-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, P3v2wGfXKZEiLuFwy+AI2M/tVATx0KYhy45DKT+88n+m7A9kmVKUrzulohUFSPFc ywyJulb0fa3k5Xs7w9AKvQ== 0000930413-06-002932.txt : 20060417 0000930413-06-002932.hdr.sgml : 20060417 20060417151455 ACCESSION NUMBER: 0000930413-06-002932 CONFORMED SUBMISSION TYPE: SB-2/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20060417 DATE AS OF CHANGE: 20060417 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN MOLD GUARD INC CENTRAL INDEX KEY: 0001344708 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION SPECIAL TRADE CONTRACTORS [1700] IRS NUMBER: 743077656 FILING VALUES: FORM TYPE: SB-2/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-130889 FILM NUMBER: 06762180 BUSINESS ADDRESS: STREET 1: 9272 JERONIMO ROAD STREET 2: SUITE 122 CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 9494586653 MAIL ADDRESS: STREET 1: 9272 JERONIMO ROAD STREET 2: SUITE 122 CITY: IRVINE STATE: CA ZIP: 92618 SB-2/A 1 c40327_sb2a.htm
          As filed with the Securities and Exchange Commission on April 17, 2006

Registration No. 333-130889


UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549


AMENDMENT NO. 4
TO
FORM SB-2

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933


AMERICAN MOLD GUARD, INC.

(Exact name of Registrant as specified in its charter)

 

 

 

 

 

California

 

1799

 

74-3077656

(State or Other Jurisdiction of
Incorporation or Organization)

 

(Primary Standard Industrial
Classification Code Number)

 

(I.R.S. Employer
Identification No.)

30200 Rancho Viejo Road
Suite G
San Juan Capistrano, California 92675
(949) 240-5144
(949) 240-6144 Facsimile

(Address, including zip code, and telephone number, including area code, of Registrant’s executive offices)


Thomas Blakeley
Chief Executive Officer
American Mold Guard, Inc.
30200 Rancho Viejo Road
Suite G
San Juan Capistrano, California 92675
(949) 240-5144
(949) 240-6144 Facsimile

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


Please send copies of all communications to:

 

 

Joel J. Goldschmidt, Esq.

Debra K. Weiner, Esq.

Morse, Zelnick, Rose & Lander LLP

Wickersham & Murphy, P.C.

405 Park Avenue

430 Cambridge Avenue

Suite 1401

Suite 100

New York, New York 10022

Palo Alto, California 94306

(212) 838-8269

(650) 323-6400

(212) 838-9190 Facsimile

(650) 323-1108 Facsimile



          Approximate date of commencement of proposed sale to the public: As soon as practicable after this Registration Statement becomes effective.

          If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, as amended (the “Securities Act”), check the following box. x

          If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. o

          If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. o

          If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. o

          If delivery of the prospectus is expected to be made pursuant to Rule 434, please check the following box. o






          THE REGISTRANT HEREBY AMENDS THIS REGISTRATION STATEMENT ON SUCH DATE OR DATES AS MAY BE NECESSARY TO DELAY ITS EFFECTIVE DATE UNTIL THE REGISTRANT SHALL FILE A FURTHER AMENDMENT WHICH SPECIFICALLY STATES THAT THIS REGISTRATION STATEMENT SHALL THEREAFTER BECOME EFFECTIVE IN ACCORDANCE WITH SECTION 8(a) OF THE SECURITIES ACT OF 1933 OR UNTIL THIS REGISTRATION STATEMENT SHALL BECOME EFFECTIVE ON SUCH DATE AS THE SECURITIES AND EXCHANGE COMMISSION, ACTING PURSUANT TO SAID SECTION 8(a), MAY DETERMINE.

