<SEC-DOCUMENT>0001513162-13-000259.txt : 20130404
<SEC-HEADER>0001513162-13-000259.hdr.sgml : 20130404
<ACCEPTANCE-DATETIME>20130404155442
ACCESSION NUMBER:		0001513162-13-000259
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20130403
ITEM INFORMATION:		Other Events
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20130404
DATE AS OF CHANGE:		20130404

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:		13742963

	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>form8k.htm
<DESCRIPTION>FORM 8-K
<TEXT>
<HTML>
<head><title>EAI: 8-K, Completion of Sunrise Merger</title> </head> <body style="MARGIN-TOP:0px; FONT-FAMILY:Times New Roman; COLOR:#000000; FONT-SIZE:10pt"> <p style=MARGIN:0px align=center><b>UNITED STATES</b></p> <p style=MARGIN:0px align=center><b>SECURITIES AND EXCHANGE COMMISSION</b></p> <p style=MARGIN:0px align=center><b>WASHINGTON, DC 20549</b></p> <p style=MARGIN:0px align=justify><br></p> <p style=MARGIN:0px align=justify><br></p> <p style=MARGIN:0px align=center><b>FORM 8-K</b></p> <p style=MARGIN:0px align=justify><br></p> <p style=MARGIN:0px align=justify><br></p> <p style=MARGIN:0px align=center><b>CURRENT REPORT PURSUANT</b></p> <p style=MARGIN:0px align=center><b>TO SECTION 13 OR 15(D) OF THE</b></p> <p style=MARGIN:0px align=center><b>SECURITIES EXCHANGE ACT OF 1934</b></p> <p style=MARGIN:0px align=justify><br></p> <p style=MARGIN:0px align=justify><br></p> <p style="TEXT-INDENT:24px; MARGIN:0px" align=justify>Date of Report (Date of earliest event reported): &nbsp;&nbsp;April 3, 2013</p> <p style=MARGIN:0px align=justify><br></p> <p style="BORDER-BOTTOM:#000000 1px solid; PADDING-BOTTOM:4px; MARGIN:0px" align=center>CopyTele, Inc.</p> <p style=MARGIN:0px align=center>(Exact Name of Registrant as Specified in Its Charter)</p> <p style=MARGIN:0px align=justify><br></p> <p style="BORDER-BOTTOM:#000000 1px solid; PADDING-BOTTOM:4px; MARGIN:0px" align=center>Delaware</p> <p style=MARGIN:0px align=center>(State or Other Jurisdiction of Incorporation)</p> <p style=MARGIN:0px align=justify><br></p> <p style="BORDER-BOTTOM:#000000 1px solid; PADDING-BOTTOM:4px; TEXT-INDENT:-2px; MARGIN:0px" align=center>1-11254&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp; &nbsp;11-2622630</p> <p style="TEXT-INDENT:-2px; MARGIN:0px" align=center>(Commission File Nubmer)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (IRS Employer Identification No.)</p> <p style="MARGIN:0px; CLEAR:left" align=center><br></p> <p style=MARGIN:0px align=center><br></p> <p style="BORDER-BOTTOM:#000000 1px solid; PADDING-BOTTOM:4px; TEXT-INDENT:-2px; MARGIN:0px" align=center>900 Walt Whitman Road, Melville, NY&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;11747</p> <p style="TEXT-INDENT:-2px; MARGIN:0px" align=center>(Address of Principal Executive Offices)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp;&nbsp;&nbsp;&nbsp; (Zip Code)</p> <p style="MARGIN:0px; CLEAR:left" align=justify><br></p> <p style="BORDER-BOTTOM:#000000 1px solid; PADDING-BOTTOM:4px; MARGIN:0px" align=center>(631) 549-5900</p> <p style=MARGIN:0px align=center>(Registrant&#146;s Telephone Number, Including Area Code)</p> <p style=MARGIN:0px align=justify><br></p> <p style="BORDER-BOTTOM:#000000 1px solid; PADDING-BOTTOM:4px; MARGIN:0px" align=center><br></p> <p style=MARGIN:0px align=center>(Former Name or Former Address, if Changed Since Last Report)</p> <p style=MARGIN:0px align=justify><br></p> <p style="LINE-HEIGHT:13pt; TEXT-INDENT:24px; MARGIN:0px" align=justify>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 (<i>see </i>General Instruction A.2. below):</p> <p