UNITED STATES
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
Date of Report (Date of earliest event reported): November 13, 2013
Appvion, Inc.
(Exact name of registrant as specified in its charter)
| Delaware | 333-82084 | 36-2556469 | ||
| (State or other jurisdiction of incorporation) | (Commission File Number) | (I.R.S. Employer Identification No.) |
| 825 East Wisconsin Avenue, P.O Box 359, Appleton, Wisconsin | 54912-0359 | |
| (Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number, including area code 920-734-9841
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Securities Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
ITEM 8.01 OTHER EVENTS
On November 13, 2013, Appvion, Inc. (“Appvion”) priced its offering of $250 million aggregate principal amount of its 9.000% Second Lien Senior Secured Notes due 2020 in a private offering exempt from the registration requirements under the Securities Act of 1933, as amended (the “Securities Act”). On that date, Appvion issued a press release complying with Rule 135c under the Securities Act with respect to the pricing.
A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated by reference herein.
The press release attached hereto as Exhibit 99.1 does not constitute an offer to sell or a solicitation of an offer to buy any of the securities described therein. The securities have not been registered under the Securities Act, or qualified under any state securities laws or the laws of any other jurisdiction, and may not be offered or sold in the United States absent registration or an applicable exemption from the registration requirements of the Securities Act and applicable state securities laws.
ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS
| Exhibit 99.1 | Press Release, dated November 13, 2013. |
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.
Date: November 13, 2013
| Appvion, Inc. | ||
| By: | /s/ Thomas J. Ferree | |
| Name: | Thomas J. Ferree | |
| Title: | Chief Financial Officer | |
Exhibit Index
| Exhibit No. | Description | |
| Exhibit 99.1 | Press Release, dated November 13, 2013. | |