<SEC-DOCUMENT>0001513162-14-000196.txt : 20140331
<SEC-HEADER>0001513162-14-000196.hdr.sgml : 20140331
<ACCEPTANCE-DATETIME>20140331161255
ACCESSION NUMBER:		0001513162-14-000196
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20140331
ITEM INFORMATION:		Other Events
FILED AS OF DATE:		20140331
DATE AS OF CHANGE:		20140331

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			COPYTELE INC
		CENTRAL INDEX KEY:			0000715446
		STANDARD INDUSTRIAL CLASSIFICATION:	PATENT OWNERS & LESSORS [6794]
		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:		14730206

	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>form8k2014.htm
<DESCRIPTION>FORM 8-K
<TEXT>
<HTML>
<head><title>form8k_2014.htm-</title> </head> <body bgcolor=#ffffff>&nbsp; <a name=page_1 /> <div style="PADDING-LEFT:0%; PADDING-RIGHT:0%"><a name=_aciHeader1 /> <div> <p style="MARGIN:0in 0in 0pt">&nbsp;</p></div> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><font style=FONT-SIZE:11pt face="times new roman" lang=EN-US><font style=FONT-SIZE:14pt>UNITED STATES</font></font></b></p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><font style=FONT-SIZE:14pt face="times new roman" lang=EN-US>SECURITIES AND EXCHANGE COMMISSION</font></b></p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><font style=FONT-SIZE:12pt face="times new roman" lang=EN-US>Washington, D.C. 20549</font></b></p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><u><font style=FONT-SIZE:11pt face="times new roman" lang=EN-US>&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;</font></u></b></p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b></b>&nbsp;</p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><font style=FONT-SIZE:12pt face="times new roman" lang=EN-US>FORM 8-K</font></b></p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b></b>&nbsp;</p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><font style=FONT-SIZE:11pt face="times new roman" lang=EN-US>CURRENT REPORT</font></b></p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><font style=FONT-SIZE:11pt face="times new roman" lang=EN-US>Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934</font></b></p> <p style="PAGE-BREAK-AFTER:auto; MARGIN:0in 0in 0pt">&nbsp;</p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><font style=FONT-SIZE:11pt face="times new roman" lang=EN-US>Date of Report (Date of earliest event reported):&nbsp; March 31, 2014</font></p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b></b>&nbsp;</p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><u><font style=FONT-SIZE:16pt face="times new roman" lang=EN-US>COPYTELE, INC.</font></u></b></p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><font style=FONT-SIZE:11pt face="times new roman" lang=EN-US><strong>(Exact name of registrant as specified in its charter)</strong></font></p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center>&nbsp;</p> <div align=center> <table bordercolor=transparent style="WIDTH:60%; BORDER-COLLAPSE:collapse; MARGIN-LEFT:27.9pt" cellpadding=0 cellspacing=0> <tr> <td width=35% style="PADDING-BOTTOM:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt; PADDING-TOP:0in" valign=top> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><font style=FONT-SIZE:11pt face="times new roman">Delaware</font></b></p></td> <td width=33% style="PADDING-BOTTOM:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt; PADDING-TOP:0in" valign=top> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><font style=FONT-SIZE:11pt face="times new roman">001-11254</font></b></p></td> <td width=32% style="PADDING-BOTTOM:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt; PADDING-TOP:0in" valign=top> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><font style=FONT-SIZE:11pt face="times new roman">11-2622630</font></b></p></td></tr> <tr> <td width=35% style="PADDING-BOTTOM:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt; PADDING-TOP:0in" valign=top> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><font style=FONT-SIZE:11pt face="times new roman">(State or other jurisdiction<br>of incorporation)</font></p></td> <td width=33% style="PADDING-BOTTOM:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt; PADDING-TOP:0in" valign=top> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><font style=FONT-SIZE:11pt face="times new roman">(Commission<br>File Number)</font></p></td> <td width=32% style="PADDING-BOTTOM:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt; PADDING-TOP:0in" valign=top> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><font style=FONT-SIZE:11pt face="times new roman">(IRS Employer</font></p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><font style=FONT-SIZE:11pt face="times new roman">Identification No.)