997 Employee, Director and Consultant Stock Option Plan, as amended. |