style="LINE-HEIGHT:13pt; MARGIN:0px" align=justify><br></p> <p style="LINE-HEIGHT:13pt; MARGIN-TOP:0px; TEXT-INDENT:24px; WIDTH:48px; FONT-FAMILY:Wingdings; MARGIN-BOTTOM:-2px; FLOAT:left">o</p> <p style="LINE-HEIGHT:13pt; TEXT-INDENT:-2px; MARGIN:0px" align=justify>Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</p> <p style="LINE-HEIGHT:13pt; MARGIN:0px; CLEAR:left" align=justify><br></p> <p style="LINE-HEIGHT:13pt; MARGIN-TOP:0px; TEXT-INDENT:24px; WIDTH:48px; FONT-FAMILY:Wingdings; MARGIN-BOTTOM:-2px; FLOAT:left">o</p> <p style="LINE-HEIGHT:13pt; TEXT-INDENT:-2px; MARGIN:0px" align=justify>Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</p> <p style="LINE-HEIGHT:13pt; MARGIN:0px; CLEAR:left" align=justify><br></p> <p style="LINE-HEIGHT:13pt; MARGIN-TOP:0px; TEXT-INDENT:24px; WIDTH:48px; FONT-FAMILY:Wingdings; MARGIN-BOTTOM:-2px; FLOAT:left">o</p> <p style="LINE-HEIGHT:13pt; TEXT-INDENT:-2px; MARGIN:0px" align=justify>Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p> <p style="LINE-HEIGHT:13pt; MARGIN:0px; CLEAR:left" align=justify><br></p> <p style="LINE-HEIGHT:13pt; MARGIN-TOP:0px; TEXT-INDENT:24px; WIDTH:48px; FONT-FAMILY:Wingdings; MARGIN-BOTTOM:-2px; FLOAT:left">o</p> <p style="LINE-HEIGHT:13pt; TEXT-INDENT:-2px; MARGIN:0px" align=justify>Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</p> <p style="MARGIN-TOP:0px; MARGIN-BOTTOM:13px; CLEAR:left"><br><br></p> <hr size=1 noshade style="MARGIN-BOTTOM:9px; PADDING-TOP:9px"> <p style="PAGE-BREAK-BEFORE:always; MARGIN-TOP:0px; MARGIN-BOTTOM:13px">S<b>ection 8 &#150; Other Events </b></p> <p style="MARGIN-TOP:0px; MARGIN-BOTTOM:13px"><b>Item 8.01. &nbsp;Other Events.</b></p> <p style=MARGIN:0px align=justify>On April 3, 2013, CopyTele, Inc., a Delaware corporation (&#147;CTI&#148;), through its newly formed, wholly owned subsidiary, CTI Patent Acquisition Corporation (&#147;CTIAC&#148;), entered into an exclusive license agreement (the &#147;Agreement&#148;) pursuant to which it acquired the rights to a patent portfolio relating to loyalty awards programs commonly provided by airlines, credit card companies, hotels, retailers, casinos, and others. The patent portfolio consists of 13 patents (the &#147;Patents&#148;) that cover the conversion of non-negotiable, loyalty awards points into negotiable funds used to purchase goods and services from third parties, and the conversion of awards points into points and awards provided by other loyalty program providers. &nbsp;&nbsp;Pursuant to the Agreement, the licensors will received a percentage of all amounts received by CTIPAC from licensing and enforcement of the Patents along with an immaterial number of shares of CTI common stock.</p> <p style=MARGIN:0px align=justify><br></p> <p style=MARGIN:0px align=justify>As previously announced, CTI&#146;s business plan is to develop and acquire patented technologies for the purposes of patent monetization and patent assertion. &nbsp;The acquired Patents are CTI&#146;s first acquisition of patents developed by third parties.</p> <p style=MARGIN:0px align=justify><br></p> <p style=MARGIN:0px><b>Section 9 &#150; Financial Statements and Exhibits</b></p> <p style=MARGIN:0px><br></p> <p style=MARGIN:0px><b>Item 9.01. &nbsp;Financial Statements and Exhibits. </b></p> <p style=MARGIN:0px><br></p> <table bordercolor=transparent style="MARGIN-TOP:0px; FONT-SIZE:10pt" cellpadding=0 cellspacing=0> <tr style=FONT-SIZE:0px> <td width=49> <td width=18> <td width=571 /> </tr><tr> <td width=638 colspan=3 style="MARGIN-TOP:0px; BORDER-RIGHT:#000000 1px solid" valign=top> <p style=MARGIN:0px>(d) Exhibits.