-----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, R4Um54qXsnLcgWDVqgWJejlpg7px2dZWds5pcCFL7Rkd+oy/KjsfJzg2B7wEn4OK HOtgdiOJitDdcHTOjrQsxQ== 0000950135-97-001187.txt : 19970313 0000950135-97-001187.hdr.sgml : 19970313 ACCESSION NUMBER: 0000950135-97-001187 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19970311 ITEM INFORMATION: Other events ITEM INFORMATION: Financial statements and exhibits FILED AS OF DATE: 19970312 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: SPIRE CORP CENTRAL INDEX KEY: 0000731657 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 042457335 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-12742 FILM NUMBER: 97555367 BUSINESS ADDRESS: STREET 1: ONE PATRIOTS PARK CITY: BEDFORD STATE: MA ZIP: 01730-2396 BUSINESS PHONE: 6172756000 MAIL ADDRESS: STREET 2: ONE PATRIOTS PARK CITY: BEDFORD STATE: MA ZIP: 01730-2396 8-K 1 SPIRE CORPORATION 1 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 OF 1934 11 March 1997 - -------------------------------------------------------------------------------- Date of report (Date of earliest event reported) Spire Corporation - -------------------------------------------------------------------------------- (Exact Name of Registrant as Specified in Its Charter) Massachusetts - -------------------------------------------------------------------------------- (State or Other Jurisdiction of Incorporation) 0-12742 04-2457335 - -------------------------------------------------------------------------------- (Commission File Number) (I.R.S. Employer Identification No.) One Patriots Park, Bedford, Massachusetts 01730-2396 - -------------------------------------------------------------------------------- (Address of Principal Executive Offices (Zip Code) (617) 275-6000 - -------------------------------------------------------------------------------- (Registrant's Telephone Number, Including Area Code) N/A - -------------------------------------------------------------------------------- (Former Name or Former Address, if Changed Since Last Report) 2 Item 5. Other Events. In connection with the "safe harbor" provisions of the Private Securities Litigation Reform Act of 1995, Spire Corporation ("Company") is hereby filing cautionary statements identifying important factors that could cause the Company's actual results to differ materially from those indicated in forward-looking statements of the Company made by or on behalf of the Company. Item 7. Financial Statements and Exhibits. Exhibit No. Description of Exhibit 99 Cautionary statement for purposes of the "safe harbor" provisions of the Private Securities Litigation Reform Act of 1995. 3 SIGNATURE 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. SPIRE CORPORATION (Registrant) Date: March 11, 1997 By: /s/ Richard S. Gregorio ------------------------------------ Richard S. Gregorio Vice President & Chief Financial Officer EX-99 2 CAUTIONARY STATEMENT 1 EXHIBIT 99. Additional Exhibits CAUTIONARY FACTORS RELEVANT TO FORWARD-LOOKING STATEMENTS The Private Securities Litigation Reform Act of 1995 provides a "safe harbor" for forward-looking statements. The Company hereby identifies the following important factors that could cause the Company's actual results to differ materially from those in forward-looking statements of the Company made by or on behalf of the Company: (a) Dependence on government agencies and other third parties for funding contract research and service. (b) Competition. See Item 1. Business - "Competition" in the Company's Annual Report on Form 10-KSB. (c) Dependence on the trends of the medical industry which has faced pricing pressures and consolidations. (d) Management's reliance on the adequacy of certain accounting reserves. (e) Dependence on key personnel. The success of the Company is dependent on the efforts and abilities of certain key management and technical personnel. There is intense competition for a limited number of qualified employees among companies in the Company's markets. The loss of certain of the Company's employees or an inability to attract and motivate highly skilled employees could adversely affect its business. (f) Protection of proprietary technology. See Item 1. Business - "Patents" in the Company's Annual Report on Form 10-KSB. -----END PRIVACY-ENHANCED MESSAGE-----