-----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, TyFlId3c/pUcItCzX/CKIeOuNHxktxKxAIuvOkdXBkT76RZIV8joCmFbbhWtgH+1 pkbB0ubRXu6CCklsJOqndg== 0000912593-09-000040.txt : 20090629 0000912593-09-000040.hdr.sgml : 20090629 20090512093642 ACCESSION NUMBER: 0000912593-09-000040 CONFORMED SUBMISSION TYPE: S-3/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20090512 DATE AS OF CHANGE: 20090518 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SUN COMMUNITIES INC CENTRAL INDEX KEY: 0000912593 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 382730780 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-3/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-158623 FILM NUMBER: 09817276 BUSINESS ADDRESS: STREET 1: 27777 FRANKLIN ROAD STREET 2: SUITE 200 CITY: SOUTHFIELD STATE: MI ZIP: 48034 BUSINESS PHONE: 2482082500 MAIL ADDRESS: STREET 1: 27777 FRANKLIN ROAD STREET 2: SUITE 200 CITY: SOUTHFIELD STATE: MI ZIP: 48034 S-3/A 1 preeffectiveamendmentno1.htm PRE-EFFECTIVE AMENDMENT #1 TO REGISTRATION STATMENT

As filed with the Securities and Exchange Commission on May 12, 2009. Registration No. 333-158623

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

_______________

 

FORM S-3

 

PRE-EFFECTIVE AMENDMENT NO. 1 TO

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

______________

SUN COMMUNITIES, INC.

(Exact name of registrant as specified in its governing instrument)

 

Maryland

(State or Other Jurisdiction of Incorporation or Organization)

38-2730780

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

___________

 

Gary A. Shiffman

Chief Executive Officer

27777 Franklin Road

Suite 200

Southfield, Michigan 48034

(248) 208-2500

(Name, Address, Including Zip Code, and Telephone Number, Including Area Code, of Agent for Service)

_______________

Copies of all correspondence to:

Lee B. Kellert, Esq.

Jaffe, Raitt, Heuer & Weiss, P.C.

27777 Franklin Road

Suite 2500

Southfield, Michigan 48034

(248) 351-3000

 

Approximate date of commencement of proposed sale to the public: From time to time after the effective date of this Registration Statement as determined by market conditions.

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, other than securities offered only in connection with dividend or interest reinvestment plans, please 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 this Form is a registration statement pursuant to General Instruction I.D. or a post-effective amendment thereto that shall become effective upon filing with the Commission pursuant to Rule 462(e) under the Securities Act, check the following box. ____

If this Form is a post-effective amendment to a registration statement filed pursuant to General Instruction I.D. filed to register additional securities or additional classes of securities pursuant to Rule 413(b) under the Securities Act, check the following box. ____

 

Indicate by check mark whether the registrant is a large accelerated filer, a non-accelerated filer or a small reporting company. See definition of “accelerated filer,” “large accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act (Check One):

 

Large accelerated filer [ ]

Accelerated filer [ X ]

Non-accelerated filer [ ]

Smaller reporting company [ ]

 

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 (the “Securities Act”) or until the Registration Statement shall become effective on such date as the Commission, acting pursuant to said Section 8(a), may determine.

 


Explanatory Note

 

We are filing this Pre-Effective Amendment No. 1 to the Registration Statement on Form S-3 (File No. 333-158623) for the purpose of providing an additional undertaking and updating our Exhibit Index.

 

Part II

 

 

Information Not Required in Prospectus

 

 

Item 16.

Exhibits

 

The exhibits to the Registration Statement are listed in the Exhibit Index which appears elsewhere in this Registration Statement and is hereby incorporated by reference.

 

Item 17.

Undertakings

 

 

The undersigned Registrant hereby undertakes:

 

(1)          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 of 1933;

 

 

(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 this registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value 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) 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 set forth in this registration statement; and

 

 

(iii)

To include any material information with respect to the plan of distribution not previously disclosed in this registration statement or any material change to such information in this registration statement;

 

Provided however, that Paragraphs (a)(1)(i) and (a)(1)(ii) of this section do not apply if the registration statement is on Form S-8, and the information required to be included in a post-effective amendment by those paragraphs is contained in reports filed with or furnished to the Commission by the registrant pursuant to section 13 or section 15(d) of the Securities Exchange Act of 1934 that are incorporated by reference in the registration statement; and

 

Paragraphs (a)(1)(i), (a)(1)(ii) and (a)(1)(iii) of this section do not apply if the registration statement is on Form S-3 or Form F-3 and the information required to be included in a post-effective amendment by those paragraphs is contained in reports filed with or furnished to the Commission by the registrant pursuant to section 13 or section 15(d) of the Securities Exchange Act of 1934 that are incorporated by reference in the registration statement, or is contained in a form of prospectus filed pursuant to Rule 424(b) that is part of the registration statement.