</p></td></tr> <tr> <td width=49 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px>99.1</p></td> <td width=18 style=MARGIN-TOP:0px valign=top> <p style="PADDING-BOTTOM:0px; MARGIN:0px; PADDING-LEFT:0px; PADDING-RIGHT:0px; PADDING-TOP:0px">&nbsp;</p></td> <td width=571 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px>Press Release, dated April 3, 2013</p></td></tr></table> <p style=MARGIN:0px><br></p> <p style=MARGIN:0px><br><br></p> <p style="MARGIN:0px; FONT-FAMILY:CG Times,Times New Roman" align=center>2</p> <p style=MARGIN:0px><br></p> <p style=MARGIN:0px><br></p> <hr size=1 noshade style="MARGIN-BOTTOM:9px; PADDING-TOP:9px"> <p style="PAGE-BREAK-BEFORE:always; MARGIN:0px"><br></p> <p style=MARGIN:0px><br></p> <p style=MARGIN:0px align=center><b>SIGNATURES</b></p> <p style=MARGIN:0px align=justify><br></p> <p style=MARGIN:0px align=justify>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.</p> <p style=MARGIN:0px><br></p> <p style="MARGIN-TOP:0px; PADDING-LEFT:336px; MARGIN-BOTTOM:13px"><b>COPYTELE, INC.</b></p> <p style="MARGIN-TOP:0px; WIDTH:288px; MARGIN-BOTTOM:-2px; FLOAT:left">Date: April 4, 2013</p> <p style="TEXT-INDENT:-2px; MARGIN:0px" align=justify>By: <u>/s/ Robert A. Berman</u></p> <p style="TEXT-INDENT:288px; MARGIN:0px; CLEAR:left" align=justify>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Robert A. Berman</p> <p style="TEXT-INDENT:288px; MARGIN:0px">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;President and </p> <p style="TEXT-INDENT:288px; MARGIN:0px">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Chief Executive Officer</p> <p style=MARGIN:0px align=center><br><br></p> <p style="MARGIN:0px; FONT-FAMILY:CG Times,Times New Roman" align=center>3</p> <p style=MARGIN:0px><br></p> <p style=MARGIN:0px><br></p> <hr size=1 noshade style="MARGIN-BOTTOM:9px; PADDING-TOP:9px"> <p style="PAGE-BREAK-BEFORE:always; MARGIN:0px" align=center><b>EXHIBIT INDEX</b></p> <p style=MARGIN:0px align=center><br></p> <table bordercolor=transparent style="MARGIN-TOP:0px; FONT-SIZE:10pt" cellpadding=0 cellspacing=0> <tr style=FONT-SIZE:0px> <td width=42> <td width=71> <td width=510> <td width=7 /> </tr><tr> <td width=113 colspan=2 style=MARGIN-TOP:0px valign=top> <p style="MARGIN-TOP:0px; MARGIN-BOTTOM:13px"><u>Exhibit Number</u></p></td> <td width=517 colspan=2 style=MARGIN-TOP:0px valign=top> <p style="MARGIN-TOP:0px; MARGIN-BOTTOM:13px"><u>Description</u></p></td></tr> <tr> <td width=42 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px>99.1</p></td> <td width=71 style=MARGIN-TOP:0px valign=top> <p style="PADDING-BOTTOM:0px; MARGIN:0px; PADDING-LEFT:0px; PADDING-RIGHT:0px; PADDING-TOP:0px">&nbsp;</p></td> <td width=517 colspan=2 style="MARGIN-TOP:0px; BORDER-RIGHT:#000000 1px solid" valign=top> <p style=MARGIN:0px>Press Release, dated April 4<a name=Verdatum />, 2013</p></td></tr></table> <p style=MARGIN:0px><br></p> <p style=MARGIN:0px align=center><br></p> <p style=MARGIN:0px align=center><br><br></p> <p style="MARGIN:0px; FONT-FAMILY:CG Times,Times New Roman" align=center>4</p> <p style=MARGIN:0px><br></p> <p style=MARGIN:0px><br></p></body>
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<DOCUMENT>
<TYPE>EX-99
<SEQUENCE>2
<FILENAME>exhibit991.htm
<DESCRIPTION>EXHIBIT 99.1
<TEXT>
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<TITLE>EAI: &nbsp;8-K, Completion of Sunrise Merger</TITLE>
<META NAME="author" CONTENT="WMB">
<META NAME="date" CONTENT="04/04/2013">
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<P style="margin-top:0px; margin-bottom:11.133px; font-family:Arial" align=right>Exhibit 99.1</P>
<P style="margin-top:0px; margin-bottom:11.133px" align=center><BR></P>
