SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM S-8
REGISTRATION STATEMENT
UNDER THE
SECURITIES ACT OF 1933
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UNICO, INC.
(Exact Name of Registrant as Specified in its Charter)
Delaware 73-1215433
(State or Other Jurisdiction of (IRS Employer ID No.)
Incorporation or Organization)
1 ROCKEFELLER PLAZA
SUITE 1600
NEW YORK, NEW YORK 10020
(Address of Principal Executive Offices)
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EMPLOYMENT AND CONSULTING CONTRACTS
(Full Title of the Plans)
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CALCULATION OF REGISTRATION FEE
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PROPOSED PROPOSED
TITLE OF SECURITIES AMOUNT MAXIMUM MAXIMUM
AMOUNT OF
TO BE TO BE OFFERING PRICE AGGREGATE
REGISTRATION
REGISTERED REGISTERED PER SHARE OFFERING PRICE
FEE
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Common Stock 50,000 $.10(1) $ 5,000
N/A
($0.001 par value)
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TOTAL 50,000(2) NA $ 5,000
N/A
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(1) Estimated at March 30, 1999 pursuant to Rule 457(h) under the
Securities Act
of 1933, as amended solely for the purpose of calculating the
amount of the
registration fee.
(2) Shares registered pursuant to this Registration Statement
available for
issuance.
2
PART I
INFORMATION REQUIRED IN THE SECTION 10(A) PROSPECTUS
ITEM 1. Plan Information
ITEM 2. Registrant Information
The Information required by Items 1 and 2 of Part I is included
in the documents sent or given to the participants.
Part II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
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ITEM 3. INCORPORATION OF DOCUMENTS BY REFERENCE.
The following documents of UNICO, INC., (the "Company"),
previously filed with the Securities and Exchange Commission, are
incorporated herein by reference:
1. The Company's latest annual report filed pursuant on Form
10-K for the fiscal year ended December 31, 1998;
2. All other reports filed pursuant to Section 13(a) or 15(d) of
the Securities Exchange Act of 1934 since the end of the fiscal
year covered by the above reference to the Company's Annual
report on Form 10-K.
3. All documents filed by the Company pursuant to Sections
13(a), 13(c), 14 or 15(d) of The Securities Exchange Act of 1934
after the date of this Registration Statement, prior to the
filing of a post-effective amendment which indicates that all
securities offered have been sold or which registers all
securities then remaining unsold, shall be deemed to be
incorporated by reference in the Registration Statement and to be
a part hereof from the date of filing of such documents.
Any statement contained in a document incorporated or deemed to
be incorporated by reference herein shall be deemed to be
modified or superseded for purposes of this Registration
Statement to the extent that a statement contained herein or in
any other subsequently filed document which also is incorporated
or deemed to be incorporated by reference herein modifies or
supersedes such statement. Any such statement so modified or
superseded shall not be deemed, except as so modified or
superseded, to constitute a part of this Registration Statement.
ITEM 9. UNDERTAKINGS.
A. The undersigned registrant hereby undertakes:
(1) To file, during any period in which offers or sales are being
made, a post-effective amendment to this Registration Statement:
(i) to include any prospectus required by Section 10(a)(3) of the
Securities Act of 1933;
(ii) to reflect in the prospectus any facts or events arising
after the effective date of the Registration Statement (or the
most recent post-effective amendment thereof), which,
individually or in the aggregate, represents a fundamental change
in the information set forth in the Registration Statement; and
(iii) to include any material information with respect to
the plan of distribution not previously disclosed in the
Registration Statement or any material change to such
information in the Registration Statement; PROVIDED, HOWEVER,
that paragraphs (a) (1) (i) and (a) (1) (ii) do not apply if the
Registration Statement is on Form S-3 or Form S-8 and the
information required to be included in a post-effective amendment
by those paragraphs is contained in periodic reports filed by the
registrant pursuant to Section 13 or Section 15(d) of this
Securities Exchange Act of 1934 that are incorporated by
reference in the Registration Statement.
(2) That, for the purpose of determining any liability under the
Securities Act of 1933, each such post-effective amendment shall
be deemed to be a new registration statement relating to the
securities at the time and shall be deemed to be the initial bona
fide offering thereof.
(3) To remove from registration by means of a post-effective
amendment any of the securities being registered which remain
unsold at the termination of the offering.
B. The undersigned registrant undertakes that, for purposes of
determining any liability under the Securities Act of 1933, each
filing of the registrant's annual report pursuant to Section
13(a) or Section 15(d) of the Securities Exchange Act of 1934
that is incorporated by reference in this Registration Statement
shall be deemed to be a new registration statement relating to
the securities offered herein, and the offering of such
securities at the time shall be deemed to be the initial bona
fide offering thereof.
C. Insofar as indemnification for liabilities arising under the
Securities Act of 1933 may be permitted to directors, officers
and controlling persons of the Company pursuant to the foregoing
provisions described under Item 6 above, or otherwise, the
Company has been advised that in the opinion of the Securities
and Exchange Commission such indemnification is against public
policy as expressed in the Securities Act of 1933 and is,
therefore, unenforceable. In the event that a claim for
indemnification against such liabilities (other than the payment
by the Company of expenses incurred or paid by a director,
officer or controlling person of the Company in the successful
defense of any action, suit or proceeding) is asserted against
the Company by such director, officer or controlling person in
connection with the securities being registered, the Company
will, unless in the opinion of its counsel the matter has been
settled by controlling precedent, submit to a court of
appropriate jurisdiction the question whether such
indemnification by it is against public policy as expressed in
the Securities Act of 1933 and will be governed by the final
adjudication of such issue.
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
S-8 and authorized this registration statement to be signed on
its behalf by the undersigned, in the City of New York, State of
New York on May 6, 1999.
UNICO, INC.
By: \s\ SHANE H. SUTTON
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President