AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON JANUARY 29, 1998
REGISTRATION NO. 333-23369
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
-----------
POST-EFFECTIVE AMENDMENT NO. 1
TO
FORM SB-2
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
-----------
NOTIFY CORPORATION
(Name of small business issuer in its charter)
CALIFORNIA 3661 77-0382248
(State or other (Primary Standard (I.R.S. Employer
jurisdiction of Industrial Identification Number)
incorporation or Classification Code
organization) Number)
1054 S. DE ANZA BLVD. SUITE 105
SAN JOSE, CALIFORNIA 95129
(408) 777-7920
(Address and telephone number of principal executive offices)
1054 S. DE ANZA BLVD. SUITE 105
SAN JOSE, CALIFORNIA 95129
(408) 777-7920
(Address of principal place of business or intended principal place of
business)
-----------
PAUL F. DEPOND
PRESIDENT AND CHIEF EXECUTIVE OFFICER
1054 S. DE ANZA BLVD. SUITE 105
SAN JOSE, CALIFORNIA 95129
(408) 777-7920
(Name, address and telephone number of agent for service)
-----------
Copies to:
HENRY P. MASSEY, JR., ESQ. FRAN STOLLER, ESQ.
PETER S. HEINECKE, ESQ. BACHNER, TALLY, POLEVOY & MISHER LLP
BRADLEY A. BUGDANOWITZ, ESQ. 380 MADISON AVENUE
WILSON SONSINI GOODRICH & ROSATI NEW YORK, NEW YORK 10017-2590
PROFESSIONAL CORPORATION (212) 687-7000
650 PAGE MILL ROAD
PALO ALTO, CALIFORNIA 94304-1050
(415) 493-9300
APPROXIMATE DATE OF PROPOSED SALE TO THE PUBLIC:
As soon as practicable after the effective date of this Registration Statement.
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. [X]
If this Form is filed to register additional securities for an offering
pursuant to Rule 462(b) under the Securities Act, please check the following
box and list the Securities Act registration 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 number of the earlier effective registration statement for the
same offering. [_]
If delivery of the prospectus is expected to be made pursuant to Rule 434,
please check the following box. [_]
PURSUANT TO RULE 416, THERE ARE ALSO BEING REGISTERED SUCH ADDITIONAL SHARES
AND WARRANTS AS MAY BECOME ISSUABLE PURSUANT TO ANTI-DILUTION PROVISIONS OF THE
CLASS A WARRANTS AND THE UNIT PURCHASE OPTION.
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- -----------------------------------------------------------------------------------------------
- -----------------------------------------------------------------------------------------------
CALCULATION OF REGISTRATION FEE
- -----------------------------------------------------------------------------------------------
- -----------------------------------------------------------------------------------------------
PROPOSED PROPOSED
AMOUNT MAXIMUM MAXIMUM AMOUNT OF
TITLE OF EACH CLASS OF TO BE OFFERING PRICE AGGREGATE REGISTRATION
SECURITIES TO BE REGISTERED REGISTERED PER SECURITY(1) OFFERING PRICE FEE
- -----------------------------------------------------------------------------------------------
Units, each consisting of one share of
Common Stock, $.001 par value and one
Class A Warrant .................... 1,600,000 $5.50 $ 8,800,000 $2,667
- -----------------------------------------------------------------------------------------------
Common Stock, $.001 par value (2).... 1,600,000 $6.50 $10,400,000 $3,152
- -----------------------------------------------------------------------------------------------
Unit Purchase Option (3)............. 160,000 $.001 $ 160 $ --
- -----------------------------------------------------------------------------------------------
Units, each consisting of one share of
Common Stock, $.001 par value and one
Class A Warrant (4)................. 160,000 $7.00 $ 1,120,000 $ 340
- -----------------------------------------------------------------------------------------------
Common Stock, $.001 par value (5).... 160,000 $6.50 $ 1,040,000 $ 315
- -----------------------------------------------------------------------------------------------
Total................................ $6,474(6)
- -----------------------------------------------------------------------------------------------
- -----------------------------------------------------------------------------------------------
(1) Estimated solely for the purposes of calculating the registration fee.
(2) Issuable upon exercise of the Class A Warrants.
(3) To be issued to the Underwriter.
(4) Issuable upon exercise of the Unit Purchase Option.
(5) Issuable upon exercise of the Class A Warrants underlying the Unit Purchase
Option.
(6) Previously paid.
The Registrant hereby withdraws from registration 240,000 Units, each
consisting of one share of its Common Stock and one Class A Warrant to purchase
one share of its Common Stock, and 240,000 shares of its Common Stock issuable
upon exercise of such Class A Warrants, registered to cover an over-allotment
option granted to the Underwriter. The over-allotment option was not exercised
and has expired. The Registration Statement is hereby amended, as appropriate,
to reflect the expiration of such option.
2
SIGNATURES
In accordance with the requirements of the Securities Act of 1933, the
registrant certifies that it has reasonable grounds to believe that it meets
all of the requirements of filing on Form SB-2 and authorized this Registration
Statement to be signed on its behalf by the undersigned, in the City of San
Jose, California, on the 28th day of January, 1998.
NOTIFY CORPORATION
By: /s/ Paul DePond
----------------------------------
Paul DePond
President, Chief Executive Officer
In accordance with the requirements of the Securities Act of 1933, this
Registration Statement was signed by the following persons in the capacities
indicated below and on the dates stated.
SIGNATURE TITLE DATE
--------- ----- ----
/s/ Paul DePond President, Chief Executive Officer and January 28, 1998
- ---------------------------- Chairman (Principal Executive Officer)
Paul DePond
* Chief Financial Officer (Principal Financial January 28, 1998
- ---------------------------- and Accounting Officer)
Gerald Rice
* Vice President, Operations and Director January 28, 1998
- ----------------------------
Gaylan Larson
* Director January 28, 1998
- ----------------------------
Michael Ballard
* Director January 28, 1998
- ----------------------------
Barry Bellue
* Director January 28, 1998
- ----------------------------
Michael Smith
*By: /s/Paul DePond
-------------------------
Attorney-in-Fact
II-6