S-8 1 s-8.htm S-8 S-8


As filed with the Securities and Exchange Commission on November 9, 2015.
Registration No. 333-            
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 ___________________________ 
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
 
APPLIED MICRO CIRCUITS CORPORATION
(Exact name of registrant as specified in its charter)
 
DELAWARE
94-2586591
(State or other jurisdiction of
incorporation or organization)
(I.R.S. Employer
Identification Number)

4555 Great America Parkway, Suite 601
Santa Clara, CA 95054
(Address, with zip code, of Principal Executive Offices)
 
Applied Micro Circuits Corporation
2011 Equity Incentive Plan
(Full title of the plan)
  
Karen M. Rogge
Interim Chief Financial Officer and Vice President
APPLIED MICRO CIRCUITS CORPORATION
4555 Great America Parkway, Suite 601
Santa Clara, CA 95054
(408) 542-8600
(Name, address, including zip code, and telephone number, including area code, of agent for service)
  
Copies to:
L. William Caraccio
 
Jorge A. del Calvo, Esq.
Vice President, General Counsel and Secretary
 
PILLSBURY WINTHROP SHAW PITTMAN LLP
APPLIED MICRO CIRCUITS CORPORATION
 
2550 Hanover Street
4555 Great America Parkway, Suite 601
 
Palo Alto, CA 94304
Santa Clara, CA 95054
 
(650) 233-4500
(408) 542-8600
 
 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12(b)(2) of the Exchange Act.
Large accelerated filer
o
Accelerated filer
ý
Non-accelerated filer
o  (Do not check if a smaller reporting company)
Smaller reporting company
¨






CALCULATION OF REGISTRATION FEE
Title of Securities to be Registered
Amount
to be
Registered(1)
Proposed
Maximum
Offering Price
Per Share(2)
Proposed
Maximum
Aggregate
Offering Price(2)
Amount of
Registration Fee
Common Stock, par value $0.01 per share
3,300,000 shares
$6.565
$21,664,500
$2,181.62

(1)
Pursuant to Rule 416(a) under the Securities Act of 1933, there are also being registered such additional shares of the common stock, par value $.01 per share (the “Common Stock”), that become available under the Applied Micro Circuits Corporation 2011 Equity Incentive Plan in connection with changes in the number of outstanding Common Stock because of events such as recapitalizations, stock dividends, stock splits and reverse stock splits, and any other securities with respect to which the outstanding shares are converted or exchanged.
(2)
Calculated solely for the purpose of determining the registration fee pursuant to 457(c) and Rule 457(h)(1) of the Securities Act of 1933, as amended. The proposed maximum offering price per share and the proposed maximum aggregate offering price are based upon the average of the high and low sales prices of the Company’s Common Stock, as reported on the Nasdaq Stock Market on October 30, 2015.

NOTE
This Registration Statement on Form S-8 is filed pursuant to General Instruction E to Form S-8 for the purpose of registering an additional 3,300,000 shares of the Common Stock of Applied Micro Circuits Corporation (the “Company” or “Registrant”), which may be issued pursuant to the Applied Micro Circuits Corporation 2011 Equity Incentive Plan. In accordance with General Instruction E to Form S-8, the Company hereby incorporates herein by reference the Registration Statement on Form S-8 (No. 333-177773, filed November 4, 2011), filed with the Securities and Exchange Commission, together with all exhibits filed therewith or incorporated therein by reference.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 8. Exhibits.
 
Exhibit No.
  
Description
 
 
 
4.1*
  
Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.2 filed with the Company’s Registration Statement on Form S-1 (No. 333-37609) filed October 10, 1997, and as amended by Exhibit 3.3 filed with the Company’s Registration Statement on Form S-4 (No. 333-45660) filed September 12, 2000 and Exhibit 3.1 filed with the Company’s Current Report on Form 8-K filed December 1
 
 
4.2*
  
Bylaws (incorporated by reference to Exhibit 3.2 to the Company’s Form 10-Q filed on November 3, 2010)
 
 
4.3*
  
2011 Equity Incentive Plan, as amended (incorporated by reference to Exhibit 10.77 to the Company’s Current Report on Form 8-K filed on August 10, 2015)

 
 
5.1
  
Opinion of Pillsbury Winthrop Shaw Pittman LLP
 
 
23.1
  
Consent of Independent Registered Public Accounting Firm – KPMG LLP
 
 
23.3
  
Consent of Pillsbury Winthrop Shaw Pittman LLP (contained in Exhibit 5.1)
 
 
24.1
  
Power of Attorney (included as part of signature page)
*
Incorporated herein by reference.






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 the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Santa Clara, State of California, on this 9th day of November, 2015.
APPLIED MICRO CIRCUITS CORPORATION
 
 
 
 
By:
 
/s/ Karen M. Rogge
 
 
Karen M. Rogge
 
 
Interim Chief Financial Officer and Vice President
POWER OF ATTORNEY
Each person whose signature appears below constitutes and appoints Paramesh Gopi, Ph.D. and L. William caraccio, Esq. such person’s true and lawful attorney-in-fact and agent with full power of substitution and resubstitution, for such person and in such person’s name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as such person might, or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agent or any substitute therefor, may lawfully do or cause to be done by virtue hereof.
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 dates indicated.
 
Signature
  
Title
 
Date
 
 
 
/s/ Paramesh Gopi, Ph. D.
Paramesh Gopi, Ph. D.
  
President, Chief Executive Officer and Director (Principal Executive Officer)
 
November 9, 2015
 
 
 
/s/ Karen M. Rogge
Karen M. Rogge
  
Interim Chief Financial Officer and Vice President
(Interim Principal Financial and Accounting Officer)
 
November 9, 2015
 
 
 
/s/ Cesar Cesaratto
Cesar Cesaratto
  
Chairman of the Board
 
November 9, 2015
 
 
 
/s/ Paul R. Gray, Ph.D.
Paul R. Gray, Ph.D.
  
Director
 
November 9, 2015
 
 
 
/s/ Fred Shlapak
Fred Shlapak
  
Director
 
November 9, 2015
 
 
 
/s/ Robert F. Sproull
Robert F. Sproull
  
Director
 
November 9, 2015
 
 
 
/s/ Duston Williams
Duston Williams
  
Director
 
November 9, 2015
 
 
 
 
 
/s/ Christopher Zepf
Christopher Zepf
 
Director
 
November 9, 2015
EXHIBIT INDEX
 





Exhibit No.
  
Description
 
 
 
4.1*
  
Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.2 filed with the Company’s Registration Statement on Form S-1 (No. 333-37609) filed October 10, 1997, and as amended by Exhibit 3.3 filed with the Company’s Registration Statement on Form S-4 (No. 333-45660) filed September 12, 2000 and Exhibit 3.1 filed with the Company’s Current Report on Form 8-K filed December 1
 
 
4.2*
  
Bylaws (incorporated by reference to Exhibit 3.2 to the Company’s Form 10-Q filed on November 3, 2010)
 
 
4.3*
  
2011 Equity Incentive Plan, as amended (incorporated by reference to Exhibit 10.77 to the Company’s Current Report on Form 8-K filed on August 10, 2015)

 
 
5.1
  
Opinion of Pillsbury Winthrop Shaw Pittman LLP
 
 
23.1
  
Consent of Independent Registered Public Accounting Firm – KPMG LLP
 
 
23.3
  
Consent of Pillsbury Winthrop Shaw Pittman LLP (contained in Exhibit 5.1)
 
 
24.1
  
Power of Attorney (included as part of signature page)
*
Incorporated herein by reference.