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<SEC-DOCUMENT>0001157523-09-006148.txt : 20090825
<SEC-HEADER>0001157523-09-006148.hdr.sgml : 20090825
<ACCEPTANCE-DATETIME>20090824190935
ACCESSION NUMBER:		0001157523-09-006148
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20090820
ITEM INFORMATION:		Entry into a Material Definitive Agreement
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20090825
DATE AS OF CHANGE:		20090824

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			COPYTELE INC
		CENTRAL INDEX KEY:			0000715446
		STANDARD INDUSTRIAL CLASSIFICATION:	COMPUTER PERIPHERAL EQUIPMENT, NEC [3577]
		IRS NUMBER:				112622630
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1031

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-11254
		FILM NUMBER:		091032480

	BUSINESS ADDRESS:	
		STREET 1:		900 WALT WHITMAN RD
		CITY:			MELVILLE
		STATE:			NY
		ZIP:			11747
		BUSINESS PHONE:		5165495900

	MAIL ADDRESS:	
		STREET 1:		900 WALT WHITMAN ROAD
		CITY:			MELVILLE
		STATE:			NY
		ZIP:			11747
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>a6035515.htm
<DESCRIPTION>COPYTELE, INC. 8-K
<TEXT>
<html>
  <head>
    <title></title>
<!--Copyright 2008 Business Wire, a Berkshire Hathaway company.-->
<!--All rights reserved www.businesswire.com-->
  </head>
  <body style="font-family: Times New Roman; font-size: 10pt">
    <p style="text-align: center">
      <font style="font-size: 12pt; font-family: Times New Roman"><b>UNITED
      STATES</b></font><b><font style="font-size: 12pt; font-family: Times New Roman"><br style="font-size: 12pt; font-family: Times New Roman"></font><font style="font-size: 12pt; font-family: Times New Roman">SECURITIES
      AND EXCHANGE COMMISSION</font></b><font style="font-size: 12pt"><br style="font-size: 12pt"></font><font style="font-size: 12pt; font-family: Times New Roman"><b>Washington,
      D.C. 20549</b></font><br><br><font style="font-size: 16pt; font-family: Times New Roman"><b>FORM
      8-K</b></font><br><br><br><font style="font-size: 12pt; font-family: Times New Roman"><b>CURRENT
      REPORT PURSUANT</b></font><br><font style="font-size: 12pt; font-family: Times New Roman"><b>TO
      SECTION 13 OR 15(d) OF THE</b></font><br><font style="font-size: 12pt; font-family: Times New Roman"><b>SECURITIES
      EXCHANGE ACT OF 1934</b></font><br><br><font style="font-size: 10pt; font-family: Times New Roman">Date
      of Report (Date of earliest event reported): August 20, 2009</font><font style="font-size: 10pt; font-family: Times New Roman"><br style="font-family: Times New Roman; font-size: 10pt"></font><br><font style="font-size: 16pt; font-family: Times New Roman"><b>CopyTele,
      Inc.</b></font><br><font style="font-size: 10pt; font-family: Times New Roman">(Exact
      name of registrant as specified in the charter)</font><br><br>
    </p>
    <div style="text-align:left">
    <table style="font-family: Times New Roman; margin-bottom: 10.0px; width: 100%; font-size: 10pt" cellspacing="0">
      <tr>
        <td style="text-align: center; width: 33%; padding-left: 0.0px" valign="bottom">
          <p style="margin-top: 0px; margin-bottom: 0px">
            <b>Delaware</b>
          </p>
        </td>
        <td style="white-space: nowrap; text-align: center; width: 34%; padding-right: 0.0px; padding-left: 0.0px" valign="bottom">
          <p style="margin-top: 0px; margin-bottom: 0px">
            <b>0-11254</b>
          </p>
        </td>
        <td style="white-space: nowrap; text-align: center; width: 33%; padding-right: 0.0px; padding-left: 0.0px" valign="bottom">
          <p style="margin-top: 0px; margin-bottom: 0px">
            <b>11-2622630</b>
          </p>
        </td>
      </tr>
      <tr>
        <td style="text-align: center; width: 33%; padding-left: 0.0px" valign="bottom">
          <p style="margin-top: 0px; margin-bottom: 0px">
            (State or other jurisdiction
          </p>
          <p style="margin-top: 0px; margin-bottom: 0px">
            of incorporation)
          </p>
        </td>
        <td style="text-align: center; width: 34%; padding-left: 0.0px" valign="bottom">
          <p style="margin-top: 0px; margin-bottom: 0px">
            (Commission
          </p>
          <p style="margin-top: 0px; margin-bottom: 0px">
            File Number)
          </p>
        </td>
        <td style="text-align: center; width: 33%; padding-left: 0.0px" valign="bottom">
          <p style="margin-top: 0px; margin-bottom: 0px">
            (IRS Employer
          </p>
          <p style="margin-top: 0px; margin-bottom: 0px">
            I.D. No.)
          </p>
        </td>
      </tr>
    </table>
    </div>
    <div style="text-align:left">
    <table style="font-family: Times New Roman; margin-bottom: 10.0px; width: 100%; font-size: 10pt" cellspacing="0">
      <tr>
        <td style="text-align: center; padding-left: 0.0px" valign="bottom">
          <p style="margin-top: 0px; margin-bottom: 0px">
            <b>900 Walt Whitman Road</b>
          </p>
          <p style="margin-top: 0px; margin-bottom: 0px">
            <b>Melville, NY&#160;&#160;11747</b>
          </p>
        </td>
      </tr>
      <tr>
        <td style="text-align: center; padding-left: 0.0px" valign="bottom">
          <p style="margin-top: 0px; margin-bottom: 0px">
            <font style="font-size: 10pt; font-family: Times New Roman">(Address
            of Principal Executive Offices and Zip Code)</font>
          </p>
        </td>
      </tr>
    </table>
    </div>
    <p style="text-align: center">
      <b>(631) 549-5900</b><br>(Registrant's telephone number including area
      code)<br><br><b>Not Applicable </b><br>(Former name or former address,
      if changed since last report)
    </p>
    <p style="text-align: center">