<P style="margin-top:0px; margin-bottom:13.333px; font-size:12pt" align=center><B><U>CopyTele Acquires Rights To Patent Portfolio Covering Loyalty Programs</U></B></P>
<P style="margin-top:5.533px; margin-bottom:5.533px" align=justify><B>Melville, NY &#150; April 3, 2013:</B> CopyTele, Inc. (&#147;CTI&#148;) (OTCBB: COPY) today announced that its wholly owned subsidiary, CTI Patent Acquisition Corporation, has acquired the rights to a patent portfolio relating to loyalty awards programs commonly provided by airlines, credit card companies, hotels, retailers, casinos, and others. The portfolio covers the conversion of non-negotiable, loyalty awards points into negotiable funds used to purchase goods and services from third parties, and the conversion of awards points into points and awards provided by other loyalty program providers. Estimates indicate that there are over 2 billion memberships to loyalty awards programs in the United States.</P>
<P style="margin-top:5.533px; margin-bottom:5.533px" align=justify>Robert Berman, CTI&#146;s President and CEO stated, &#147;Our acquisition of the rights to these 13 patents fits perfectly with our strategy of building a diversified collection of patent portfolios with significant monetization potential. We have begun the process of transforming CTI into a world class, publicly traded, patent assertion company&#148;. </P>
<P style="margin-top:0px; margin-bottom:11.133px" align=justify><B>About CopyTele, Inc.</B></P>
<P style="margin-top:0px; margin-bottom:11.133px" align=justify>CopyTele develops and acquires patented technologies for the purposes of patent monetization and patent assertion. The company currently has 5 patent portfolios in the areas of Key Based Encryption, E-Paper&#174; Electrophoretic Display, Nano Field Emission Display (&#147;NFED&#148;), Micro Electro Mechanical Systems Display (&#147;MEMS&#148;), and Loyalty Point Conversion Systems. &nbsp;Additional information is available at www.CTIpatents.com. </P>
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<P style="margin-top:0px; margin-bottom:12.2px" align=justify># # #</P>
<P style="margin-top:0px; margin-bottom:11.133px; font-size:11pt" align=justify><B>Forward-Looking Statements:</B> <FONT style="font-size:10pt">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's current expectations concerning future events and results. We generally use the words &#147;believes,&#148; &#147;expects,&#148; &#147;intends,&#148; &#147;plans,&#148; &#147;anticipates,&#148; &#147;likely,&#148; &#147;will&#148; and similar expressions to identify forward-looking statements. &nbsp;Such forward-looking statements, including those concerning our expectations, involve risks, uncertainties and other factors, some of which are beyond our control, which may cause our 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. &nbsp;<A NAME="_DV_M295"></A>These risks, uncertainties and factors include, but are not limited to, those factors set forth in &#147;Item 1A &#150; &#147;Risk Factors and other sections of our Annual Report on Form 10-K for the fiscal year ended October 31, 2012 as well as in our Quarterly Reports on Form 10-Q and Current Reports on Form 8-K. &nbsp;We undertake no obligation to publicly update or revise any forward-looking statements, whether as a result of new information, future events or otherwise, except as required by law. &nbsp;You are cautioned not to unduly rely on such forward-looking statements when evaluating the information presented in this press release. </FONT></P>
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