-----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, IuSkuElPFi2zyFA/inTBQY/TpC9ABQ7qvRa2TyY5V2Tsddkq1GX4hxgVgFH62LMo FNPZLUqQlhIKVaglmFQMOg== 0000893220-96-002014.txt : 19961211 0000893220-96-002014.hdr.sgml : 19961211 ACCESSION NUMBER: 0000893220-96-002014 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961125 ITEM INFORMATION: FILED AS OF DATE: 19961210 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: LITHIUM TECHNOLOGY CORP CENTRAL INDEX KEY: 0000804154 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 133411148 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-10446 FILM NUMBER: 96678515 BUSINESS ADDRESS: STREET 1: 5115 CAMPUS DR CITY: PLYMOUTH MEETING STATE: PA ZIP: 19462-1129 BUSINESS PHONE: 2158301392 MAIL ADDRESS: STREET 1: 5115 CAMPUS DR CITY: PLYMOUTH MEETING STATE: PA ZIP: 19462-1129 FORMER COMPANY: FORMER CONFORMED NAME: HILLCRAFT CORP DATE OF NAME CHANGE: 19890807 8-K 1 LITHIUM TECHNOLOGY FORM 8-K DATED 11/25/96 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 25, 1996. LITHIUM TECHNOLOGY CORPORATION (Exact Name of Small Business Issuer as Specified in Its Charter) Delaware 1 10446 13-3411148 - --------------------------------- ----------------- --------------------- State or Other Jurisdiction Commission IRS Employer of Incorporation or Organization File Number Identification No.
5115 Campus Drive, Plymouth Meeting, PA 19462 - ---------------------------------------- -------- Address of Principal Executive Offices Zip Code Registrant's telephone number, including area code: (610) 940-6090 -------------- -------------------------------------------------------------- Former name or former address, if changed since last report 2 Item 9. Sales of Equity Securities Pursuant to Regulation S. On November 25, 1996, and December 2, 1996, Lithium Technology Corporation (the "Company") issued 64,575 and 13,258 shares, respectively, of the Company's common stock pursuant to an exemption from registration under Regulation S of the Securities Act of 1933. The common stock was issued to two institutional investors who were existing stockholders in the Company and who are not "U.S. Persons" (as defined in Rule 902(o) of Regulation S). The Company issued 55,595 shares to one of these stockholders and 22,238 shares to the second stockholder pursuant to the terms of Stock Purchase Agreements relating to a convertible note transaction which was entered into by the parties on October 25, 1996, and reported in the Company's Report on Form 8-K, dated October 25, 1996 (a form of the Stock Purchase Agreement is attached as exhibit 10.31 thereto). The common stock, therefore, was not issued for cash, no underwriter was used, and no underwriter discounts or commissions were paid. The shares were issued to satisfy certain covenants in the aforementioned Stock Purchase Agreements as the result of certain post-closing occurrences. The Company issued the common stock pursuant to Rule 903 of Regulation S and qualifies for such an exemption based on the purchasers' representations set forth in the aforementioned Stock Purchase Agreements including the following: the Company is a Reporting Issuer (as defined in Rule 902(1) of Regulation S); has not made any Directed Selling Efforts (as defined in Rule 902(b) of Regulation S); has implemented Offering Restrictions (as defined in Rule 902(h) of Regulation S); and has not made any offer or sale to any U.S. person or for the account or benefit of any U.S. person. SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. LITHIUM TECHNOLOGY CORPORATION By: /s/ David J. Cade --------------------------------- David J. Cade President and Chief Operating Officer Date: December 10, 1996 2
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