    </p>
    <p>

    </p>
    <p>
      <font style="font-size: 10pt; font-family: Times New Roman">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 </font>(<i>see</i> General Instruction A.2
      below)<font style="font-size: 10pt; font-family: Times New Roman">:</font><br><br><font style="font-size: 10pt; font-family: Arial Unicode MS">&#8414;</font>
      <font style="font-size: 10pt; font-family: Times New Roman">Written
      communications pursuant to Rule 425 under the Securities Act (17 CFR
      230.425)</font>
    </p>
    <p>
      <font style="font-size: 10pt; font-family: Arial Unicode MS">&#8414;</font>
      <font style="font-size: 10pt; font-family: Times New Roman">Soliciting
      material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
      240.14a-12)</font>
    </p>
    <p>
      <font style="font-size: 10pt; font-family: Arial Unicode MS">&#8414;</font>
      <font style="font-size: 10pt; font-family: Times New Roman">Pre-commencement
      communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
      240.14d-2(b))</font>
    </p>
    <p>
      <font style="font-size: 10pt; font-family: Arial Unicode MS">&#8414;</font>
      <font style="font-size: 10pt; font-family: Times New Roman">Pre-commencement
      communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
      240.13e-4(c))</font>
    </p>
    <div style="margin-right: 0pt; margin-bottom: 10pt; margin-left: 0pt; width: 100%; text-indent: 0pt">
      <div>
        <div style="text-align: left">

        </div>
      </div>
      <div style="page-break-after: always">
        <div style="text-align: center">

        </div>
        <div style="text-align: center">
          <hr style="color: black; height: 1.5pt">

        </div>
      </div>
      <div>
        <div style="text-align: right">

        </div>
      </div>
    </div>
    <p>

    </p>
    <p>
      <b>Section 1 &#8211; Registrant&#8217;s Business and Operations</b><br><br><b>Item
      1.01 Entry into a Material Definitive Agreement.</b><br>
    </p>
    <p style="text-indent: 30.0px; font-size: 10pt">
      On August 20, 2009, CopyTele, Inc. (the &#8220;Company&#8221;) entered into an
      Engagement Agreement (the &#8220;Engagement Agreement&#8221;) with ZQX Advisors, LLC
      (&#8220;ZQX&#8221;) pursuant to which ZQX has agreed to act as an independent
      contractor and assist the Company in seeking business opportunities and
      licenses for the Company&#8217;s electrophoretic display technology (E-Paper&#174;)
      and its related intellectual property, particularly its patent
      portfolio.&#160;&#160;The Engagement Agreement has an initial term of three years
      (subject to early termination rights in certain circumstances as
      described in the Engagement Agreement), and renews thereafter from year
      to year unless either party gives written notice of its intent to
      terminate at least 90 days prior to the end of the then current term.&#160;&#160;
    </p>
    <p>

