As filed with the Securities and Exchange Commission on February 11, 2020
Registration No. 333-236082
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
AMENDMENT No. 1 to
FORM S-1
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
DOCUMENT SECURITY SYSTEMS, INC.
(Exact Name of Registrant as Specified in Its Charter)
New York | 2650 | 16-1229730 | ||
(State or other jurisdiction of incorporation or organization) | (Primary Standard Industrial Classification Code Number) | (I.R.S. Employer Identification No.) |
200 Canal View Boulevard, Suite 300
Rochester, New York 14623
+1-585-325-3610
(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)
Frank D. Heuszel
Chief Executive Officer and
Interim Chief Financial Officer
Document Security Systems, Inc.
200 Canal View Boulevard, Suite 300
Rochester, New York 14623
+1-585-325-3610
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
Darrin M. Ocasio Barrett S. DiPaolo Sichenzia Ross Ference LLP 1185 Avenue of the Americas New York, NY 10036 Telephone: +1-212-930-9700 | Andrew M. Tucker Nelson Mullins Riley & Scarborough LLP 101 Constitution Ave NW, Suite 900 Washington, DC 20001 Telephone: +1-202-689-2800 |
Approximate date of commencement of proposed sale to public:As soon as practicable after this Registration Statement is declared effective.
If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, check the following box. [ ]
If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. [ ]
If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. [ ]
If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. [ ]
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer | [ ] | Accelerated filer | [ ] |
Non-accelerated filer | [X] | Smaller reporting company | [X] |
Emerging growth company | [ ] |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. [ ]
The Registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the Registrant shall file a further amendment which specifically states that this Registration Statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933, as amended, or until this Registration Statement shall become effective on such date as the Securities and Exchange Commission, acting pursuant to such Section 8(a), may determine.
EXPLANATORY NOTE
The Registrant is filing this Amendment No. 1 to the Registration Statement on Form S-1 (File No. 333-236082) (the “Registration Statement”) solely for the purpose of filing with the U.S. Securities and Exchange Commission the Exhibits to the Registration Statement indicated below that were not filed with the Registration Statement when it was originally filed. This Amendment No. 1 does not modify any provision of the Prospectus that forms Part I of the Registration Statement and accordingly such Prospectus has not been included herein.
PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
Item 16. Exhibits and financial statement schedules
(a) | Exhibits |
II-1 |
* | Previously filed. |
** | Filed herewith. |
II-2 |
Signatures
Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant has duly caused this Amendment No. 1 to Registration Statement on Form S-1 to be signed on its behalf by the undersigned, thereunto duly authorized, in Rochester, New York, on February 11, 2020.
Document Security Systems, Inc. | ||
By: | /s/ Frank D. Heuszel | |
Frank D. Heuszel | ||
Chief Executive Officer and Interim Chief Financial Officer |
Pursuant to the requirements of the Securities Act of 1933, as amended, the following persons in the capacities and on the dates indicated have signed this Amendment No. 1 to Registration Statement on Form S-1 below.
Signature | Title | Date | ||
/s/ Frank D. Heuszel | Chief Executive Officer, Interim Chief Financial Officer, | February 11, 2020 | ||
Frank D. Heuszel | Principal Executive Officer, Interim Principal Financial and Accounting Officer, and Director | |||
* | Chairman of Board of Document Security Systems, Inc., | February 11, 2020 | ||
Heng Fai Ambrose Chan | Director and CEO of DSS International Inc. | |||
* | Director | February 11, 2020 | ||
José Escudero | ||||
Director | February 11, 2020 | |||
Sassuan Lee | ||||
* | Director | February 11, 2020 | ||
John Thatch | ||||
* | Director | February 11, 2020 | ||
Lo Wah Wai | ||||
* | Director | February 11, 2020 | ||
William Wu |
* By: | /s/ Frank D. Heuszel | |
Frank D. Heuszel | ||
Attorney-in-Fact |
II-3 |