 


EXPLANATORY NOTE

American Mold Guard, Inc. has prepared this Amendment No. 4 to the Registration Statement on Form SB-2 (file no. 333-130889) for the purpose of filing with the Securities and Exchange Commission an exhibit to the Registration Statement. This Amendment No. 4 does not modify any provision of the Prospectus that forms a part of the Registration Statement and accordingly, such Prospectus has not been included herein.

 


Item 27. Exhibits

 

 

 

 

 

 

 

 

 

 

 

 

 

Exhibit
No.

 

 

Description

 


 




 

 

1

 

 

Form of Underwriting Agreement**

 

 

3.1

 

 

Articles of Incorporation, as amended**

 

 

3.2

 

 

Amended and Restated Bylaws**

 

 

4.1

 

 

Specimen stock certificate**

 

 

4.2

 

 

Form of warrant agreement, including form of Class A and Class B warrants**

 

 

4.3

 

 

Specimen unit certificate**

 

 

4.4

 

 

Revised form of representative’s warrant**

 

 

5.1

 

 

Form of opinion of Morse, Zelnick, Rose & Lander, LLP

 

 

10.1

 

 

American Mold Guard, Inc. Amended and Restated Equity Incentive Plan

 

 

10.2

 

 

Annual Reward Plan**

 

 

10.3

 

 

Employment Agreement - Tom Blakeley**

 

 

10.4

 

 

Employment Agreement - Mark Davidson**

 

 

10.5

 

 

Severance Agreement and Mutual General Release with Brad Barnes**

 

 

10.6

 

 

Joint Marketing Cooperative Endeavor Agreement with Gulf Coast Mold Guard, LLC**

 

 

10.7

(a)

 

Director Nominee Consent – Michael A. Katz**

 

 

 

(b)

 

Director Nominee Consent – Thomas C. Donnelly**

 

 

 

(c)

 

Director Nominee Consent – James Crofton**

 

 

 

(d)

 

Director Nominee Consent – Frank Brandenberg**

 

 

10.8

 

 

Form of Indemnification Agreement for Directors and Officers**

 

 

21

 

 

Subsidiary schedule**

 

 

23.1

 

 

Consent of Haskell & White LLP**

 

 

23.2

 

 

Consent of Morse, Zelnick, Rose & Lander, LLP (included in Exhibit 5.1)

 

 

24

 

 

Power of Attorney (included in signature page)**


 

 


**

Previously filed.

II-5


SIGNATURES

          In accordance with the requirements of the Securities Act of 1933, as amended, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form SB-2 and authorized this Registration Statement to be signed on its behalf by the undersigned, in the City of San Juan Capistrano, State of California on April 17, 2006.

 

 

 

 

AMERICAN MOLD GUARD, INC.

 

 

By: 

/s/ THOMAS BLAKELEY

 

 


 

 

Thomas Blakeley, Chief Executive Officer

          In accordance with the requirements of the Securities Act of 1933, as amended, the following persons have signed this Registration Statement in the capacities indicated on the date set forth above.

 

 

 

 

 

 

 

Signature

 

Title

 

Date

 


 


 


 

 

/s/ THOMAS BLAKELEY

 

Chief Executive Officer and Chairman of the

 

 

 


 

Board of Directors (Principal Executive Officer)

 

April 17, 2006

 

Thomas Blakeley

 

 

 

 

 

 

 

 

 

 

 

/s/ MARK DAVIDSON

 

Chief Financial Officer

 

 

 


 

(Principal Financial and Accounting Officer)

 

April 17, 2006

 

Mark Davidson

 

 

 

 

 

 

 

 

 

 

 

/s/ BRAD BARNES*

 

Director

 

April 17, 2006

 


 

 

 

 

 

Brad Barnes

 

 

 

 

 

 

 

 

 

 

 

/s/ JOHN W. MARTIN*

 

Director

 

April 17, 2006

 


 

 

 

 

 

John W. Martin

 

 

 

 

 

 

 

 

 

 

* By: 

THOMAS BLAKELEY

 

 

 

 

 


