As filed with the Securities and Exchange Commission on June 10, 2004
Registration No. 333-__________
SECURITIES AND EXCHANGE COMMISSION
FORM S-8
APPLIED MATERIALS, INC.
Delaware | 94-1655526 | |
(State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification No.) |
3050 Bowers Avenue, P.O. Box 58039, Santa Clara, California 95052-8039
(Address of Principal Executive Offices) (Zip Code)
APPLIED MATERIALS, INC.
EMPLOYEE STOCK INCENTIVE PLAN
(Formerly named the Applied Materials, Inc. 1995 Equity Incentive Plan)
(Full title of the plan)
Joseph J. Sweeney
Applied Materials, Inc.
3050 Bowers Avenue, P.O. Box 58039, Santa Clara, California 95052-8039
(Name and address of agent for service)
Telephone number, including area code, of agent for service: (408) 727-5555
Copy to:
John E. Aguirre, Esq.
Wilson Sonsini Goodrich & Rosati, PC
650 Page Mill Road
Palo Alto, California 94304
CALCULATION OF REGISTRATION FEE
Proposed | Proposed Maximum | |||||||
Title of Securities to be | Amount to be | Maximum Offering | Aggregate Offering | Amount of | ||||
Registered |
Registered* |
Price Per Share** |
Price** |
Registration Fee** |
||||
Common Stock*** and
Options to Purchase
Common Stock
|
70,000,000 shares | $18.77 | $1,313,900,000.00 | $166,472.00 |
* | This Registration Statement shall also cover any additional shares of the Registrants Common Stock that become issuable under the Applied Materials, Inc. Employee Stock Incentive Plan (formerly named the Applied Materials, Inc. 1995 Equity Incentive Plan) described herein by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without the Registrants receipt of consideration that results in an increase in the number of the Registrants outstanding shares of Common Stock. | |
** | Estimated solely for the purpose of calculating the registration fee pursuant to Rules 457(c) and (h) under the Securities Act of 1933, as amended, on the basis of $18.77 per share, the average of the high and low prices per share of the Common Stock on June 3, 2004, as reported by Nasdaq. | |
*** | Includes associated rights (the Rights) to purchase preferred or common stock. Until the occurrence of certain prescribed events, none of which has occurred, the Rights are not exercisable. |
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INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
ITEM 3. INCORPORATION OF CERTAIN DOCUMENTS BY REFERENCE
The following documents are incorporated by reference in this registration
statement: (i) the latest annual report of Applied Materials, Inc. (the
Registrant) filed pursuant to Section 13(a) or 15(d) of the Securities
Exchange Act of 1934, as amended (the Exchange Act); (ii) all other reports
filed pursuant to Section 13(a) or 15(d) of the Exchange Act since the end of
the fiscal year covered by the annual report referred to in clause (i) above
(other than any Current Reports on Form 8-K containing Regulation FD disclosure
furnished under Item 9 or Results of Operations and Financial Condition
disclosure furnished under Item 12 and exhibits relating to such disclosures,
unless otherwise specifically stated in such Current Reports on Form 8-K); and
(iii) the description of the Registrants common stock set forth in the
Registrants Registration Statement on Form 8-A relating thereto, including any
amendment or report filed for the purpose of updating such description. All
documents subsequently filed by the Registrant on or after the date of this
registration statement pursuant to Sections 13(a), 13(c), 14,
and
15(d) of the
Exchange Act and prior to the filing of a post-effective amendment that
indicates that all securities offered have been sold or deregisters all
securities then remaining unsold (other than any Current Reports on Form 8-K
containing Regulation FD disclosure furnished under Item 9 or Results of
Operations and Financial Condition disclosure furnished under Item 12 and
exhibits relating to such disclosures, unless otherwise specifically stated in
such Current Reports on Form 8-K), shall be deemed to be incorporated by
reference in this registration statement and to be a part hereof from the date
of filing of such documents.
ITEM 4. DESCRIPTION OF SECURITIES
Inapplicable.
ITEM 5. INTERESTS OF NAMED EXPERTS AND COUNSEL
Inapplicable.