</font></p></td></tr></table></div> <p style="PAGE-BREAK-AFTER:auto; MARGIN:0in 0in 0pt">&nbsp;</p> <p style="PAGE-BREAK-AFTER:auto; MARGIN:0in 0in 0pt">&nbsp;</p> <div align=center> <table bordercolor=transparent style="WIDTH:60%; BORDER-COLLAPSE:collapse" cellpadding=0 cellspacing=0> <tr> <td width=50% style="PADDING-BOTTOM:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt; PADDING-TOP:0in" valign=bottom> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><font style=FONT-SIZE:11pt face="times new roman">900 Walt Whitman Road, Melville, NY</font></b></p></td> <td width=50% style="PADDING-BOTTOM:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt; PADDING-TOP:0in" valign=bottom> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><font style=FONT-SIZE:11pt face="times new roman">11747</font></b></p></td></tr> <tr> <td width=50% style="PADDING-BOTTOM:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt; PADDING-TOP:0in"> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><font style=FONT-SIZE:11pt face="times new roman">(Address of principal executive offices)</font></p></td> <td width=50% style="PADDING-BOTTOM:0in; PADDING-LEFT:5.4pt; PADDING-RIGHT:5.4pt; PADDING-TOP:0in"> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><font style=FONT-SIZE:11pt face="times new roman">(Zip Code)</font></p></td></tr></table></div> <p style="PAGE-BREAK-AFTER:auto; MARGIN:0in 0in 0pt">&nbsp;</p> <p style="PAGE-BREAK-AFTER:auto; MARGIN:0in 0in 0pt">&nbsp;</p> <p style="PAGE-BREAK-AFTER:auto; MARGIN:0in 0in 0pt" align=center><font style=FONT-SIZE:11pt face="times new roman" lang=EN-US>Registrant&#146;s telephone number, including area code:&nbsp; </font><b><font style=FONT-SIZE:11pt face="times new roman" lang=EN-US>(631) 549-5900</font></b></p> <p style="PAGE-BREAK-AFTER:auto; MARGIN:0in 0in 0pt"><font style=FONT-SIZE:11pt face="times new roman" lang=EN-US>&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;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp; &nbsp;</font></p> <p style="PAGE-BREAK-AFTER:auto; MARGIN:0in 0in 0pt">&nbsp;</p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><font style=FONT-SIZE:11pt face="times new roman" lang=EN-US>Not Applicable</font></b></p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><font style=FONT-SIZE:11pt face="times new roman" lang=EN-US>&nbsp;(Former name or former address, if changed since last report)</font></p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><u><font style=FONT-SIZE:11pt face="times new roman" lang=EN-US>&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;</font></u></b></p> <p style="PAGE-BREAK-AFTER:auto; TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b></b>&nbsp;</p> <p style="TEXT-ALIGN:justify; MARGIN:0in 0in 0pt"><font style=FONT-SIZE:11pt face="Times New Roman" lang=EN-US>Check the appropriate box below if the Form&nbsp;8-K filing is intended to simultaneously satisfy the filing obligation to the registrant under any of the following provisions: </font></p> <p style="TEXT-INDENT:-0.5in; MARGIN:0in 0in 0pt 0.5in"><font style=FONT-SIZE:11pt face=wingdings lang=EN-US>&#168;</font><font style=FONT-SIZE:11pt face="Times New Roman" lang=EN-US>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Written communications pursuant to Rule&nbsp;425 under the Securities Act (17&nbsp;CFR&nbsp;230.425)</font></p> <p style="TEXT-INDENT:-0.5in; MARGIN:0in 0in 0pt 0.5in"><font style=FONT-SIZE:11pt face=wingdings lang=EN-US>&#168;</font><font style=FONT-SIZE:11pt face="Times New Roman" lang=EN-US>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Soliciting material pursuant to Rule&nbsp;14a-12 under the Exchange Act (17&nbsp;CFR&nbsp;240.14a-12)</font></p> <p