-----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, OlWCMXQIboxqWqiVORy5sf7Jk3c+7/5/RTPIzNm6ZDC7FzAEEYz5034kNhHo4Vcn s3zkRG2TOZu9baKVWeXd7A== 0000893220-97-000097.txt : 19970123 0000893220-97-000097.hdr.sgml : 19970123 ACCESSION NUMBER: 0000893220-97-000097 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961031 FILED AS OF DATE: 19970122 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: ECOGEN INC CENTRAL INDEX KEY: 0000814050 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE CHEMICALS [2870] IRS NUMBER: 222487948 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-09579 FILM NUMBER: 97509041 BUSINESS ADDRESS: STREET 1: 2005 CABOT BLVD W CITY: LANGHORNE STATE: PA ZIP: 19047-1810 BUSINESS PHONE: 2157571590 MAIL ADDRESS: STREET 1: 2005 CABOT BLVD W CITY: LANGHORNE STATE: PA ZIP: 19047 10-K/A 1 FORM 10-K/A, ECOGEN INC. 1 As filed with the Securities and Exchange Commission on January 22, 1997. ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A AMENDMENT NO. 1 -------------- /X/ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED OCTOBER 31, 1996 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 NUMBER 1-9579 ECOGEN INC. (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) DELAWARE 22-2487948 ---------- (State or other Jurisdiction of (I.R.S. Employer Identification No.) incorporation or organization) 2005 CABOT BOULEVARD WEST 19047 LANGHORNE, PENNSYLVANIA (Zip Code) (ADDRESS OF PRINCIPAL EXECUTIVE OFFICES) Registrant's telephone number, including area code: (215) 757-1590 -------------- SECURITIES REGISTERED PURSUANT TO SECTION 12(b) OF THE ACT: NONE SECURITIES REGISTERED PURSUANT TO SECTION 12(g) OF THE ACT: COMMON STOCK, $.01 PAR VALUE WARRANTS TO PURCHASE COMMON STOCK AT AN EXERCISE PRICE OF $43.75 PER SHARE. 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 (OR FOR SUCH SHORTER PERIOD THAT THE REGISTRANT WAS REQUIRED TO FILE SUCH REPORTS), AND (2) HAS BEEN SUBJECT TO SUCH FILING REQUIREMENTS FOR THE PAST 90 DAYS. /X/ YES / / NO THE APPROXIMATE AGGREGATE MARKET VALUE OF VOTING STOCK HELD BY NON-AFFILIATES OF THE REGISTRANT IS $20,493,052 AS OF JANUARY 3, 1997. (A) 7,801,523 (NUMBER OF SHARES OF COMMON STOCK OUTSTANDING AS OF JANUARY 3, 1997) 5,834 (NUMBER OF SHARES OF CONVERTIBLE PREFERRED STOCK OUTSTANDING AS OF JANUARY 3, 1997) Indicate by check mark if disclosure of delinquent filers pursuant to item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. / / 2 AMENDMENT NO. 1 TO THE ANNUAL REPORT ON FORM 10-K FOR FISCAL YEAR ENDED OCTOBER 31, 1996 The undersigned registrant hereby amends its Annual Report on Form 10-K for the fiscal year ended October 31, 1996 for the sole purpose of adding the registrant's signature which was inadvertently omitted in the previously filed Form 10-K. SIGNATURE In accordance with Section 13 or 15(d) of the Exchange Act, the registrant caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized. ECOGEN INC. By: /s/ Mary E. Paetzold --------------------- Mary E. Paetzold Vice President, Chief Financial Officer and Treasurer Date: January 20, 1997 SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Amendment No. 1 to be signed on its behalf by the undersigned, thereunto duly authorized. ECOGEN INC. By: /s/ Richard A. Deak -------------------- Richard A. Deak Vice President, General Counsel and Secretary Date: January 22, 1997 -----END PRIVACY-ENHANCED MESSAGE-----