Form 8-K Kopin Corp

Current report, items 8.01 and 9.01

Published: 2019-04-10 16:05:24
Submitted: 2019-04-10
Period Ending In: 2019-04-10
a51967088.htm KOPIN CORPORATION 8-K






Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934

Date of Report (Date of Earliest Event Reported) April 10, 2019

(Exact Name of Registrant as Specified in Charter)




(State or Other Jurisdiction

of Incorporation)


File Number)

(IRS Employer

Identification No.)

125 North Drive, Westborough, MA 01581
(Address of Principal Executive Offices)     (Zip Code)

(508) 870-5959
(Registrant’s telephone number, including area code)

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2 below):

⃞ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

⃞ 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))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  ⃞

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ⃞

Item 8.01.           Other Events.

On April 10, 2019, Kopin Corporation issued a press release announcing that it had closed the partial exercise of the underwriters’ overallotment option in connection with the public offering of its common stock. The full text of the press release is filed as Exhibit 99.1 to this Current Report on Form 8-K and incorporated herein by reference.

Item 9.01.           Financial Statements and Exhibits.

(d) Exhibits.

See the Exhibit Index below, which is incorporated by reference herein.



Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.



April 10, 2019

/s/ Richard A. Sneider

Richard A. Sneider

Treasurer and Chief Financial Officer

(Principal Financial and Accounting Officer)

a51967088ex99_1.htm EXHIBIT 99.1


Exhibit 99.1

Kopin Announces Partial Exercise of Underwriters’ Option in Connection With Its Public Offering

WESTBOROUGH, Mass.--(BUSINESS WIRE)--April 10, 2019--Kopin Corporation (Nasdaq: KOPN), a leading developer of innovative wearable computing technologies and solutions, today announced that it closed the issuance of an additional 706,454 shares of its common stock pursuant to the partial exercise of the underwriters’ overallotment option in connection with its public offering, resulting in gross proceeds of approximately $777,100 and bringing the total gross proceeds of the public offering to approximately $8,777,100, before deducting underwriting discounts and offering expenses payable by Kopin.

Ladenburg Thalmann & Co. Inc., a subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS), acted as sole book running manager in connection with the public offering.

The additional shares were offered pursuant to an effective shelf registration statement (File No. 333-228549) declared effective by the Securities and Exchange Commission on December 14, 2018. A prospectus supplement and the related prospectus have been filed with the SEC and are available on the SEC’s website located at Copies of the prospectus supplement and the accompanying prospectus relating to the offering may be obtained from Ladenburg Thalmann & Co., Attn: Prospectus Department, 277 Park Ave, 26th floor, New York, NY 10172 or by calling 1-800-573-2541.

This press release shall not constitute an offer to sell or a solicitation of an offer to buy nor shall there be any offer or sale of these securities in any state or jurisdiction in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of such state or jurisdiction.

About Kopin

Kopin Corporation is a leading developer and provider of innovative wearable technologies and critical components for integration into wearable computing systems for military, industrial and consumer products. Kopin’s technology portfolio includes ultra-small displays, optics, speech enhancement technology, voice-interface and hands-free control software, low-power ASICs, and ergonomically designed smart headset reference systems. Kopin’s proprietary components and technology are protected by more than 300 global patents and patents pending. For more information, please visit Kopin’s website at

Forward-Looking Statements

This press release contains “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995, including, but not limited to, all statements relating to the expected use of the net proceeds from the offering of common stock. Words such as “expects,” “intends,” “would,” “may” and variations of such words and similar expressions, and the negatives thereof, are intended to identify such forward-looking statements. Forward-looking statements are based on Kopin’s current expectations and assumptions and are subject to inherent uncertainties, risks and changes in circumstances that may differ materially from those contemplated by the forward-looking statements. Such risks and uncertainties can be found in Kopin’s filings with the SEC under the caption “Risk Factors,” including its most recent annual report on Form 10-K available at the SEC’s website at

Kopin Investor Relations
Richard Sneider, (508) 870 5959
Investor Relations
JoAnn Horne, (415) 445-3233
Market Street Partners

Additional Files
0001157523-19-000792.txt   Complete submission text file   18930

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SEC CFR Title 17 of the Code of Federal Regulations.