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SpeechFX Inc – ‘10-12G/A’ on 10/14/11

On:  Friday, 10/14/11, at 5:18pm ET   ·   Accession #:  1096906-11-2403   ·   File #:  0-54445

Previous ‘10-12G’:  ‘10-12G’ on 8/25/11   ·   Latest ‘10-12G’:  This Filing

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

10/14/11  SpeechFX Inc                      10-12G/A              14:22M                                    Southridge Svcs Inc/FA

Amendment to Registration of Securities (General Form)   —   Form 10
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-12G/A    Speechfx, Inc. Form 10 Amendment #1                 HTML     49K 
 2: EX-2.1      Form of Separation and Distribution Agreement by    HTML    146K 
                          and Between Fonix Corporation and                      
                          Speechfx, Inc. Dated __________, 2011                  
 3: EX-3.2      Bylaws of Speechfx, Inc                             HTML    112K 
 4: EX-10.3     Secured Promissory Note Dated March 14, 2011 in     HTML      9K 
                          the Principal Amount of $100,000,                      
                          Payable by Speech Fx, Inc. (Formerly                   
                          Fonix Speech, Inc.), to Southridge                     
                          Partners Ii, Lp.                                       
 5: EX-10.3     PDF Reference -- ex10-3                              PDF   3.44M 
 6: EX-10.4     Software Development Agreement, and Related         HTML      8K 
                          Software License Agreements, Between                   
                          Speechfx, Inc. (Formerly Fonix Speech,                 
                          Inc.), and Casio Soft Co., Ltd, A                      
                          Japanese Corporation, as Amended to Date               
 7: EX-10.4     PDF Reference -- ex10-4                              PDF   8.49M 
 8: EX-10.5     Software License Agreement Dated June 29, 2007,     HTML      8K 
                          Between Speechfx, Inc. (Formerly Fonix                 
                          Speech, Inc.) and Fonix Corporation, and               
                          Oc3 Entertainment, Inc.                                
 9: EX-10.5     PDF Reference -- ex10-5                              PDF    484K 
10: EX-10.6     Runtime License Agreement Dated January 1, 2000     HTML      8K 
                          Between Smart Modular Technologies                     
                          (Systems) Inc. (Predecessor-In-Interest                
                          to Speechfx, Inc.), and Kinnor Software                
11: EX-10.6     PDF Reference -- ex10-6                              PDF   1.20M 
12: EX-10.7     Amended and Restated Software License Agreement     HTML      8K 
                          Dated July 16, 2010 Between Casio                      
                          Information Systems Co, Ltd, and                       
                          Speechfx, Inc. (Formerly Fonix Speech,                 
                          Inc.)                                                  
13: EX-10.7     PDF Reference -- ex10-7                              PDF   1.16M 
14: EX-99.1     Preliminary Information Statement, Subject to       HTML    919K 
                          Completion, Dated September ___, 2011                  


10-12G/A   —   Speechfx, Inc. Form 10 Amendment #1


This is an HTML Document rendered as filed.  [ Alternative Formats ]






UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 

FORM 10/A
Amendment No. 1
  

GENERAL FORM FOR REGISTRATION OF SECURITIES
Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934
 
SPEECHFX, INC.
(Exact name of registrant as specified in its charter)
 
Delaware
 
20-5766053
(State or other jurisdiction of
incorporation or organization)
 
(IRS Employer
Identification No.)
     
387 South 520 West, Suite 110, Lindon, Utah
 
84042
(Address of principal executive offices)
 
(Zip Code)

Registrant’s telephone number, including area code:  (801) 382-7997

Securities to be registered pursuant to Section 12(b) of the Act:  None

Securities to be registered pursuant to Section 12(g) of the Act:  Common Stock, par value $0.0001 per share

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company.  See definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.

Large accelerated filer o
Accelerated filer o
Non-accelerated filer o
Smaller reporting company x
(Do not check if a smaller reporting company)
 
 
 
 
 

 

INFORMATION REQUIRED IN REGISTRATION STATEMENT

CROSS-REFERENCE SHEET BETWEEN INFORMATION STATEMENT AND ITEMS OF FORM 10

Our information statement is filed as Exhibit 99.1 to this Form 10 (the “Information Statement”).  For your convenience, we have provided below a cross-reference sheet identifying where the items required by Form 10 can be found in the Information Statement.

Item No.
 
Caption
 
Location in Information Statement
         
Item 1.
 
Business
 
See “Summary,” “Business,” “Management’s Discussion and Analysis of Financial Condition and Results of Operations,” and “The Spin-off”
         
Item 1A.
 
Risk Factors
 
See “Risk Factors”
         
Item 2.
 
Financial Information
 
See “Summary,” “Management’s Discussion and Analysis of Financial Condition and Results of Operations,” and “Index to Financial Statements” and the statements referenced therein
         
Item 3.
 
Properties
 
See “Business—Properties”
         
Item 4.
 