 

(2)          That, for the purpose of determining any liability under the Securities Act of 1933, 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.

 

(3)          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.

 

(4)          That, for the purpose of determining liability under the Securities Act of 1933 to any purchaser, each prospectus filed pursuant to Rule 424(b) as part of a registration statement relating to an offering, other than registration statements relying on Rule 430B or other than prospectuses filed in reliance on Rule 430A, shall be deemed to be part of and included in the registration statement as of the date it is first used after effectiveness. Provided, however, that no statement made in a registration statement or prospectus that is part of the registration statement or made in a document incorporated or deemed incorporated by reference into the registration statement or prospectus that is part of the registration statement will, as to a purchaser with a time of contract of sale prior to such first use, supersede or modify any statement that was made in the registration statement or prospectus that was part of the registration statement or made in any such document immediately prior to such date of first use.

 


(5)          That, for purposes of determining any liability under the Securities Act of 1933, each filing of the registrant’s annual report pursuant to section 13(a) or section 15(d) of the Securities Exchange Act of 1934 (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to section 15(d) of the Securities Exchange Act of 1934) that is incorporated by reference in the registration statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.

 

(6)          The undersigned registrant hereby undertakes to file an application for the purpose of determining the eligibility of the trustee to act under subsection (a) of Section 310 of the Trust Indenture Act in accordance with the rules and regulations prescribed by the Commission under Section 305(b)(2) of the Act.

 

Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing 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 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 Act and will be governed by the final adjudication of such issue.

 


SIGNATURES

 

Pursuant to the requirements of the Securities Act, the Registrant certifies that it has reasonable grounds to believe that it meets all the requirements for filing on Form S-3 and has duly caused this Pre-Effective Amendment No. 1 to Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Southfield, State of Michigan, on May 11, 2009.

 

 

 

SUN COMMUNITIES, INC.,

a Maryland corporation

 

 

By: 


/s/ Karen J. Dearing

 

 

Karen J. Dearing, Chief Financial Officer,

Secretary and Principal Accounting Officer

 

 

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 date indicated.

 

 

Name

 

Title

 

Date

 

/s/ Gary A. Shiffman

Gary A. Shiffman

 

 

Chief Executive Officer and Chairman of the Board of Directors

 

 

May 12, 2009

 

*_____________________

Karen J. Dearing

 

Executive Vice President, Treasurer, Chief Financial Officer, Secretary and Principal Accounting Officer

 

 

May 12, 2009

 

*_____________________

Paul D. Lapides

 

 

Director

 

 

May 12, 2009

 

*_____________________

Ted J. Simon

 

 

Director

 

 

 

May 12, 2009

 

*_____________________

Clunet R. Lewis

 

 

Director

 

 

 

May 12, 2009

 

*_____________________

Ronald L. Piasecki

 

 

Director

 

 

 

May 12, 2009

 

*_____________________

Arthur A. Weiss

 

 

 

Director

 

 

 

May 12, 2009

 

*_____________________

Robert H. Naftaly

 

 

 

Director

 

 

 

May 12, 2009

 

*_____________________

Stephanie W. Bergeron

 

 

 

Director

 

 

 

May 12, 2009

 

 

By:

/s/ Gary A. Shiffman

 

Gary A. Shiffman

 

Attorney-in-Fact

 

 


 

INDEX TO EXHIBITS

 

 

Exhibit No.

 

Description

 

1.1

 

Form of Underwriting Agreement (1)

 

4.1

 

Rights Agreement, dated as of June 2, 2008, between Sun Communities, Inc. and Computershare Trust Company, N.A., as Rights Agent (filed with the SEC on June 3, 2008).