    </p>
    <p style="text-indent: 30.0px; font-size: 10pt">
      In addition, pursuant to the Engagement Agreement, the Company agreed to
      issue 800,000 shares of its common stock to ZQX on August 20, 2009,
      together with warrants to purchase a total of 500,000 shares of its
      common stock, of which (a) warrants to purchase 250,000 of the shares of
      its common stock are exercisable at a price of $0.37 per share (the
      closing price of the Company&#8217;s common stock on the trading day
      immediately prior to the date of the Engagement Agreement), and (b)
      warrants to purchase the remaining 250,000 of the shares are exercisable
      at a price of $0.555 per share (150% of the closing price of the
      Company&#8217;s common stock on the trading day immediately prior to the date
      of the Engagement Agreement).&#160;&#160;The warrants are exercisable at any time
      after August 19, 2010 and expire on August 19, 2019, and shall be
      adjusted to give effect to consolidations, mergers, asset sales,
      reorganizations, reclassifications, or changes affecting the Company&#8217;s
      common stock.&#160;&#160;In connection with the issuance by the Company of the
      shares of its common stock and warrants described above, ZQX issued a
      19.5% membership interest in ZQX to the Company.
    </p>
    <p>

    </p>
    <p>
      <b>Section 9 &#8211; Financial Statements and Exhibits</b><br><br><b>Item
      9.01 Financial Statements and Exhibits.</b><br>
    </p>
    <p>
      (d)&#160;Exhibits
    </p>
    <p>

    </p>
    <div style="text-align:left">
    <table style="font-family: Times New Roman; margin-bottom: 10.0px; width: 100%; font-size: 10pt" cellspacing="0">
      <tr>
        <td style="text-align: left; width: 14%; padding-left: 0.0px" valign="top">
          <p style="margin-top: 0px; margin-bottom: 0px">
            <u>Exhibit Number</u>
          </p>
        </td>
        <td style="width: 4%">
          &#160;
        </td>
        <td style="text-align: left; width: 82%; padding-left: 0.0px" valign="top">
          <p style="margin-top: 0px; margin-bottom: 0px">
            <u>Description</u>
          </p>
        </td>
      </tr>
      <tr>
        <td style="text-align: left; width: 14%; padding-left: 0.0px" valign="top">

        </td>
        <td style="width: 4%">

        </td>
        <td style="text-align: left; width: 82%; padding-left: 0.0px" valign="top">
          &#160;
        </td>
      </tr>
      <tr>
        <td style="white-space: nowrap; text-align: center; width: 14%; padding-right: 0.0px; padding-left: 0.0px" valign="top">
          99.1
        </td>
        <td style="width: 4%">

        </td>
        <td style="text-align: left; width: 82%; padding-left: 0.0px" valign="top">
          Press Release of CopyTele, Inc. dated August 24, 2009
        </td>
      </tr>
    </table>
    </div>
    <p>

    </p>
    <div style="margin-right: 0pt; margin-bottom: 10pt; margin-left: 0pt; width: 100%; text-indent: 0pt">
      <div>
        <div style="text-align: left">

        </div>
      </div>
      <div style="page-break-after: always">
        <div style="text-align: center">

        </div>
        <div style="text-align: center">
          <hr style="color: black; height: 1.5pt">

        </div>
      </div>
      <div>
        <div style="text-align: right">

        </div>
      </div>
    </div>
    <p>

    </p>
    <p style="text-align: center">
      <font style="font-size: 10pt; font-family: Times New Roman"><b>SIGNATURES</b></font>
    </p>
    <p>
      <font style="font-size: 10pt; font-family: Times New Roman">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.</font>
    </p>
    <div style="text-align:left">
    <table style="font-family: Times New Roman; margin-bottom: 10.0px; width: 100%; font-size: 10pt" cellspacing="0">
      <tr>
        <td style="text-align: left; width: 45%; padding-left: 0.0px" valign="top">
          &#160;
        </td>
        <td style="text-align: left; padding-left: 0.0px" colspan="2" valign="top">
          <p style="margin-top: 0px; margin-bottom: 0px">
            <b>COPYTELE, INC.</b>
          </p>
        </td>
      </tr>
      <tr>
        <td style="width: 45%">