 

 

 

 

 

Thomas Blakeley,

 

 

 

 

 

Attorney-in-fact

 

 

 

 

II-7


EX-5.1 2 c40327ex5-1.txt Exhibit 5.1 MORSE, ZELNICK, ROSE & LANDER, LLP 405 PARK AVENUE NEW YORK, NEW YORK 10022 (212) 838-1177 April 17, 2006 American Mold Guard, Inc. 30200 Rancho Viejo Road, Suite G San Juan Capistrano, California 92675 Dear Sirs: We have acted as counsel to American Mold Guard, Inc., a California corporation (the "Company"), in connection with the preparation of a registration statement on Form SB-2 (the "Registration Statement") filed with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "Act"), to register the offering by the Company, including securities which may be issued on the exercise of the over-allotment option, of (a) 1,552,500 units (the "Units"), each consisting of two shares of the Company's common stock, no par value (the "Common Stock"), two Class A warrants (each a "Unit Class A Warrant"), each to purchase one share of Common Stock, and two Class B warrants (a "Unit Class B Warrant") to purchase one share of Common Stock; (b) 3,105,000 shares of Common Stock included in the Units; (c) 3,105,000 Unit Class A Warrants; (d) 3,105,000 Unit Class B Warrants; (e) 3,105,000 shares of Common Stock underlying the Unit Class A Warrants; (f) 3,105,000 shares of Common Stock underlying the Unit Class B Warrants; (g) the warrants to be issued to the representative of the several underwriters to purchase up to 135,000 units identical to the Units (the "Representative's Warrants"); (h)135,000 units underlying the Representative's Warrants; (i) 270,000 shares of Common Stock underlying the units underlying the Representative's Warrant; (j) 270,000 Class A warrants underlying the units underlying the Representative's Warrant; (k) 270,000 Class B warrants underlying the units underlying the Representative's Warrant; (l) 270,000 shares of Common Stock underlying the Class A warrants underlying the units underlying the Representative's Warrant; (m) 270,000 shares of Common Stock underlying the Class B warrants underlying the units underlying the Representative's Warrant; and (n) any additional securities issued pursuant to Rule 462(b) of the Act. The securities described in clauses (a) through (n) above are hereinafter referred to as the "Securities." In this regard, we have reviewed the Company's Articles of Incorporation, as amended, resolutions adopted by the Company's Board of Directors, the Registration Statement, the exhibits to the Registration Statement and such other records, documents, statutes and decisions, as we have deemed relevant in rendering this opinion. Based upon the foregoing, we are of the opinion that the Securities (i) have been duly and validly authorized for issuance; (ii) when issued as contemplated by the Registration Statement and, in the case of those Securities underlying warrants, when issued in accordance with the terms of the applicable warrants, will be legally issued, fully paid and non-assessable. All of the warrants included in the Securities, including without limitation the warrants referred to in clauses (c), (d), (g), (j) and (k) above will, when issued as contemplated in the warrant agreement attached as an exhibit to the Registration Statement, be validly issued and constitute a legally valid and binding obligation of the Company. This opinion is limited to (i) the federal laws of the United States of America, including statutory provisions and reported judicial decisions interpreting those laws and (ii) the laws of the State of California, including statutory provisions, applicable provisions of the California Constitution and reported judicial decisions interpreting those laws. Our affiliates will own 110,000 shares of Common Stock once the offering is completed. We hereby consent to the use of this opinion as Exhibit 5.1 to the Registration Statement and to the reference to our firm in the related prospectus under the heading "Legal Matters." In giving such opinion, we do not thereby admit that we are acting within the category of persons whose consent is required under Section 7 of the Act or the rules or regulations of the Securities and Exchange Commission thereunder. Very truly yours, /S/ MORSE, ZELNICK, ROSE & LANDER, LLP -------------------------------------- MORSE, ZELNICK, ROSE & LANDER, LLP
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