-----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, TOpuemJWQ4TRt/y/93xUOKhh1jvesHvg5lrA4pUAVWpYoOwh6+jjNSaEslGKD9EA fiFCg8ykRhGxo7v63qJtbg== 0000948830-02-000116.txt : 20020416 0000948830-02-000116.hdr.sgml : 20020416 ACCESSION NUMBER: 0000948830-02-000116 CONFORMED SUBMISSION TYPE: S-3/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020411 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DELTA PETROLEUM CORP/CO CENTRAL INDEX KEY: 0000821483 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 841060803 STATE OF INCORPORATION: CO FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: S-3/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-84642 FILM NUMBER: 02607930 BUSINESS ADDRESS: STREET 1: 555 17TH ST STE 3310 CITY: DENVER STATE: CO ZIP: 80202 BUSINESS PHONE: 3032939133 MAIL ADDRESS: STREET 1: 555 17TH STREET STREET 2: SUITE 3310 CITY: DENVER STATE: CO ZIP: 80202 S-3/A 1 deltas3a1.txt DELTA PETROLEUM CORPORATION S-3 AMEND 1 As Filed With the Securities and Exchange Commission on April 11, 2002 Registration Statement No. 333-84642 ============================================================================= UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 to the FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 DELTA PETROLEUM CORPORATION (Exact name of registrant as specified in its charter) Colorado (State or jurisdiction of incorporation or organization) 84-1060803 (I.R.S. Employer Identification Number) 475 17th Street, Suite 1400 Denver, Colorado 80202 (303) 293-9133 (Address and telephone number of issuer's principal executive offices) Roger A. Parker, Chief Executive Officer 475 17th Street, Suite 1400 Denver, Colorado 80202 (303) 293-9133 (Name, address and telephone number of agent for service) Approximate date of proposed sale to public: As soon as the registration statement is effective. If the only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans, please check the following box [ ] 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, 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, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. [ ] 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. [ ] If delivery of the prospectus is expected to be made pursuant to Rule 434, please check the following box. [ ] 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 the registration statement shall become effective on such date as the Commission, acting pursuant to said Section 8(a), may determine. CALCULATION OF REGISTRATION FEE ============================================================================= Proposed Estimated Maximum Title of Each Offering Aggregate Amount of Class of Securities Amount to be Price Offering Registration to be Registered Registered(1) Per Unit Price Fee - ----------------------------------------------------------------------------- Common Stock, $.01 par value 1,503,669 $4.28(2) $6,435,703.02 $592.08(3) Common Stock, $.01 par value 137,476 $4.65(4) $ 639,263.40 $ 58.81 ------- $650.89(5) ============================================================================= (1) In the event of a stock split, stock dividend or similar transaction involving our common stock, in order to prevent dilution, the number of shares registered shall automatically be increased to cover the additional shares in accordance with Rule 416(a) under the Securities Act of 1933, as amended (the "Securities Act"). (2) In accordance with Rule 457(c), the aggregate offering price of our stock was estimated solely for calculating the registration fees due for the initial filing of this Registration Statement. This estimate was based on the average of the high and low sales price of our stock reported by the Nasdaq Small-Cap Market on March 15, 2002, which was $4.275 per share. (3) This amount was paid with the original filing on March 20, 2002. (4) In accordance with Rule 457(c), the aggregate offering price of our stock is estimated solely for calculating the registration fees due for the filing of this Amendment to the Registration Statement. This estimate was based on the average of the high and low sales price of our stock reported by the Nasdaq Small-Cap Market on April 8, 2002, which was $4.65 per share. (5) Of this amount, $592.08 was paid with the original filing on March 20,2002. 2 This amendment to Delta Petroleum Corporation's registration statement on Form S-3 filed on March 20, 2002 relates solely to the registration of an additional 137,476 shares held by the following selling shareholders: No. of shares No. of shares No. of shares owned prior being sold held after Name to offering in offering offering - ---- -------------- ------------- ------------- John C. Thomas 68,738 68,738 -0- BHCH Properties, Ltd. 34,369 34,369 -0- BHCH Mineral, Ltd. 34,369 34,369 -0- 3 SIGNATURES Pursuant to the requirements of the Securities Act of 1933, the Company has caused this Amendment No. 1 to the Registration Statement on Form S-3 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Denver and State of Colorado on the 10th day of April, 2002. DELTA PETROLEUM CORPORATION By: /s/ Roger A. Parker --------------------------------- Roger A. Parker, Chief Executive Officer By: /s/ Kevin K. Nanke --------------------------------- Kevin K. Nanke, Chief Financial Officer Pursuant to the requirements of the Securities Act of 1933, this Amentment No. 1 to the Registration Statement on Form S-3 has been signed below by the following persons on our behalf and in the capacities and on the dates indicated. Signature and Title Date - ------------------- ---- /s/ Aleron H. Larson, Jr. April 10, 2002 - ---------------------------------- Aleron H. Larson, Jr., Director /s/ Roger A. Parker April 10, 2002 - ---------------------------------- Roger A. Parker, Director /s/ James B. Wallace April 10, 2002 - ---------------------------------- James B. Wallace, Director /s/ Jerrie F. Eckelberger April 10, 2002 - ---------------------------------- Jerrie F. Eckelberger, Director 4 -----END PRIVACY-ENHANCED MESSAGE-----