        </td>
        <td style="text-align: left; padding-left: 0.0px" colspan="2" valign="top">
          <p style="margin-top: 0px; margin-bottom: 0px">
            &#160;
          </p>
        </td>
      </tr>
      <tr>
        <td style="text-align: left; width: 45%; padding-left: 0.0px" valign="top">
          <p style="margin-top: 0px; margin-bottom: 0px">
            &#160;
          </p>
        </td>
        <td style="text-align: left; width: 7%; padding-left: 0.0px" valign="top">
          By:
        </td>
        <td style="text-align: left; width: 48%; padding-left: 0.0px" valign="top">
          <p style="margin-top: 0px; margin-bottom: 0px">
            <u>/s/&#160;Denis A. Krusos</u>
          </p>
        </td>
      </tr>
      <tr>
        <td style="width: 45%">

        </td>
        <td style="text-align: left; width: 7%; padding-left: 0.0px" valign="top">
          Name:
        </td>
        <td style="text-align: left; width: 48%; padding-left: 0.0px" valign="top">
          <p style="margin-top: 0px; margin-bottom: 0px">
            Denis A. Krusos
          </p>
        </td>
      </tr>
      <tr>
        <td style="width: 45%">

        </td>
        <td style="text-align: left; width: 7%; padding-left: 0.0px" valign="top">
          Title:
        </td>
        <td style="text-align: left; width: 48%; padding-left: 0.0px" valign="top">
          <p style="margin-top: 0px; margin-bottom: 0px">
            Chairman of the Board and Chief Executive Officer
          </p>
        </td>
      </tr>
      <tr>
        <td style="width: 45%">

        </td>
        <td style="text-align: left; width: 7%; padding-left: 0.0px" valign="top">
          <p style="margin-top: 0px; margin-bottom: 0px">
            Date:
          </p>
        </td>
        <td style="text-align: left; width: 48%; padding-left: 0.0px" valign="top">
          <p style="margin-top: 0px; margin-bottom: 0px">
            August 24, 2009
          </p>
        </td>
      </tr>
    </table>
    </div>
    <div style="margin-right: 0pt; margin-bottom: 10pt; margin-left: 0pt; width: 100%; text-indent: 0pt">
      <div>
        <div style="text-align: left">

        </div>
      </div>
      <div style="page-break-after: always">
        <div style="text-align: center">

        </div>
        <div style="text-align: center">
          <hr style="color: black; height: 1.5pt">

        </div>
      </div>
      <div>
        <div style="text-align: right">

        </div>
      </div>
    </div>
    <p>

    </p>
    <p style="text-align: center">
      <b>EXHIBIT INDEX</b><br><br>
    </p>
    <div style="text-align:left">
    <table style="font-family: Times New Roman; margin-bottom: 10.0px; width: 100%; font-size: 10pt" cellspacing="0">
      <tr>
        <td style="text-align: left; width: 14%; padding-left: 0.0px" valign="top">
          <p style="margin-top: 0px; margin-bottom: 0px">
            <u>Exhibit Number</u>
          </p>
        </td>
        <td style="text-align: left; width: 4%; padding-left: 0.0px" valign="top">
          &#160;
        </td>
        <td style="text-align: left; width: 82%; padding-left: 0.0px" valign="top">
          <p style="margin-top: 0px; margin-bottom: 0px">
            <u>Description</u>
          </p>
        </td>
      </tr>
      <tr>
        <td style="width: 14%">

        </td>
        <td style="width: 4%">

        </td>
        <td style="text-align: left; width: 82%; padding-left: 0.0px" valign="top">
          &#160;
        </td>
      </tr>
      <tr>
        <td style="white-space: nowrap; text-align: center; width: 14%; padding-right: 0.0px; padding-left: 0.0px" valign="top">
          99.1
        </td>
        <td style="width: 4%">

