As Filed with the Securities and Exchange Commission on January 10, 2006
Registration No. 333-
- --------------------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
----------
FORM F-6
REGISTRATION STATEMENT
under
THE SECURITIES ACT OF 1933
For Depositary Shares Evidenced by American Depositary Receipts
----------
Mori Seiki Co., Ltd.
(Exact name of issuer of deposited securities as specified in its charter)
N.A.
(Translation of issuer's name into English)
Japan
(Jurisdiction of incorporation or organization of issuer)
THE BANK OF NEW YORK
(Exact name of depositary as specified in its charter)
One Wall Street, New York, N.Y. 10286
Telephone (212) 495-1784
(Address, including zip code, and telephone number, including area code,
of depositary's principal executive offices)
----------
The Bank of New York
ADR Division
One Wall Street, 29th Floor
New York, NY 10286
Telephone (212)-495-1784
(Address, including zip code, and telephone number, including area code,
of agent for service)
It is proposed that this filing become effective under Rule 466
|_| immediately upon filing
|_| on (Date) at (Time)
If a separate statement has been filed to register the deposited shares,
check the following box. |_|
CALCULATION OF REGISTRATION FEE
====================================================================================================================================
Proposed maximum Proposed maximum Amount of
Title of each class of Amount Aggregate aggregate registration
Securities to be registered to be registered price per unit(1) offering price (1) fee
- ------------------------------------------------------------------------------------------------------------------------------------
American Depositary Shares evidenced by American 25,000,000 $.05 $1,250,000 $133.75
Depositary Receipts, each American Depositary American
Share evidencing one ordinary share of Mori Seiki Depositary
Co., Ltd. Shares
====================================================================================================================================
(1) Estimated solely for the purpose of calculating the registration fee.
Pursuant to Rule 457(k), such estimate is computed on the basis of the
maximum aggregate fees or charges to be imposed in connection with the
issuance of American Depositary Receipts evidencing American Depositary
Shares.
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 become effective in accordance with Section 8(a) of the Securities Act of
1933 or until the registration statement shall become effective, on such date as
the Commission, acting pursuant to said Section 8(a), may determine.
- --------------------------------------------------------------------------------
The Prospectus consists of the proposed form of American Depositary
Receipt included as Exhibit A to the form of Deposit Agreement filed as Exhibit
(1) to this Registration Statement, which is incorporated herein by reference.
-2-
PART I
INFORMATION REQUIRED IN PROSPECTUS
Item 1. Description of the Securities to be Registered
CROSS REFERENCE SHEET
Item Number and Caption Location in Form of
----------------------- American Depositary Receipt
Filed Herewith as Prospectus
----------------------------
(1) Name and address of Depositary Introductory Paragraph
(2) Title of American Depositary Receipts and Face of American Depositary Receipt, top center
identity of deposited securities
Terms of Deposit:
(i) The amount of deposited securities Face of American Depositary Receipt - upper right
represented by one unit of American corner
Depositary Shares
(ii) The procedure for voting, if any, the Paragraphs (15) and (16)
deposited securities
(iii) The collection and distribution of Paragraphs (12), (14) and (15)
dividends
(iv) The transmission of notices, reports Paragraphs (11), (15) and (16)
and proxy soliciting material
(v) The sale or exercise of rights Paragraph (13)
(vi) The deposit or sale of securities Paragraphs (12) and (17)
resulting from dividends, splits or
plans of reorganization
(vii) Amendment, extension or termination of Paragraphs (20) and (21)
the Deposit Agreement
(viii) Rights of holders of receipts to Paragraph (11)
inspect the transfer books of the
Depositary and the list of holders
of receipts
(ix) Restrictions upon the right to deposit Paragraphs (2), (3), (4), (5), (6) and (8)
or withdraw the underlying securities
-3-
Item Number and Caption Location in Form of
----------------------- American Depositary Receipt
Filed Herewith as Prospectus
----------------------------
(x) Limitation upon the liability of the Paragraphs (13) and (18)
Depositary
(3) Fees and Charges Paragraph (7)
Item 2. Available Information
Item Number and Caption Location in Form of
----------------------- American Depositary Receipt
Filed Herewith as Prospectus
----------------------------
2(a) Statement that Mori Seiki Co., Ltd. furnishes Paragraph (11)
the Commission with certain public reports and
documents required by foreign law or otherwise
under Rule 12g3-2(b) under the Securities
Exchange Act of 1934 and that such reports and
documents can be inspected by holders of
American Depositary Receipts and copied at
public reference facilities maintained by the
Commission in Washington, D.C.