ITEM 6. INDEMNIFICATION OF DIRECTORS AND OFFICERS
Section 145 of the Delaware General Corporation Law (the Delaware Law) authorizes a court to award, or a corporations board of directors to grant, indemnity to directors and officers in terms sufficiently broad to permit such indemnification under certain circumstances for liabilities (including reimbursement for expenses incurred) arising under the Securities Act of 1933, as amended. The Registrants Certificate of Incorporation provides for indemnification of the Registrants directors, officers, employees and other agents to the maximum extent permitted by Delaware Law. In addition, the Registrant has entered into indemnification agreements with its directors and certain of its officers.
ITEM 7. EXEMPTION FROM REGISTRATION CLAIMED
Inapplicable.
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ITEM 8. EXHIBITS
4.1 | Applied Materials, Inc. Employee Stock Incentive Plan, as amended (formerly named the Applied Materials, Inc. 1995 Equity Incentive Plan) (incorporated by reference to Exhibit A to the Registrants Definitive Proxy Statement filed on February 17, 2004, Commission File No. 0-6920). | |||
5.1 | Opinion of Wilson Sonsini Goodrich & Rosati, Professional Corporation. | |||
23.1 | Consent of Independent Registered Public Accounting Firm. | |||
23.2 | Consent of Wilson Sonsini Goodrich & Rosati, Professional Corporation is included in Exhibit 5.1 to this Registration Statement. | |||
24.1 | Power of Attorney of Directors. |
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, represent a fundamental change in the information set forth in the registration statement;
(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 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 the 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 offered therein, and the offering of such securities at that time 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.
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(b) The undersigned Registrant hereby undertakes that, for purposes of determining any liability under the Securities Act of 1933, each filing of the Registrants annual report pursuant to section 13(a) or section 15(d) of the Securities Exchange Act of 1934 (and, where applicable, each filing of an employee benefit plans annual report pursuant to section 15(d) of the Securities Exchange Act of 1934) that is incorporated by reference in the registration statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that 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 Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Registrant 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.
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Signatures
THE REGISTRANT
Pursuant to 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 for filing on Form S-8 and has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Santa Clara, State of California on the 10th day of June, 2004.
APPLIED MATERIALS, INC. |
(Registrant) |
/s/
Michael R. Splinter |
Michael R. Splinter |
President and
Chief Executive Officer |
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.
Signature | Title | Date | ||
Principal Executive Officer: |
||||
/s/ Michael R. Splinter Michael R. Splinter |
President and Chief Executive Officer |
June 10, 2004 | ||
Principal Financial Officer: | ||||
/s/ Joseph R. Bronson Joseph R. Bronson |
Executive Vice President and Chief Financial Officer |
June 10, 2004 | ||
Principal Accounting Officer: | ||||
/s/ Nancy H. Handel Nancy H. Handel |
Group Vice President, Deputy Chief Financial Officer and Corporate Controller |
June 10, 2004 |
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Directors: | ||||
* James C. Morgan |
Chairman of the Board | June 10, 2004 | ||
* Michael H. Armacost |
Director | June 10, 2004 | ||
* Deborah A. Coleman |
Director | June 10, 2004 | ||
* Herbert M. Dwight, Jr. |
Director | June 10, 2004 | ||
* Philip V. Gerdine |
Director | June 10, 2004 | ||
* Paul R. Low |
Director | June 10, 2004 | ||
* Dan Maydan |
Director | June 10, 2004 | ||
* Steven L. Miller |
Director | June 10, 2004 | ||
* Gerhard H. Parker |
Director | June 10, 2004 | ||
Willem P. Roelandts |
Director | June , 2004 | ||
* Michael R. Splinter |
Director | June 10, 2004 |
Representing a majority of the members of the Board of Directors.
*By
|
/s/ Joseph J. Sweeney | |
Joseph J. Sweeney Attorney-in-Fact** |
** | By authority of the Power of Attorney of Directors filed as Exhibit 24.1 to this Registration Statement. |
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EXHIBIT INDEX
4.1 | Applied Materials, Inc. Employee Stock Incentive Plan, as amended (formerly named the Applied Materials, Inc. 1995 Equity Incentive Plan) (incorporated by reference to Exhibit A to the Registrants Definitive Proxy Statement filed on February 17, 2004, Commission File No. 0-6920). | |||
5.1 | Opinion of Wilson Sonsini Goodrich & Rosati, Professional Corporation. | |||
23.1 | Consent of Independent Registered Public Accounting Firm. | |||
23.2 | Consent of Wilson Sonsini Goodrich & Rosati, Professional Corporation is included in Exhibit 5.1 to this Registration Statement. | |||
24.1 | Power of Attorney of Directors. |
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