Securities Registration Statement (simplified Form) (s-3/a)
November 18 2016 - 1:45PM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on November 18, 2016
Registration No. 333-212790
UNITED STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C. 20549
Amendment No. 2
to
Form S-3
REGISTRATION STATEMENT
UNDER
THE
SECURITIES ACT OF 1933
RED LION HOTELS CORPORATION
(Exact Name of Registrant as Specified in Its Charter)
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Washington
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91-1032187
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(State or other jurisdiction of
incorporation or organization)
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(I.R.S. Employer
Identification Number)
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201 W. North River Drive, Suite 100
Spokane, Washington 99201
(509) 459-6100
(Address,
including zip code, and telephone number, including area code, of Registrants principal executive offices)
Gregory T.
Mount
President and Chief Executive Officer
201 W. North River Drive, Suite 100
Spokane, Washington 99201
(509) 459-6100
(Name,
address, including zip code, and telephone number, including area code, of agent for service)
Copy to:
Frank C. Woodruff
Erin Joyce Letey
Riddell
Williams P.S.
1001 Fourth Avenue, Suite 4500
Seattle, WA 98154
Telephone: (206) 624-3600
Facsimile: (206) 389-1708
Approximate
date of commencement of proposed sale to the public:
From time to time after this registration statement becomes effective.
If the
only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans, please check the following box. ☐
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. ☑
If this Form is filed to register additional securities for an
offering pursuant to Rule 462(b) under the Securities Act of 1933, check the following box and list the Securities Act registration statement 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 of 1933, check the following box and
list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐
If this Form is registration statement pursuant to General Instruction I.D. or a post-effective amendment thereto that shall become effective
upon filing with the Commission pursuant to Rule 462(e) under the Securities Act, check the following box. ☐
If
this Form is a post-effective amendment to a registration statement filed pursuant to General Instruction I.D. filed to register additional securities or additional classes of securities pursuant to Rule 413(b) under the Securities Act, check
the following box. ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a
non-accelerated filer, or a smaller reporting company. See the definitions of large accelerated filer, accelerated filer, and smaller reporting company in Rule 12b-2 of the Securities Exchange Act of 1934.
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Large accelerated filer
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☐
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Accelerated filer
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☑
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Non-accelerated filer
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☐ (Do not check if a smaller reporting company)
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Smaller reporting company
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☐
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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 thereafter 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 Securities and Exchange Commission, acting pursuant to said Section 8(a), may determine.
EXPLANATORY NOTE
This Amendment No. 2 (this Amendment) to the Registration Statement on Form S-3 (File No. 333-212790) (the Registration
Statement) of Red Lion Hotels Corporation is being filed solely for the purpose of filing a revised Consent of Independent Registered Public Accounting Firm as Exhibit 23.2 of Item 16 of Part II. Accordingly, this Amendment consists only
of the facing page, this explanatory note, Item 16. Exhibits, the signature page of the Registration Statement, the Exhibit Index and Exhibit 23.2. The prospectus and the balance of Part II of the Registration Statement are unchanged and have
been omitted.
PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
The attached Exhibit Index is incorporated herein by
reference.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe it meets
all the requirements for filing on
Form S-3
and has duly caused this Amendment No. 2 to the Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the
City of Spokane, State of Washington, on November 18, 2016.
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RED LION HOTELS CORPORATION
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By:
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/s/ Gregory T. Mount
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Gregory T. Mount
President and Chief
Executive Officer
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Pursuant to the requirements of the Securities Act of 1933, this registration statement
has been signed by the following persons in the capacities and on the dates indicated below.
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Signature
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Title
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Date
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/s/ Gregory T. Mount
Gregory T. Mount
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President, Chief Executive Officer and Director (Principal Executive Officer)
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November 18, 2016
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/s/ David M. Wright
David M. Wright
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Vice President of Accounting, Tax & External Reporting, Interim Chief Financial Officer (Principal Financial and Accounting Officer)
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November 18, 2016
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Robert G. Wolfe
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Chairman of the Board of Directors
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November 18, 2016
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Raymond R. Brandstrom
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Director
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November 18, 2016
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James P. Evans
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Director
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November 18, 2016
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Enrico Marini Fichera
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Director
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November 18, 2016
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David J. Johnson
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Director
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November 18, 2016
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Melvin L. Keating
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Director
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November 18, 2016
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Michael Vernon
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Director
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November 18, 2016
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Alexander Washburn
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Director
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November 18, 2016
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Gregory T. Mount hereby signs this Amendment No. 2 to the Registration Statement on behalf of each of the indicated persons for whom he is attorney-in-fact pursuant to the power of attorney filed as an exhibit to
the Registration Statement.
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By
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/s/ Gregory T. Mount
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Gregory T. Mount
Attorney-in-Fact
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Dated: November 18, 2016
EXHIBIT INDEX
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Exhibit
Number
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Description
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1.1**
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Form of Underwriting Agreement with respect to Debt Securities
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1.2**
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Form of Underwriting Agreement with respect to Common Stock
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1.3**
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Form of Underwriting Agreement with respect to Preferred Stock
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1.4**
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Form of Underwriting Agreement with respect to Warrants
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1.5**
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Form of Underwriting Agreement with respect to Units
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3.1
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Amended and Restated Articles of Incorporation (incorporated by reference to Exhibit 3.2 in the Current Report on Form 8-K (Commission File
No. 001-13957)
filed on
May 25, 2011)
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3.2
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Amended and Restated By-Laws (incorporated by reference to Exhibit 3.1 in the Current Report on Form 8-K (Commission File
No. 001-13957)
filed on August 12, 2013)
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4.1
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Specimen Common Stock Certificate (incorporated by reference to Exhibit 4.1 in the Form S-3/A (Commission File No. 333-133287) filed on May 15, 2006)
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4.2**
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Form of Preferred Stock Certificate
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4.3**
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Form of Debt Security
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4.4**
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Form of Debt Warrant
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4.5**
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Form of Equity Warrant
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4.6**
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Form of Unit
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4.7*
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Form of Indenture, between us and one or more trustees to be named
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5*
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Opinion of Riddell Williams P.S.
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12.1*
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Statement of Computation of Ratios
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23.1*
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Consent of Riddell Williams P.S. (included in Exhibit 5)
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23.2
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Consent of Independent Registered Public Accounting Firm
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24*
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Power of Attorney
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25.1***
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Statement of Eligibility of Trustee on Form T-1
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To be filed by amendment or by a report filed under the Securities Exchange Act of 1934, as amended, and incorporated herein by reference.
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***
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To be filed in accordance with the requirements of Section 305(b)(2) of the Trust Indenture Act of 1939, as amended, under electronic form type 305B2.
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