-----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, Vl+HphJr6+NX/sIATFAQEA/RuOX4lgJVwHXSg8x2n466kkpwGRHO0irsJZb9Rvh+ ihm5Uu/DEFXuiEZFeFwKBA== 0000936392-97-001700.txt : 19971230 0000936392-97-001700.hdr.sgml : 19971230 ACCESSION NUMBER: 0000936392-97-001700 CONFORMED SUBMISSION TYPE: POS AM PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971229 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: MAXWELL TECHNOLOGIES INC CENTRAL INDEX KEY: 0000319815 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPUTERS [3571] IRS NUMBER: 952390133 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: POS AM SEC ACT: SEC FILE NUMBER: 333-36853 FILM NUMBER: 97745298 BUSINESS ADDRESS: STREET 1: 9275 SKY PARK COURT CITY: SAN DIEGO STATE: CA ZIP: 92123 BUSINESS PHONE: 6192795100 MAIL ADDRESS: STREET 1: 8888 BALBOA AVE STREET 2: 8888 BALBOA AVE CITY: SAN DIEGO STATE: CA ZIP: 92123 FORMER COMPANY: FORMER CONFORMED NAME: MAXWELL LABORATORIES INC /DE/ DATE OF NAME CHANGE: 19920703 POS AM 1 POST-EFFECTIVE AMENDMENT #1 TO FORM S-3 1 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON DECEMBER 29, 1997 REGISTRATION NO. 333-36853 ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------------------ POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ------------------------ MAXWELL TECHNOLOGIES, INC. (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) DELAWARE 95-2390133 (STATE OR OTHER JURISDICTION OF (I.R.S. EMPLOYER INCORPORATION OR ORGANIZATION) IDENTIFICATION NO.)
9275 SKY PARK COURT SAN DIEGO, CALIFORNIA 92123 (619) 279-5100 (ADDRESS, INCLUDING ZIP CODE, AND TELEPHONE NUMBER, INCLUDING AREA CODE, OF REGISTRANT'S PRINCIPAL EXECUTIVE OFFICES) ------------------------ DONALD M. ROBERTS, ESQ. GENERAL COUNSEL MAXWELL TECHNOLOGIES, INC. 9275 SKY PARK COURT SAN DIEGO, CALIFORNIA 92123 (619) 279-5100 (NAME, ADDRESS, INCLUDING ZIP CODE, AND TELEPHONE NUMBER, INCLUDING AREA CODE, OF AGENT FOR SERVICE) ------------------------ COPIES TO: ROGER H. LUSTBERG, ESQ. BRUCE R. HALLETT, ESQ. THOMAS A. WALDMAN, ESQ. GREG T. WILLIAMS, ESQ. RIORDAN & MCKINZIE BROBECK, PHLEGER & HARRISON LLP 300 SOUTH GRAND AVENUE, 29TH FLOOR 4675 MACARTHUR COURT, SUITE 1000 LOS ANGELES, CALIFORNIA 90071 NEWPORT BEACH, CA 92660
=============================================================================== 2 This Post-Effective Amendment No. 1 is being filed pursuant to Registration Statement No. 333-36853, as amended (the "Registration Statement"), on which Maxwell Technologies, Inc. ("Registrant") registered 1,811,250 shares of its Common Stock, $0.10 par value (the "Shares"), to be offered and sold by Registrant and certain of its stockholders (the "Selling Stockholders") in a firm commitment underwritten public offering through a group of underwriters represented by Cowen & Company and Hambrecht & Quist (collectively, the "Representatives"). The Commission declared the Registration Statement effective on November 10, 1997. On November 14, 1997, Registrant issued an aggregate of 1,500,000 of the Shares to the Representatives, and the Selling Stockholders sold an aggregate of 75,000 of the Shares to the Representatives. The Representatives have chosen not to exercise their option to purchase up to an additional 236,250 Shares to cover any over-allotments, and consequently, as of the date hereof, 236,250 of the Shares covered by the Registration Statement remain unissued. Registrant is filing this Post-Effective Amendment No. 1 to deregister these 236,250 unissued Shares. Registrant has terminated the offering covered by the Registration Statement, has no further plans to issue any of the remaining Shares pursuant to the Registration Statement, and desires that the Registration Statement no longer be considered effective. 3 SIGNATURES Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-3 and has duly caused this Post-Effective Amendment No. 1 to Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized in the City of San Diego, State of California, on this 23rd day of December, 1997. MAXWELL TECHNOLOGIES, INC. By: /s/ GARY J. DAVIDSON ------------------------------------ Gary J. Davidson Vice President -- Finance and Administration, Chief Financial Officer and Treasurer Pursuant to the requirements of the Securities Act of 1933, this Post-Effective Amendment No. 1 to Registration Statement has been signed by the following persons in the capacities and on the dates indicated.
SIGNATURE TITLE DATE - --------------------------------------------- --------------------------- ------------------- * President, Chief Executive December 23, 1997 - --------------------------------------------- Officer and Director Kenneth F. Potashner (Principal Executive Officer) /s/ GARY J. DAVIDSON Vice President -- Finance December 23, 1997 - --------------------------------------------- and Administration, Chief Gary J. Davidson Financial Officer and Treasurer (Principal Financial and Accounting Officer) * Director December 23, 1997 - --------------------------------------------- Lewis J. Colby, Jr. * Director December 23, 1997 - --------------------------------------------- Thomas B. Hayward * Director December 23, 1997 - --------------------------------------------- Thomas L. Horgan * Director December 23, 1997 - --------------------------------------------- Alan C. Kolb * Director December 23, 1997 - --------------------------------------------- Karl M. Samuelian * Director December 23, 1997 - --------------------------------------------- Donn A. Starry *By: /s/ GARY J. DAVIDSON - --------------------------------------------- Gary J. Davidson Attorney-in-Fact
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