-----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, TZTXCi/0dF7jMrXNHOb3kiN4XwDwwBvtTSSCOvyyoff0Gjpq/V28cRb0XV5wVg5d bKVmUdNp0RGohk9oiNf0Xw== 0001000096-97-000766.txt : 19971028 0001000096-97-000766.hdr.sgml : 19971028 ACCESSION NUMBER: 0001000096-97-000766 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971014 ITEM INFORMATION: FILED AS OF DATE: 19971027 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: DCX INC CENTRAL INDEX KEY: 0000783284 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 840868815 STATE OF INCORPORATION: CO FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 8-K SEC ACT: SEC FILE NUMBER: 000-14273 FILM NUMBER: 97701195 BUSINESS ADDRESS: STREET 1: 1597 COLE BOULEVARD STREET 2: SUITE 300B CITY: GOLDEN STATE: CO ZIP: 80401 BUSINESS PHONE: 303-274-2700 MAIL ADDRESS: STREET 1: PO BOX 569 STREET 2: PO BOX 569 CITY: FRANKTOWN STATE: CO ZIP: 80116 FORMER COMPANY: FORMER CONFORMED NAME: DOUGLAS COUNTY INDUSTRIES INC DATE OF NAME CHANGE: 19860109 8-K 1 FORM 8-K SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange of 1934 Date of Report October 14, 1997 DCX, Inc. (Exact name of registrant as specified in its charter) Colorado 0-14273 84-0868815 (State of (Commission (IRS Employer incorporation) File Number) Identification No.) 1597 Cole Boulevard, CO 80401 (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code (303) 274-2700 Not Applicable (Former name or former address, if changed since last report) Item 9. Sales of Equity Securities Pursuant to Regulation S. On October 14, 1997, the Company sold a total of 250 additional shares of its Series A 6% Cumulative Convertible Redeemable Preferred Stock par value $.001 ("Series A Preferred"), pursuant to Regulation S. The total of this sale was $250,000 for a total of $1,250,000 in an offering which was increased by the Company to $1,500,000 from the total of $1,100,000 previously reported on Form 8-K, dated September 9, 1997. Transition Partners, Ltd., acted as the Company's placement agent for this transaction. The sale was made in a private offshore transaction to two non-US entities who represented to the Company that they were sophisticated investors. Terms of the Series A Preferred remain the same as in the original offering reported on Form 8-K, dated September 9, 1997. Shares of Series A Preferred Stock have the following conversion rights: The Company paid a commission of 15 (%) percent of the total offering price to the placement agent/Transition Partners, Ltd. The holders of the 250 shares of Series A Preferred each have a demand and piggy back registration right. The private sale of the Series A Preferred was exempt from registration under Regulation S. The sale was made in an offshore transaction to non US persons, and the purchasers made representations to the Company regarding their status and actions necessary to comply with Regulation S. SIGNATURES 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. DCX, Inc. (Registrant) October 27, 1997 /S/ Fred Beisser ------------------------------------------- (Signature) Frederick G. Beisser Secretary, Treasurer & Vice President - Finance & Administration 2 -----END PRIVACY-ENHANCED MESSAGE-----