8-K 1 g0813.txt CURRENT REPORT DATED 11/30/04 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 1934 Date of Report (date of earliest event reported): November 30, 2004 Nano Superlattice Technology, Inc. (Exact name of registrant as specified in charter) Delaware (State or other jurisdiction of incorporation) 000-50177 95-4735252 (Commission File Number) (IRS Employer Identification No.) No. 666, Jhensing Rd., Gueishan Township, Taoyuan County 333, Taiwan, R.O.C. (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: 011-86-3-3498677 Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of registrant under any of the following provisions: [ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) [ ] Soliciting material pursuant to Rule 14a-12(b) under the Exchange Act (17 CFR 240.14a-12(b)) [ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) [ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ITEM 3.02. UNREGISTERED SALES OF EQUITY SECURITIES On November 30, 2004, the Registrant entered into definitive subscription agreements for the private offering of an aggregate of 4,971,000 shares (the "Shares") of common stock to individual investors for proceeds of approximately $1.96 million. The Registrant claims an exemption from registration of the Shares under Section 4(2), Regulation D and Regulation S promulgated under the Securities Act of 1933, as amended. The Registrant claims exemption from registration of the Shares and in doing so has relied on certain representations and warranties made by the investors in their respective subscription agreements that they are accredited investors and/or non-US Persons. 1 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. NANO SUPERLATTICE TECHNOLOGY, INC. By /s/ Alice Hwang ---------------------------------- Name: Alice Hwang Title: Chief Executive Officer and President Dated: March 30, 2005 2