Amended Tender Offer Statement by Issuer (sc To-i/a)
February 15 2018 - 4:17PM
Edgar (US Regulatory)
UNITED
STATES SECURITIES AND EXCHANGE COMMISSION
|
Washington
,
D.C. 20549
|
Amendment
No. 1 to
SCHEDULE TO
TENDER
OFFER STATEMENT
UNDER SECTION 14(d)(1) OR 13(e)(1)
OF THE SECURITIES EXCHANGE ACT OF 1934
|
SOCKET
MOBILE, INC.
|
(Name
of Subject Company (Issuer) and Filing Person (as Offeror))
Common
Stock, Par Value $0.001 Per Share
(Title
of Class of Securities)
83368E200
(CUSIP
Number of Class of Securities)
|
_________________________
David W. Dunlap
Chief Financial Officer
SOCKET MOBILE, INC.
39700 Eureka Drive
Newark
, CA 94560
(510) 933-3000
|
(Name, address and telephone number of person authorized to receive notices and communications on behalf of filing persons)
|
|
With
copies to:
Herbert P.
Fockler
Erika
M. Muhl
Wilson
Sonsini Goodrich & Rosati
Professional
Corporation
650
Page Mill Road
Palo
Alto
, CA 94304
(650) 493-9300
|
|
____________________________________
CALCULATION
OF FILING FEE
|
Transaction
Valuation*
:
$5,312,500
|
Amount
of Filing Fee**
:
$661.41
|
*
Calculated solely for purposes of determining the filing fee. This amount is based
on the purchase of 1,250,000 shares of common stock of Socket Mobile, Inc. at the maximum
tender offer price of $4.25 per share.
**
The amount of the filing fee was calculated in accordance with Rule 0-11 of the Securities
Exchange Act of 1934, as amended, and equals $124.50 for each $1,000,000 of the value
of the transaction.
[X
Check the box if any part of the fee is offset as provided by Rule 0-11(a)(2) and identify
the filing with which the offsettin fee was previously paid. Identify the previous
filing by registration statement number, or the Form or Schedule and the date of its
filing.
|
|
|
|
|
|
|
Amount Previously Paid:
|
$661.41
|
Filing Party:
|
Socket Mobile, Inc.
|
Form or Registration No.:
|
Schedule TO-I
|
Date filed:
|
February 2, 2018
|
[_]
Check the box if the filing relates solely to preliminary communications made before
the commencement of a tender offer.
Check
the appropriate boxes to designate any transactions to which the statement relates:
[_]
third-party tender offer subject to Rule 14d-1.
[X]
issuer tender offer subject to Rule 13e-4.
[_]
going-private transaction subject to Rule 13e-3.
[_]
amendment to Schedule 13D under Rule 13d-2.
Check
the following box if the filing is a final amendment reporting the results of the tender
offer: [_]
If
applicable, place an X in the box to designate the appropriate rule provision relied
upon in conducting this transaction:
[_]
Rule 13e-4(i) (Cross-Border Issuer Tender Offer)
[_]
Rule 14d-1(d) (Cross-Border Third-Party Tender Offer)
|
INTRODUCTORY
STATEMENT
This
Amendment No. 1 (this “Amendment No. 1”) amends and supplements the Tender Offer Statement on Schedule TO filed on
February 2, 2018 (the “Schedule TO”) by Socket Mobile, Inc., a Delaware corporation (“Socket Mobile” or
the “Company”). The Schedule TO, as amended by this Amendment No. 1, relates to the offer by the Company to purchase
up to 1,250,000 shares of its common stock, par value $0.001 per share (the “Shares”), at a price not greater than
$4.25 nor less than $3.75 per Share, net to the seller in cash, less any applicable withholding taxes and without interest. The
Company’s offer is being made upon the terms and subject to the conditions set forth in the Offer to Purchase dated February
2, 2018 (the “Offer to Purchase”), previously filed as Exhibit (a)(1)(i), and in the related Letter of Transmittal
(the “Letter of Transmittal”), previously filed as Exhibit (a)(1)(ii).
Only
those items amended are reported in this Amendment No. 1. Except as specifically provided herein, the information contained in
the Schedule TO remains unchanged, and this Amendment No. 1 does not modify any of the information previously reported in
the Schedule TO.
Item
11.
Additional Information
.
(c)
Other
Material Information
. Item 11 of the Schedule TO is hereby amended and supplemented by amending and restating the fourth bullet
point of the sixth paragraph in Section 10 (“Certain Information Concerning the Company”) of the Offer to Purchase
in its entirety as follows:
“• Current
Reports on Form 8-K filed on March 21, 2017, May 5, 2017, June 14, 2017, September 5, 2017, February 2, 2018 and February 15,
2018 (excluding all financial information other than the information provided in Exhibit 99.2); and”
SIGNATURE
After
due inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete
and correct.
Dated: February
15, 2018
SOCKET
MOBILE, INC.
By:
/s/ David W. Dunlap
Name: David
W. Dunlap
|
Title:
|
C
hief
Financial Officer
|
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