Amended Securities Registration (section 12(g)) (8-a12g/a)
January 19 2021 - 05:44PM
Edgar (US Regulatory)
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM 8-A/A
(Amendment No. 2)
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR (g) OF THE
SECURITIES EXCHANGE ACT OF 1934
HOVNANIAN ENTERPRISES, INC.
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(Exact name of registrant as specified in its charter)
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Delaware
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22-1851059
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(State or other jurisdiction of incorporation or
organization)
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(I.R.S. Employer
Identification No.)
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90 Matawan Road, Fifth Floor
Matawan, New Jersey
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07747
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(Address of principal executive offices)
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(Zip Code)
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Securities to be registered pursuant to Section 12(b) of the
Act:
Title of each class
to be so registered
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Name of each exchange on which
each class is to be registered
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If this form relates to the registration of a class of securities
pursuant to Section 12(b) of the Exchange Act and is effective
pursuant to General Instruction A.(c) or (e), check the following
box. ☐
If this form relates to the registration of a class of securities
pursuant to Section 12(g) of the Exchange Act and is effective
pursuant to General Instruction A.(d) or (e), check the following
box. ☒
If this form relates to the registration of a class of securities
concurrently with a Regulation A offering, check the following box.
☐
Securities Act registration statement or Regulation A offering
statement file number to which this form relates:
__________________ (if applicable)
Securities to be registered pursuant to Section 12(g) of the
Act:
Preferred Stock Purchase Rights
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(Title of class)
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EXPLANATORY NOTE
This Amendment No. 2 hereby further amends the registration
statement on Form 8-A filed by Hovnanian Enterprises, Inc. (the
“Company”) with the Securities and Exchange Commission (the
“SEC”) on February 10, 2009, as amended by the amended
registration statement on Form 8-A/A filed by the Company with the
SEC on January 12, 2018, by supplementing Items 1 and 2 with the
following.
Item 1. Description of Registrant’s Securities to be
Registered.
On January 18, 2021, the Company entered into Amendment No. 2 to
the Rights Agreement (the “Amendment”), which amends the
Rights Agreement, dated as of August 14, 2008 (the “Rights
Agreement”), between the Company and Computershare Trust
Company, N.A. (as successor to National City Bank), as Rights
Agent, as amended by Amendment No. 1, dated January 11, 2018
(“Amendment No. 1”).
Under the Amendment, (i) each preferred stock purchase right, if
exercisable, will initially represent the right to purchase from
the Company one ten-thousandth of a share of the Company’s Series B
Junior Preferred Stock, par value $0.01 per share (the “Series B
Preferred Stock”), for a purchase price of $171.85 (the
“Purchase Price”) (which Purchase Price was modified in
light of the trading price of the Company’s Class A Common Stock
since the adoption of Amendment No. 1, after giving effect to the
Company’s 1-for-25 reverse stock split effected on March 29, 2019),
(ii) the Final Expiration Date (as defined in the Rights Agreement)
will be extended to August 14, 2024 (or August 14, 2022 if the
stockholders of the Company have not approved the Amendment by such
date), (iii) in the event rights certificates are distributed, such
certificates will not need to be affixed with a corporate seal and
may be signed by electronic signature and (iv) notwithstanding any
prior adjustments, each share of the Company’s Class A Common Stock
and Class B Common Stock entitles the holder thereof to one right,
representing the right to purchase from the Company one
ten-thousandth of a share of Series B Preferred Stock at the
Purchase Price (subject to certain adjustments).
The foregoing description of the Amendment does not purport to be
complete and is qualified in its entirety by reference to the full
text of the Amendment, which is filed as Exhibit 4.1 hereto, and is
incorporated herein by reference, Amendment No. 1, which is filed
as Exhibit 4.2 hereto, and is incorporated herein by reference, and
the Rights Agreement, which is filed as Exhibit 4.3 hereto, and is
incorporated herein by reference.
Item 2. Exhibits.
Exhibit
Number
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Description of Documents
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4.1
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Amendment No. 2 to Rights Agreement,
dated as of January 18, 2021, between the Company and Computershare
Trust Company, N.A. (as successor to National City Bank), as Rights
Agent, which includes the amended and restated Form of Rights
Certificate as Exhibit 1 and the amended and restated Summary of
Rights as Exhibit 2 (incorporated herein by reference to Exhibit
4.1 to the Company’s Current Report on Form 8-K, filed on
January 19, 2021).
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4.2
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Amendment No. 1 to Rights Agreement,
dated as of January 11, 2018, between the Company and Computershare
Trust Company, N.A. (as successor to National City Bank), as Rights
Agent, which includes an amended and restated Form of Rights
Certificate as Exhibit 1 and an amended and restated Summary of
Rights as Exhibit 2 (incorporated herein by reference to Exhibit
4.1 to the Company’s Current Report on Form 8-K, filed on
January 11, 2018).
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4.3
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Rights Agreement, dated as of August
14, 2008, between the Company and Computershare Trust Company, N.A.
(as successor to National City Bank), as Rights Agent, which
includes the Form of Certificate of Designation as Exhibit A, Form
of Rights Certificate as Exhibit B and the Summary of Rights as
Exhibit C (incorporated herein by reference to Exhibit
4.1 to the Company’s Registration Statement on Form 8-A, filed
on August 14, 2008).
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SIGNATURE
Pursuant to the requirements of Section 12 of the Securities
Exchange Act of 1934, the registrant has duly caused this
registration statement to be signed on its behalf by the
undersigned, thereunto duly authorized.
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HOVNANIAN ENTERPRISES, INC.
(Registrant)
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By:
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/s/ J.
Larry Sorsby
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Name: J. Larry Sorsby
Title: Executive Vice President and Chief Financial Officer
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Date: January 19, 2021