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EX-5 - LEGAL OPINION OF KENNETH R. LOMBARDO - QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC. | rrd364486_39038.htm |
EX-10 - AT THE MARKET OFFERING AGREEMENT DATED DECEMBER 28, 2012 - QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC. | rrd364486_39040.htm |
DE
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33-0933072
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(State or other jurisdiction of
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(IRS Employer
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incorporation)
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Identification No.)
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[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
The Shares sold in the offering will be issued pursuant to the Company's effective shelf registration statement on Form S-3 (Registration No. 333-176772) previously filed with the Securities and Exchange Commission (the "SEC"), in accordance with the provisions of the Securities Act, as supplemented by a prospectus supplement dated December 28, 2012, which the Company filed with the SEC pursuant to Rule 424(b)(5) under the Securities Act.
The Sales Agent is not required to sell any specific number or dollar amount of Shares but will use its commercially reasonable efforts, as the Company's agent and subject to the terms of the Sales Agreement, to sell the Shares offered, as instructed by the Company.
The Sales Agreement provides that the Company will pay the Sales Agent a fee of 3.0% of the gross sales price of any Shares sold through the Sales Agent. The Sales Agreement contains customary representations, warranties and agreements of the Company and the Sales Agent and customary conditions to completing future sale transactions, indemnification rights and obligations of the parties and termination provisions.
The Company intends to use the net proceeds from any sales of Shares in the offering for general corporate purposes. The Company's management will have significant flexibility in applying the net proceeds of this offering.
This Current Report on Form 8-K shall not constitute an offer to sell or a solicitation of an offer to buy any Shares, nor shall there be any sale of the Shares in any state or jurisdiction in which such an offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or other jurisdiction.
The Sales Agreement is filed as Exhibit 10.1 to this Current Report on Form 8-K and is incorporated herein by reference. The foregoing description of the Sales Agreement and the transactions contemplated thereby is qualified in its entirety by reference to Exhibit 10.1.
QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC.
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Date: December 28, 2012
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By:
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/s/ Kenneth R. Lombardo
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Kenneth R. Lombardo
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General Counsel
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Exhibit No.
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Description
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EX-5.1
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Legal Opinion of Kenneth R. Lombardo
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EX-10.1
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At the Market Offering Agreement dated December 28, 2012
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