Delaware (State or other jurisdiction of incorporation) | 77-0191793 (I.R.S. Employer Identification No.) |
Large accelerated filer þ | Accelerated filer o | Non accelerated filer o | Smaller reporting company o |
Title of securities to be registered | Amount to be registered(1)(2) | Proposed maximum offering price per share(3) | Proposed maximum aggregate offering price(3) | Amount of registration fee(2)(3) | ||||||||||
Common Stock, par value $0.001 per share | 183,069 shares | $ | 19.37 | $ | 3,546,047 | $ | 456.74 |
(1) | Represents the number of shares of SanDisk Corporation, a Delaware corporation (the “Company” or the “Registrant”), common stock, par value $0.001 per share (the “Common Stock”), that may be issuable pursuant to certain options granted by SMART Storage Systems (Global Holdings), Inc. under its 2011 Share Incentive Plan (the “Plan”) and assumed by the Registrant (the “Options”). This Registration Statement covers, in addition to the number of shares of Common Stock stated above, pursuant to Rule 416(c) under the Securities Act of 1933, as amended (the “Securities Act”), an additional indeterminate number of shares that may be offered or issued pursuant to the Options as a result of one or more adjustments under the Plan resulting from one or more stock splits, stock dividends, recapitalizations or similar transactions. |
(2) | Each share of Common Stock is accompanied by a preferred stock purchase right pursuant to the Rights Agreement between the Company and Computershare Trust Company, Inc., dated as of September 15, 2003, as amended by Amendment No. 1 to Rights Agreement, dated as of November 6, 2006. Until the occurrence of certain events specified in the Rights Agreement, these rights are not exercisable, are evidenced by the certificates for the Common Stock and are transferred solely with the Common Stock. The value attributable to these rights, if any, is reflected in the value of the Common Stock, and, accordingly, no separate fee is paid. |
(3) | Pursuant to Securities Act Rule 457(h), the maximum offering price, per share and in the aggregate, and the registration fee were calculated based upon the weighted average exercise price of the Options. |
The Exhibit Index for this Registration Statement is at page 8. |
(a) | The Registrant’s Annual Report on Form 10-K for its fiscal year ended December 30, 2012, filed with the Commission on February 19, 2013 (Commission File No. 000-26734); |
(b) | The Registrant’s Quarterly Report on Form 10-Q for its fiscal quarter ended March 31, 2013, filed with the Commission on May 3, 2013 (Commission File No. 000-26734); |
(c) | The Registrant’s Quarterly Report on Form 10-Q for its fiscal quarter ended June 30, 2013, filed with the Commission on July 30, 2013 (Commission File No. 000-26734); |
(d) | The Registrant’s Current Reports on Form 8-K, filed with the Commission on February 21, 2013, March 26, 2013, June 18, 2013 and September 17, 2013 (each, Commission File No. 000-26734); |
(e) | The description of the Registrant’s Common Stock contained in its Registration Statement on Form 8-A filed with the Commission on September 8, 1995 (Commission File No. 000-26734), and any other amendment or report filed for the purpose of updating such description; and |
(f) | The description of the Registrant’s preferred stock purchase rights contained in its Registration Statement on Form 8-A filed with the Commission on September 25, 2003 (Commission File No. 000-26734), and any other amendment or report filed for the purpose of updating such description. |
See the attached Exhibit Index at page 8, which is incorporated herein by reference. |
(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; |
(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. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than a 20 percent change in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective 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; |
(2) | That, for the purpose of determining any liability under the Securities Act, 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. |
(b) | The undersigned Registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the Registrant’s annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to Section 15(d) of the Exchange Act) 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 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 Securities 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 and will be governed by the final adjudication of such issue. |
SANDISK CORPORATION | ||
By: | /s/ Judy Bruner | |
Name: | Judy Bruner | |
Title: | Executive Vice President, Administration and Chief Financial Officer (Principal Financial Officer) | |
By: | /s/ Donald Robertson | |
Name: | Donald Robertson | |
Title: | Vice President, Chief Accounting Officer (Principal Accounting Officer) |
Signature | Title | Date | |||
By: | /s/ Sanjay Mehrotra | President and Chief Executive Officer and Director (Principal Executive Officer) | October 18, 2013 | ||
Sanjay Mehrotra | |||||
By: | /s/ Judy Bruner | Executive Vice President, Administration and Chief Financial Officer (Principal Financial Officer) | October 18, 2013 | ||
Judy Bruner | |||||
By: | /s/ Donald Robertson | Vice President, Chief Accounting Officer (Principal Accounting Officer) | October 18, 2013 | ||
Donald Robertson | |||||
By: | /s/ Michael E. Marks | Chairman of the Board | October 16, 2013 | ||
Michael E. Marks | |||||
By: | /s/ Kevin DeNuccio | Director | October 15, 2013 | ||
Kevin DeNuccio | |||||
By: | /s/ Irwin Federman | Director | October 17, 2013 | ||
Irwin Federman | |||||
By: | /s/ Steven J. Gomo | Director | October 14, 2013 | ||
Steven J. Gomo | |||||
By: | /s/ Eddy W. Hartenstein | Director | October 15, 2013 | ||
Eddy W. Hartenstein | |||||
By: | /s/ Dr. Chenming Hu | Director | October 14, 2013 | ||
Dr. Chenming Hu | |||||
By: | /s/ Catherine P. Lego | Director | October 15, 2013 | ||
Catherine P. Lego | |||||
By: | /s/ D. Scott Mercer | Director | October 14, 2013 | ||
D. Scott Mercer |
Incorporated by Reference | ||||||||||||
Exhibit Number | Exhibit Title | Form | File No. | Exhibit No. | Filing Date | Provided Herewith | ||||||
4.1 | Rights Agreement, dated as of September 15, 2003, by and between the Registrant and Computershare Trust Company, Inc. | 8-A | 000-26734 | 4.2 | 9/25/2003 | |||||||
4.2 | Amendment No. 1 to Rights Agreement, dated as of November 6, 2006. by and between the Registrant and Computershare Trust Company, Inc. | 8-A/A | 000-26734 | 4.2 | 11/8/2006 | |||||||
4.3 | SMART Storage Systems (Global Holdings), Inc. 2011 Share Incentive Plan and related documents. | X | ||||||||||
5.1 | Opinion of Latham & Watkins LLP. | X | ||||||||||
23.1 | Consent of Ernst & Young LLP (consent of independent registered public accounting firm). | X | ||||||||||
23.2 | Consent of Latham & Watkins LLP (included in Exhibit 5.1). | X | ||||||||||
24.1 | Power of Attorney (included on the signature page of this Registration Statement). | X |