15F-12B 1 p14806e15fv12b.htm FORM 15F-12B e15fv12b
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 15F
CERTIFICATION OF A FOREIGN PRIVATE ISSUER’S TERMINATION OF
REGISTRATION OF A CLASS OF SECURITIES UNDER SECTION 12(g) OF THE
SECURITIES EXCHANGE ACT OF 1934 OR ITS TERMINATION OF THE DUTY TO
FILE REPORTS UNDER SECTION 13(a) OR SECTION 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
Commission File Number 001-08346
TDK Kabushiki Kaisha
 
(Exact name of registrant as specified in its charter)
TDK CORPORATION
 
(Translation of registrant’s name into English)
13-1, Nihonbashi 1-chome
Chuo-ku, Tokyo 103-8272
Japan
+81-3-5201-7116
 
(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)
American Depository Shares, each representing one share of Common Stock
 
(Title of each class of securities covered by this Form)
Place an X in the appropriate box(es) to indicate the provision(s) relied upon to terminate the duty to file reports under the Securities Exchange Act of 1934:
     
Rule 12h-6(a) þ
(for equity securities)
  Rule 12h-8(d) o
(for successor registrants)
     
Rule 12h-8(c) o
(for debt securities)
  Rule 12h-6(i) o
(for prior Form 15 filers)
 
 

 


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PART I
Item 1. Exchange Act Reporting History
Item 2. Recent United States Market Activity
Item 3. Foreign Listing and Primary Trading Market
Item 4. Comparative Trading Volume Data
Item 5. Alternative Record Holder Information
Item 6. Debt Securities
Item 7. Notice Requirement
Item 8. Prior Form 15 Filers
PART II
Item 9. Rule 12g3-2(b) Exemption
PART III
Item 10. Exhibits
Item 11. Undertakings
Signature


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PART I
Item 1. Exchange Act Reporting History
A.   TDK Kabushiki Kaisha (the “Registrant”) first incurred the duty to file reports under section 13(a) or section 15(d) of the Securities Exchange Act of 1934 (the “Exchange Act”) on or about May 7, 1982 upon its registration statement on Form S-1, as amended (File No. 002-76735) (the “Form S-1”), being declared effective by the Securities and Exchange Commission (the “Commission”).
 
B.   The Registrant has filed or submitted all reports required under Exchange Act section 13(a) and section 15(d) and corresponding Commission rules for the 12 months preceding the filing of this Form and has filed at least one annual report under section 13(a).
Item 2. Recent United States Market Activity
The Registrant’s securities were last sold in the United States in a registered offering under the Securities Act of 1933, as amended, required to be disclosed under this Item in May 1982 pursuant to the Form S-1.
Item 3. Foreign Listing and Primary Trading Market
A.   The primary trading market for the Registrant’s common stock is the Tokyo Stock Exchange (the “TSE”).
 
B.   The Registrant’s common stock was initially listed on the TSE on October 2, 1961. The Registrant has maintained a listing of its common stock on the TSE for at least the 12 months preceding the filing of this Form.
 
C.   During the 12-month period beginning April 1, 2008 and through and including March 31, 2009, 96.59% of trading in the Registrant’s common stock occurred on the TSE.
Item 4. Comparative Trading Volume Data
A.   The Registrant is relying on Rule 12h-6(a)(4)(i) and is using the 12-month period beginning April 1, 2008 and through and including March 31, 2009 to meet the requirements of that rule provision.
 
B.   During this 12-month period, the average daily trading volume (“ADTV”) of the Registrant’s common stock in the United States (including off-exchange and on-exchange transactions) was 39,702 shares and the ADTV of the Registrant’s common stock on a worldwide basis was 1,550,450 shares.
 
C.   For the same 12-month period, the ADTV of the Registrant’s common stock in the United States as a percentage of the ADTV for the Registrant’s common stock on a worldwide basis was 2.56%.
 
D.   The Registrant delisted its common stock from the New York Stock Exchange effective April 27, 2009 (with April 24, 2009 as the last day of trading on the New York Stock Exchange). As of April 27, 2009, the ADTV of the Registrant’s common stock in the United States as a percentage of the ADTV for the Registrant’s common stock on a worldwide basis for the preceding 12-month period was 2.585%.
 
E.   The Registrant has not terminated its sponsored American Depositary Receipt (“ADR”) facility regarding its common stock.
 
F.   The source of the trading volume information used for determining whether the Registrant meets the requirements of Rule 12h-6 is Bloomberg L.P. with respect to on-exchange and off-exchange transactions in the United States, public data with respect to the TSE on-exchange transactions and information by the London Stock Exchange with respect to transactions on such exchange.
Item 5. Alternative Record Holder Information
Not applicable.
Item 6. Debt Securities
Not applicable.

 


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Item 7. Notice Requirement
A.   The Registrant published the notice, required by Exchange Act Rule 12h-6(h), disclosing its intent to terminate its duty to file reports under section 13(a) and section 15(d) of the Exchange Act, by means of a press release issued on April 7, 2009.
 
B.   The press release described above was disseminated by major financial news wire services in the United States and submitted to the Commission on Form 6-K on April 7, 2009. Additionally, the notice was published on the Registrant’s Internet website.
Item 8. Prior Form 15 Filers
Not applicable.
PART II
Item 9. Rule 12g3-2(b) Exemption
     The Registrant will publish the information required by Rule 12g3-2(b)(1)(iii) on its Internet website at http://www.tdk.co.jp/tetop01/index.htm.
PART III
Item 10. Exhibits
None.
Item 11. Undertakings
The undersigned issuer hereby undertakes to withdraw this Form 15F if, at any time before the effectiveness of its termination of reporting under Rule 12h-6, it has actual knowledge of information that causes it reasonably to believe that, at the time of filing the Form 15F:
(1) The average daily trading volume of its subject class of securities in the United States exceeded 5 percent of the average daily trading volume of that class of securities on a worldwide basis for the same recent 12-month period that the issuer used for purposes of Rule 12h-6(a)(4)(i);
(2) Its subject class of securities was held of record by 300 or more United States residents or 300 or more persons worldwide, if proceeding under Rule 12h-6(a)(4)(ii) or Rule 12h-6(c); or
(3) It otherwise did not qualify for termination of its Exchange Act reporting obligations under Rule 12h-6.

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Signature
Pursuant to the requirements of the Securities Exchange Act of 1934, TDK Kabushiki Kaisha has duly authorized the undersigned person to sign on its behalf this certification on Form 15F. In so doing, TDK Kabushiki Kaisha certifies that, as represented on this Form, it has complied with all of the conditions set forth in Rule 12h-6 for terminating its registration under section 12(g) of the Exchange Act, or its duty to file reports under section 13(a) or section 15(d) of the Exchange Act, or both.
Dated: April 27, 2009
         
  TDK Kabushiki Kaisha
 
 
  By:    /s/ Hajime Sawabe  
    Name:   Hajime Sawabe   
    Title:   CEO and Representative Director