        </td>
        <td style="text-align: left; width: 82%; padding-left: 0.0px" valign="top">
          <p style="margin-top: 0px; margin-bottom: 0px">
            Press Release of CopyTele, Inc. dated August 24, 2009
          </p>
        </td>
      </tr>
    </table>
    </div>
    <p>

    </p>
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</DOCUMENT>
<DOCUMENT>
<TYPE>EX-99.1
<SEQUENCE>2
<FILENAME>a6035515ex99_1.htm
<DESCRIPTION>EXHIBIT 99.1
<TEXT>
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    <title></title>
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    <p style="text-align: right">
      <b>Exhibit 99.1</b>
    </p>
    <p style="text-align: center">
      <font style="font-size: 12pt; font-family: Times New Roman"><b>CopyTele
      Announces Agreement with ZQX Advisors, LLC to Seek Business
      Opportunities and Licenses for Its E-Paper</b></font><b><sup><font style="font-size: 12pt; font-family: Times New Roman">&#174;</font></sup><font style="font-size: 12pt; font-family: Times New Roman">
      Technology</font></b>
    </p>
    <p>
      MELVILLE, N.Y.--(BUSINESS WIRE)--August 24, 2009--CopyTele, Inc.
      (OTCBB:COPY) announced today that it has entered into an Engagement
      Agreement with ZQX Advisors, LLC, a Minnesota limited liability company
      engaged in the business of assisting CopyTele to seek business
      opportunities and licenses for its electrophoretic display technology
      (E-paper<sup>&#174;</sup>) and its related intellectual property,
      particularly its patent portfolio. ZQX Advisors will receive an agreed
      to percentage of any proceeds CopyTele receives on its electrophoretic
      display technology, as compensation for its services. CopyTele also
      acquired a 19.5% interest in ZQX Advisors in exchange for 800,000 shares
      of CopyTele&#8217;s common stock and warrants to purchase an additional
      500,000 shares.
    </p>
    <p>
      CopyTele&#8217;s principal operations include the development, production and
      marketing of its thin flat low voltage phosphor displays and the
      development, production and marketing of multi-functional encryption
      products, hardware and software based, that provide information security
      for domestic and international users over virtually every communication
      media. For additional information, visit CopyTele&#8217;s website at <u>www.copytele.com</u>.
    </p>
    <p>
      <b>Forward-Looking Statements:</b>
    </p>
    <p>
      Statements that are not historical fact may be considered
      forward-looking statements within the meaning of the Private Securities
      Litigation Reform Act of 1995. Forward-looking statements are not
      statements of historical facts, but rather reflect CopyTele&#8217;s current
      expectations concerning future events and results. CopyTele generally
      uses the words &#8220;believes,&#8221; &#8220;expects,&#8221; &#8220;intends,&#8221; &#8220;plans,&#8221; &#8220;anticipates,&#8221;
      &#8220;likely,&#8221; &#8220;will&#8221; and similar expressions to identify forward-looking
      statements. Such forward-looking statements, including those concerning
      CopyTele&#8217;s expectations, involve known and unknown risks, uncertainties
      and other factors, some of which are beyond CopyTele&#8217;s control, which
      may cause CopyTele&#8217;s actual results, performance or achievements, or
      industry results, to be materially different from any future results,
      performance, or achievements expressed or implied by such
      forward-looking statements. In evaluating such statements as well as the
      future prospects of CopyTele, specific consideration should be given to
      various factors, including the following: CopyTele&#8217;s prior history of
      losses and negative cash flows from operations; CopyTele&#8217;s ability to
      obtain debt or equity financing to continue our marketing, research and
      development activities, on terms acceptable to CopyTele, if cash
      generated from operations is insufficient to satisfy our liquidity
      requirements; CopyTele&#8217;s ability to commercialize a full-color video
      display, including through its license with Videocon Industries Limited;
      the possible development of competitive products that could render
      CopyTele&#8217;s products obsolete or unmarketable; and other risks as
      detailed from time-to-time in CopyTele&#8217;s filings with the Securities and
      Exchange Commission. CopyTele undertakes no obligation to update any
      forward-looking statements as a result of new information, unanticipated
      events, or otherwise.
    </p>
    <p>
      CONTACT:<br><b>CopyTele, Inc.</b><br><b>Anne Rotondo, 631-549-5900</b>
    </p>
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