Security Ownership of Certain Beneficial Owners and Management
 
See “Security Ownership of Certain Beneficial Owners and Management”
         
Item 5.
 
Directors and Executive Officers
 
See “Management”
         
Item 6.
 
Executive Compensation
 
See “Executive Compensation”
         
Item 7.
 
Certain Relationships and Related Transactions, and Director Independence
 
See “Management” and “Certain Relationships and Related Transactions”
         
Item 8.
 
Legal Proceedings
 
See “Business—Legal Proceedings”
         
Item 9.
 
Market Price of and Dividends on the Registrant’s Common Equity and Related Stockholder Matters
 
See “Summary”
         
Item 10.
 
Recent Sales of Unregistered Securities
 
Not applicable
         
Item 11.
 
Description of Registrant’s Securities to be Registered
 
See “Description of Capital Stock”
         
Item 12.
 
Indemnification of Directors and Officers
 
See “Management” and “Description of Capital Stock”
         
Item 13.
 
Financial Statements and Supplementary Data
 
See “Index to Financial Statements” and the statements referenced therein
         
Item 14.
 
Changes in and Disagreements with Accountants on Accounting and Financial Disclosure
 
Not applicable
         
Item 15.
 
Financial Statements and Exhibits
 
See “Index to Financial Statements” and the statements referenced therein


 
2

 

Item 15.  Financial Statements and Exhibits.

(a) Financial Statements

The following financial statements and accompanying audit opinion are included in the Information Statement and filed as part of this Registration Statement on Form 10 (see “Financial Statements”):

 
(1)
Report of Independent Registered Public Accounting Firm
     
 
(2)
Balance Sheets of SpeechFX, Inc., as of December 31, 2010 and 2009
     
 
(3)
Statements of Operations of SpeechFX, Inc., for the years ended December 31, 2010 and 2009
     
 
(4)
Statements of Stockholder’s Deficit for the years ended December 31, 2009 and 2010
     
 
(5)
Statements of Cash Flows of SpeechFX, Inc., for the years ended December 31, 2010 and 2009
     
 
(6)
Notes to Financial Statements
     
 
(7)
Unaudited Condensed Financial Statements of SpeechFX, Inc. for the six months ended June 30, 2011
     
 
(8)
Notes to Unaudited Condensed Financial Statements for the six months ended June 30, 2011
     
 
(9)
Unaudited Pro Forma Financial Statements
     
 
(10)
Notes to Unaudited Pro Forma Financial Statements

(b) Exhibits

The following documents are filed as exhibits hereto unless otherwise indicated:

Exhibit No.
 
Exhibit Description
     
2.1
 
Form of Separation and Distribution Agreement by and between Fonix Corporation and SpeechFX, Inc. dated __________, 2011 (filed herewith)
     
3.1
 
Amended and Restated Certificate of Incorporation of SpeechFX, Inc. (previously filed)
     
3.2
 
Bylaws of SpeechFX, Inc. (filed herewith)
     
4.1
 
Form of specimen certificate for the Registrant’s common stock, par value $0.0001 per share (to be filed)
     
10.1
 
Contribution Agreement between Fonix Corporation and SpeechFX, Inc. (formerly Fonix Speech, Inc.), dated February 3, 2006 (previously filed)
     
10.2
 
Form of SpeechFX, Inc. 2011 Incentive Compensation Plan (to be filed)
     
10.3
 
Secured Promissory Note dated March 14, 2011 in the principal amount of $100,000, payable by Speech FX, Inc. (formerly Fonix Speech, Inc.), to Southridge Partners II, LP. (filed herewith)
     
10.4
 
Software Development Agreement, and related Software License Agreements, between SpeechFX, Inc. (formerly Fonix Speech, Inc.), and Casio Soft Co., Ltd, a Japanese corporation, as amended to date (file herewith)
     
10.5
 
Software License Agreement dated June 29, 2007, between SpeechFX, Inc. (formerly Fonix Speech, Inc.) and Fonix Corporation, and OC3 Entertainment, Inc. (filed herewith)
     
10.6
 
Runtime License Agreement dated January 1, 2000 between Smart Modular Technologies (Systems) Inc. (predecessor-in-interest to SpeechFX, Inc.), and Kinnor Software (filed herewith)
     
10.7
 
Amended and Restated Software License Agreement dated July 16, 2010 between Casio Information Systems Co, Ltd, and SpeechFX, Inc. (formerly Fonix Speech, Inc.) (filed herewith)
     
99.1
 
Preliminary Information Statement, subject to completion, dated September ___, 2011 (filed herewith)
 
 

 
3

 

SIGNATURES

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.

 
SPEECHFX, INC.
   
   
 
By:   /s/ Roger D. Dudley
 
 
Title:  Chief Executive Officer
 

 
 
4


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-12G/A’ Filing    Date    Other Filings
Filed on:10/14/11None on these Dates
6/30/11
3/14/11
12/31/10
7/16/10
12/31/09
6/29/07
2/3/06
1/1/00
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