-----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, NAV1C/iPq0EjWiaoDdXlPhHQfNWkBAbeixuo/5sIhCZfN4hdecO1T5r854CfSmxy y1V4/9vRCHzOsQ4Q4nqlZg== 0000891618-98-000697.txt : 19980218 0000891618-98-000697.hdr.sgml : 19980218 ACCESSION NUMBER: 0000891618-98-000697 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971227 FILED AS OF DATE: 19980213 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: MAXIM INTEGRATED PRODUCTS INC CENTRAL INDEX KEY: 0000743316 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 942896096 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: SEC FILE NUMBER: 000-16538 FILM NUMBER: 98537427 BUSINESS ADDRESS: STREET 1: 120 SAN GABRIEL DR CITY: SUNNYVALE STATE: CA ZIP: 94086 BUSINESS PHONE: 4087377600 MAIL ADDRESS: STREET 1: 120 SAN GABRIEL DR CITY: SUNNYVALE STATE: CA ZIP: 94086 10-Q/A 1 AMEND. #1 TO FORM 10-Q FOR QUARTER ENDED 12/27/97 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q/A (MARK ONE) [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED DECEMBER 27, 1997 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM ______________ TO ______________ COMMISSION FILE NO. 0-16538 MAXIM INTEGRATED PRODUCTS, INC. (Exact name of registrant as specified in its charter) DELAWARE 94-2896096 (State or Other Jurisdiction of (I.R.S. Employer I.D. No.) Incorporation or Organization) 120 SAN GABRIEL DRIVE, SUNNYVALE, CA 94086 (Address of Principal Executives Offices) (Zip Code) Registrant's Telephone Number, Including Area Code: (408) 737-7600 Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15 (d) of the Securities Exchange Act of 1934 during the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days: YES [X] NO[ ] CLASS:COMMON STOCK, OUTSTANDING AT JANUARY 30, 1997 $.001 PAR VALUE 130,943,860 SHARES 2 EXPLANATORY NOTE The undersigned Registrant hereby amends, as and to the extent set forth below, the following Item of its Quarterly Report on Form 10-Q for the fiscal quarter ended December 27, 1997 filed on February 5, 1998 pursuant to Section 13 or 15 (d) of the Securities Exchange Act of 1934: PART II. OTHER INFORMATION Item 2: Changes in Securities - ------------------------------ (a) and (b): Not applicable. (c) Issuance of equity securities of the Registrant not registered under the Securities Act of 1933. On October 16, 1997, the Registrant issued 51,526 (after giving effect to a stock dividend in the nature of a stock split effected in the quarter) shares of its Common Stock, $0.001 par value, representing most of the purchase price in the subject purchase. An additional 4,834 shares will be issued to complete the purchase. No underwriters were involved. The shares were sold to MCA Technologies, Inc., a California corporation ("MCA"). MCA plans to liquidate and dissolve in the near future and distribute the Maxim shares to MCA's shareholders. At the time of approval of the transaction, that class of issuees consisted of six (6) shareholders and six (6) persons holding non-voting options to acquire MCA capital stock. The consideration for the issuance of Maxim shares was substantially all of the assets of MCA. The section of the Securities Act of 1933 under which exemption from registration is claimed is Section 4 (2). The facts relied on are: all offers and sales were to a very small number of sophisticated investors for whom the protections of registration under the Securities Act of 1933 were unnecessary. The transaction involved no general solicitation or advertising. The issuer provided full access to information about it and made full disclosure comparable to that in a registration statement (including, without limitation, current report on Form 10-K, current annual report to stockholders and current proxy statement for pending annual meeting of stockholders.) All recipients have executed, or will execute as a condition of their receipt of shares, appropriate investment representations, and all certificates issued will bear appropriate legends restricting resale of the shares in unregistered transactions. 11 3 SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Amendment No. 1 to Report on Form 10-Q filed on Form 10-Q/A to be signed on its behalf by the undersigned thereunto duly authorized. FEBRUARY 13, 1998 MAXIM INTEGRATED PRODUCTS,INC. (Date) (Registrant) /s/ Michael J. Byrd ------------------------------------------ MICHAEL J. BYRD Vice President and Chief Financial Officer (Authorized on behalf of the Registrant and as Principal Financial Officer) 13 -----END PRIVACY-ENHANCED MESSAGE-----