UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
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AMENDMENT TO APPLICATION OR REPORT
Filed Pursuant to Section 12, 15, or 15(d) of
THE SECURITIES EXCHANGE ACT OF 1934
Commission File Number 34-11686
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PLASTIC SPECIALTIES AND TECHNOLOGIES, INC.
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(Exact name of registrant as specified in its charter)
DELAWARE 22-2515864
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(State of Incorporation) (I.R.S. Employer Identification No.)
65 Railroad Avenue, Ridgefield, New Jersey 07657
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(Address of principal executive offices and zip code)
(201) 941-6550
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(Registrant's telephone number, including area code)
AMENDMENT NO. 1
TO FORM 10-K
The undersigned registrant hereby amends the following exhibits of its
Annual Report on Form 10-K for the Year Ended July 31, 1997, as set forth in the
pages attached hereto.
Pursuant to the requirements of the Securities Exchange Act of 1934,
the registrant has duly caused this amendment to be signed on its
behalf by the undersigned, thereunto duly authorized.
PLASTIC SPECIALTIES AND TECHNOLOGIES, INC.
(Registrant)
By /s/ Thomas V. Gilboy
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Thomas V. Gilboy
Chief Financial Officer and Vice President
Date: November 19, 1997
Index To Exhibits
Number Exhibit
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2.1 Agreement and Plan of Merger dated as of November 11, 1997
among PureTec Corporation, Plastic Specialties & Technologies,
Inc. Tekni-Plex, Inc. and P.T. Holding, Inc.
3.1 Restated Certificate of Incorporation of Plastic Specialties
and Technologies, Inc. ("PST") dated June 1, 1987, as amended;
incorporated by reference to Exhibit 3.1 to Amendment No. 1 to
Registration Statement on Form S-1 (No. 33-66338).
3.2 Certificate of Ownership and Merger of PST Holdings, Inc. into
PST.
3.3 By-laws of PST; incorporated by reference to Exhibit 3.8 to
Registration Statement on Form S-1 (No. 33-11686).
4.1 Form of Specimen Senior Secured Note (including in page A-1 of
Exhibit 4.10 to Amendment No. 2 to Registration Statement on
Form S-1 (No. 33-11686).
4.2 Form of Indenture between Plastic Specialties and
Technologies, Inc. And First Fidelity Bank, NA Pennsylvania,
as Trustee, relating to the Ssenior Secured Notes of Plastic
Specialties and Technologies, Inc. Due 2003 (incorporated by
reference to Exhibit 4.1 to Amendment No. 2 to Registration
Statement of Plastic Specialties and Technologies, Inc. On
Form S-1 (No. 33-66338) filed November 8, 1993).
10.1 Lease, dated June 1989, between Richard C. Lauer and Roy I.
Anderson, as lessor, and PST, as lessee, re: 19555 East Arenth
Avenue, City of Industry, California, incorporated by
reference to Exhibit 28.1 to Form 10-Q of the Registrants for
the fiscal quarter ended October 31, 1992.
10.2 Lease, dated September 23, 1991, between E.T. Hermann and Jane
D. Herman 1978 Living Trust, as lessor, and the Colorite
Plastics Division of PST, as lessee, re: 909 East Glendale
Avenue, Sparks, Nevada, incorporated by reference to Exhibit
28.1 to Form 10-Q of the Registrants for the fiscal quarter
ended October 31, 1992.
10.3 Lease, dated January 1, 1993, between OHR Realty Corporation,
as lessor, and PST, as lessee, re: Piscataway, New Jersey;
incorporated by reference to Exhibit 28.1 to Form 10-Q of the
Registrants for the fiscal quarter ended October, 1992.
10.5 Lease, dated April 24, 1972, between Pacific Western
Warehouse, Inc. and Dart Industries, Inc. (assigned by Dart
Industries, Inc. To PST); incorporated by reference to Exhibit
10.8 to the Registration Statement on Form S-1 (No. 33-11686).
10.6 Lease, dated May 24, 1994 between LaSalle National Trust, N.A.
as Trustee under Trust Agreement dated May 16, 1994 and Known
as Trust Number 118722, as Lessor and American Gasket and
Rubber Company (a division of PST's Action Technology
Subsidiary), as lessee, re: Schaumburg, Illinois.
10.7 Plastic Specialties and Technologies, Inc. And Affiliates
Pension Plan, Amended and Restated Effective as of January 1,
1985; incorporated by reference to Exhibit 10.18 to
Registration Statement on Form S-1 (No. 33-11686).
10.8 Senior Loan Agreement dated as of December 30, 1992 between
PST, as borrower, General Electric Capital Corporation, as
agent and lender, and certain participating lenders (the "GECC
Senior Loan Agreement"); incorporated by reference to Exhibit
10.24 to Annual Report on Form 10-K of the Registrants for the
fiscal year ended July 31, 1992.
10.9 Amendment No. 2 dated July 7, 1993 to the GECC Senior Loan
Agreement; incorporated by reference to Exhibit 10.9 to
Registration Statement on Form S-1 (No. 33-66338).
10.10 Amendment No. 3 dated October 8, 1993 to the GECC Senior Loan
Agreement; incorporated by reference to Exhibit 10.10 to
Amendment No. 1 to Registration Statement on Form S-1 (No. 33-
66338).
10.11 Amendment No. 4 dated January 31, 1997 to the GECC Senior Loan
Agreement; incorporated by reference to Exhibit 10.11 to
Amendment No. 1 to Registration Statement on Form S-1 (No.
33-66338).
10.12 Receivable Purchase Program Agreement between General Electric
Capital Corporation and Plastic Specialties and Technologies,
Inc. dated January 31, 1997
10.13 Demand Note dated May 20, 1988 between Peter R. Harvey and
Plastic Specialties and Technologies, Inc. (incorporated by
reference from Exhibit 10.7 to Annual Report on Form 10-K/A
of PureTec Corporation for year ended July 31, 1997 (File
No. 0-26508)).
21 List of subsidiaries of PST
27 Financial Data Schedule
(b) None
(c) See Item 14(a)(3) above.
(d) See Item 14(a)(2) above.