 

4.2

 

Form of Senior Indenture*

 

4.3

 

Form of Subordinated Indenture*

 

4.4

 

Form of Senior Debt Security*

 

4.5

 

Form of Subordinated Debt Security*

 

4.6

 

Form of Securities Warrant Agreement*

 

5.1

 

Opinion of Jaffe, Raitt, Heuer & Weiss, Professional Corporation as to the legality of securities*

 

8.1

 

Opinion of Jaffe, Raitt, Heuer & Weiss, Professional Corporation, as to certain tax matters*

 

12.1

 

Calculation of Ratios of Earnings to Fixed Charges*

 

23.1

 

Consent of Grant Thornton, independent registered public accounting firm*

 

23.2

 

Consent of Jaffe, Raitt, Heuer & Weiss, Professional Corporation (included in Exhibit 5.1)

 

24.1

 

Powers of Attorney*

 

25.1

 

Statement of Eligibility on Form T-1 under the Trust Indenture Act of 1939, as amended (2)

 

25.2

 

Statement of Eligibility on Form T-1 under the Trust Indenture Act of 1939, as amended (2)

 

*Previously Filed

 

(1)  If applicable, to be subsequently filed by amendment or as an exhibit to a current report on Form 8-K or other applicable report filed with the SEC and incorporated herein by reference.

(2)  To be subsequently filed pursuant to Section 305(b)(2) of the Trust Indenture Act of 1939, as amended.

 

 

 

 

 

CORRESP 2 filename2.htm

[Sun Communities, Inc. Letterhead]

 

May 12, 2009

VIA EDGAR AND FACSIMILE (703-813-6984)

 

Mr. Philip L. Rothenberg

United States Securities and Exchange Commission

Division of Corporation Finance

Mail Stop 3010

100 F Street, N.E.

Washington, D.C. 20549

 

Re: Sun Communities, Inc.

Registration Statement on Form S-3

Filed April 17, 2009

File No. 333-158623

 

Dear Mr. Rothenberg:

 

This letter is submitted on behalf of Sun Communities, Inc. (the “Company”) in response to the comment of the staff of the Division of Corporation Finance (the “Staff”) of the Securities and Exchange Commission (the “Commission”) with respect to the Company’s Registration Statement on Form S-3 filed on April 17, 2009 (File No. 333-158623) (the “Registration Statement”), as set forth in your letter dated May 4, 2009, addressed to me.

 

Comment:

 

Please file the undertaking required by Item 512(j) of Regulation S-K.

 

Response to Comment:

 

We have made the requested change.

 

Comment:

 

For your senior indenture and subordinated indenture, please file the statement of eligibility of the trustee as an exhibit as required by Item 601(b)(25) of Regulation S-K. If you do not know who the trustee will be at the time of effectiveness, you should file separately an electronic form type “305B2” after effectiveness, not on a post-effective amendment or a Form 8-K, and indicate this in the exhibit index.

 

Response to Comment:

 

We have made the requested change.

 


Please do not hesitate to contact me at (248) 208-2500 if any questions arise concerning the response contained in this letter or any other matters related to the Company’s filings with the Commission.

 

 

 

 

Very truly yours,

 

 

 

 

 

 

 

By: /s/ Gary A. Shiffman

 

 

 

Gary A. Shiffman

 

 

 

Chief Executive Officer

 

cc: Lee Kellert, Esquire

 

 

 

CORRESP 3 filename3.htm

[SUN LETTERHEAD]

 

May 12, 2009

 

                Via EDGAR and facsimile at 703-813-6984

Mr. Philip Rothenberg

Securities and Exchange Commission

Division of Corporation Finance

100 F Street NE

Washington, D.C. 20549

 

 

Re:

Sun Communities, Inc. (the “Company”)

Registration Statement on Form S-3

Registration No. 333-158623 (“Registration Statement”)

 

Dear Mr. Rothenberg:

 

Pursuant to Rule 461, request is hereby made that the Registration Statement be declared effective on May 14, 2009, or as soon as practicable thereafter. The undersigned acknowledges that:

 

 

Should the Commission or the staff, acting pursuant to delegated authority, declare the filing effective, it does not foreclose the Commission from taking any action with respect to the filing;

 

The action of the Commission or the staff, acting pursuant to delegated authority, in declaring the filing effective, does not relieve the Company from its full responsibility for the adequacy and accuracy of the disclosure in the filing; and

 

The Company may not assert the declaration of effectiveness as a defense in any proceeding initiated by the Commission or any person under the federal securities laws of the United States.

 

 


The undersigned is aware of the responsibilities under the Securities Act of 1933 and the Securities Exchange Act of 1934 as they relate to the proposed public offering of the securities specified in the above-referenced registration statement.            

 

 

Very truly yours,

 

 

SUN COMMUNITIES, INC.,

 

 

By: 


/s/ Karen J. Dearing

 

 

Karen J. Dearing, Executive Vice President, Chief Financial Officer, Treasurer and Secretary

                

 

 

 

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