Massachusetts
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001-10647
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04-2795294
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(State or other jurisdiction
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(Commission
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(IRS Employer
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of incorporation)
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File Number)
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Identification No.)
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22 East Broadway, Gardner, Massachusetts
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01440
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(Address of principal executive offices)
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(Zip Code)
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o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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4.1
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Form of 10% Senior Secured Convertible Note, dated June 25, 2008 (included as Exhibit 4.3 to the Form 8-K filed June 27, 2008 and incorporated herein by reference).
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10.1
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Side Letter Agreement between the Company and the holders signatory to the 10% Senior Convertible Note, dated December 11, 2008 (included as Exhibit 10.15 to the Form S-1 filed on December 18, 2008, and incorporated herein by reference).
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10.2
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Endorsement to 10% Senior Secured Convertible Note by the Company, dated October 31, 2011, and accepted by Special Situations Private Equity Fund, L.P. (filed herewith).
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10.3
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Endorsement to 10% Senior Secured Convertible Note by the Company, dated October 31, 2011, and accepted by Special Situations Fund III QP, L.P. (filed herewith).
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10.4
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Endorsement to 10% Senior Secured Convertible Note by the Company, dated October 31, 2011, and accepted by Arnold Schumsky (filed herewith).
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Precision Optics Corporation, Inc.
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(Registrant)
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Date
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November 3, 2011
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/s/ Joseph N. Forkey
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(Signature)
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Name:
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Joseph N. Forkey
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Title:
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Chief Executive Officer
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1.
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The term “Stated Maturity Date” is hereby restated to be “December 15, 2011.”
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2.
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Except as expressly amended by this Endorsement, the Note remains in full force and effect and the Company hereby reconfirms its obligations thereunder.
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PRECISION OPTICS CORPORATION, INC.
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By
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/s/ Joseph N. Forkey
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Name: Joseph N. Forkey
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Title: Chief Executive Officer
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Accepted:
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SPECIAL SITUATIONS PRIVATE EQUITY FUND, L.P.
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By:
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/s/ David Greenhouse
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Name: David Greenhouse
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Title: General Partner
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1.
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The term “Stated Maturity Date” is hereby restated to be “December 15, 2011.”
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2.
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Except as expressly amended by this Endorsement, the Note remains in full force and effect and the Company hereby reconfirms its obligations thereunder.
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PRECISION OPTICS CORPORATION, INC.
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By
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/s/ Joseph N. Forkey
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Name Joseph N. Forkey
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Title: Chief Executive Officer
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Accepted:
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SPECIAL SITUATIONS FUND III QP, L.P.
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By:
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/s/ David Greenhouse
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Name: David Greenhouse
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Title: General Partner
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1.
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The term “Stated Maturity Date” is hereby restated to be “December 15, 2011.”
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2.
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Except as expressly amended by this Endorsement, the Note remains in full force and effect and the Company hereby reconfirms its obligations thereunder.
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PRECISION OPTICS CORPORATION, INC.
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By
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/s/ Joseph N. Forkey
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Name: Joseph N. Forkey
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Title: Chief Executive Officer
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Accepted:
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/s/ Arnold Schumsky
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Arnold Schumsky
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