SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-QA AMENDMENT NO. 1 [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 1996 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 [NO FEE REQUIRED] For the transition period from ______________ to _____________ Commission File number 0-21154 CREE RESEARCH, INC. (Exact name of registrant as specified in its charter) North Carolina 56-1572719 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No.) 2810 Meridian Parkway, Suite 144 Durham, North Carolina 27713 (Address of principal executive offices) (919) 361-5709 (Registrant's telephone number) Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes X No ___. Number of registrant's shares of Common Stock, par value $0.005 per share, outstanding as of October 21, 1996, was 12,306,858. EXPLANATORY NOTE This Amendment is being filed solely to provide the License and Technology Transfer Agreement between the Company and Shin-Etsu Handotai Co. Ltd, dated September 30, 1996 (the "Agreement"). Confidential treatment for certain portions of the Agreement was requested pursuant to Rule 24b-2. Certain portions of the Agreement that were not previously disclosed pending the Securities and Exchange Commission's determination of the Company's request for confidential treatment are included herein. PART IV Item 14. Exhibits, Financial Statement Schedules, and Reports on Form 8-K. (a) (3) Exhibits (* filed herewith): Exhibit No. Description 10.54* License and Technology Transfer Agreement between the Company and Shin-Etsu Handotai Co. Ltd, dated September 30, 1996 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant duly caused this report on Form 10-QA to be signed on its behalf by the undersigned, thereunto duly authorized. CREE RESEARCH, INC. By: /s/ F. Neal Hunter Name: F. Neal Hunter Title: President and Chief Executive Officer Date: January 23, 1997 EXHIBIT INDEX Exhibit No. Description Sequential Page No. 10.54* License and Technology Transfer Agreement between the Company and Shin-Etsu Handotai Co. Ltd dated September 30, 1996