-4-
PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
Item 3. Exhibits
(1) Form of Deposit Agreement (including the form of American Depositary
Receipt), dated as of [Date], among Mori Seiki Co., Ltd. (the "Issuer"), The
Bank of New York, as Depositary (the "Depositary"), and each Owner and holder
from time to time of American Depositary Receipts ("ADRs") issued thereunder.
(4) Opinion of Emmet, Marvin & Martin, LLP, counsel for the Depositary, as
to the legality of the securities being registered.
Item 4. Undertakings
(a) The Depositary hereby undertakes to make available at the principal
office of the Depositary in the United States, for inspection by holders of the
ADRs, any reports and communications received from the Issuer which are both (1)
received by the Depositary as the holder of the deposited securities and (2)
made generally available to the holders of the underlying securities by the
Issuer.
(b) The Depositary hereby undertakes to notify each registered holder of
an ADR at least thirty days before any change in the fee schedule.
-5-
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, The Bank of
New York, on behalf of the legal entity created by the Deposit Agreement, dated
as of ___________________, 2006, among Mori Seiki Co., Ltd., The Bank of New
York, as Depositary, and each Owner and holder of an American Depositary Receipt
issued thereunder certifies that it has reasonable grounds to believe that all
the requirements for filing on Form F-6 are met and has duly caused this
Registration Statement to be signed on its behalf by the undersigned, thereunto
duly authorized, in The City of New York, State of New York, on January 10,
2006.
By:THE BANK OF NEW YORK,
as Depositary
By: \s\ U. Marianne Erlandsen
-------------------------
Name: U. Marianne Erlandsen
Title: Vice President
-6-
Pursuant to the requirements of the Securities Act of 1933, Mori Seiki
Co., Ltd., has caused this Registration Statement to be signed on its behalf by
the undersigned, thereunto duly authorized in Japan on January 10, 2006.
MORI SEIKI CO., LTD.
By: \s\ Masahiko Mori
------------------------
Name: Masahiko Mori
Title: President and CEO
Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed by or on behalf of the following persons
in the capacities indicated on January 10, 2006.
Name Title
- ---- -----
\s\ Masahiko Mori President and CEO
- ----------------------- (Principal Executive Officer)
Masahiko Mori
\s\ Hiroshi Mizuguchi Vice-President
- -----------------------
Hiroshi Mizuguchi
\s\ Kyoji Umeoka Senior Executive Managing Director
- -----------------------
Kyoji Umeoka
\s\ Kazuyuki Hiramoto Senior Executive Managing Director
- -----------------------
Kazuyuki Hiramoto
Senior Executive Managing Director
- -----------------------
Takeshi Saito
\s\ Koji Okura Managing Director
- -----------------------
Koji Okura
-7-
Name Title
- ---- -----
\s\ Hiraku Nakata Managing Director
- -----------------------
Hiraku Nakata
\s\ Makoto Fujishima Managing Director
- -----------------------
Makoto Fujishima
\s\ Yoshitsugu Shigeta Managing Director
- -----------------------
Yoshitsugu Shigeta
\s\ Hiroaki Tamai Director, CFO and CAO
- ----------------------- (Principal Financial and Accounting Officer)
Hiroaki Tamai
\s\ Takahiro Kobi Director
- -----------------------
Takahiro Kobi
Director
- -----------------------
Yasunori Hamabe
\s\ Hidefumi Shirotori Director
- -----------------------
Hidefumi Shirotori
\s\ Toyofumi Nishio Director
- -----------------------
Toyofumi Nishio
\s\ Masahiro Yanagihara Authorized Representative in the United States
- -----------------------
Mori Seiki U.S.A., Inc.
By: Masahiro Yanagihara
-8-
INDEX TO EXHIBITS
Exhibit
Number
------
(1) Form of Deposit Agreement, dated as of [Date], among the Issuer, the
Depositary and each Owner and holder from time to time of ADRs
issued thereunder.
(4) Opinion of Emmet, Marvin & Martin, LLP, counsel for the Depositary,
as to the legality of the securities being registered.
-9-