style="TEXT-INDENT:-0.5in; MARGIN:0in 0in 0pt 0.5in"><font style=FONT-SIZE:11pt face=wingdings lang=EN-US>&#168;</font><font style=FONT-SIZE:11pt face="Times New Roman" lang=EN-US>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Pre-commencement communications pursuant to Rule&nbsp;14d-2(b) under the Exchange Act (17&nbsp;CFR&nbsp;240.14d-2(b))</font></p> <p style="TEXT-INDENT:-0.5in; MARGIN:0in 0in 0pt 0.5in"><font style=FONT-SIZE:11pt face=wingdings lang=EN-US>&#168;</font><font style=FONT-SIZE:11pt face="Times New Roman" lang=EN-US>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Pre-commencement communications pursuant to Rule&nbsp;13e-4(c) under the Exchange Act (17&nbsp;CFR&nbsp;240.13e-4(c))</font></p><a name=_aciFooter1 /> <div> <p style="MARGIN:0in 0in 0pt"><font size=+0></font>&nbsp;</p> <p style="TEXT-INDENT:0in; MARGIN:0in 0in 0pt" align=center><font size=+0><font style=FONT-SIZE:8pt face="Times New Roman" lang=EN-US>&nbsp;&nbsp;1</font></font></p></div></div> <hr width=100% size=2 noshade align=center> <div style=PAGE-BREAK-BEFORE:always>&nbsp;</div><a name=page_2 /> <div style="PADDING-LEFT:0%; PADDING-RIGHT:0%"><a name=_aciHeader2 /> <div> <p style="MARGIN:0in 0in 0pt">&nbsp;</p></div> <div align=left> <table bordercolor=transparent style="WIDTH:60%; BORDER-COLLAPSE:collapse" cellpadding=0 cellspacing=0> <tr> <td width=12% style="PADDING-BOTTOM:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in; PADDING-TOP:0in" valign=top> <p style="MARGIN:0in 0in 0pt"><b><font style=FONT-SIZE:11pt face="Times New Roman">Item&nbsp;8.01</font></b></p></td> <td width=88% style="PADDING-BOTTOM:0in; PADDING-LEFT:0in; PADDING-RIGHT:0in; PADDING-TOP:0in" valign=top> <p style="MARGIN:0in 0in 0pt"><b><font style=FONT-SIZE:11pt face="Times New Roman">Other Events</font></b></p></td></tr></table></div> <p style="MARGIN:0in 0in 0pt"><b><i></i></b>&nbsp;</p> <p style="MARGIN:0in 0in 0pt"><b><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>DESCRIPTION OF OUR SECURITIES </font></b></p> <p style="MARGIN:0in 0in 0pt"><b></b>&nbsp;</p> <p style="MARGIN:0in 0in 0pt"><b><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </font></b><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>CopyTele, Inc. (&#147;we&#148;, &#147;us&#148;, &#147;our&#148; or the &#147;Company&#148;) is a Delaware corporation and our affairs are governed by our Certificate of Incorporation, as amended (the &#147;Certificate of Incorporation&#148;), and Amended and Restated By-laws (the &#147;By-laws&#148;). The following are summaries of material provisions of our Certificate of Incorporation and By-laws insofar as they relate to the material terms of our common stock, par value $0.01 per share (&#147;Common Stock&#148;) and preferred stock, par value $100 per share (&#147;Preferred Stock&#148; and together with our Common Stock, our &#147;Securities&#148;). This is a summary only and may not describe every aspect of our Securities. This description should be read with our Certificate of Incorporation and By-laws.</font></p> <p style="MARGIN:0in 0in 0pt"><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>&nbsp;&nbsp;</font></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>The total number of shares of capital stock we are authorized to issue is 600,500,000 shares, of which (a)&nbsp;600,000,000 are Common Stock and (b)&nbsp;500,000 are Preferred Stock. As of the date of this Current Report on Form 8-K,&nbsp;212,957,900 shares of Common Stock and no shares of Preferred Stock were issued and outstanding.</font></p> <p style="MARGIN:0in 0in 12pt"><b><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>Common Stock</font></b></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>All outstanding shares of Common Stock are of the same class and have equal rights and attributes. The holders of Common Stock are entitled to one vote per share on all matters submitted to a vote of stockholders of the Company. All stockholders are entitled to share equally in dividends, if any, as may be declared from time to time by the Board of Directors out of funds legally available. In the event of liquidation, the holders of Common Stock are entitled to share ratably in all assets remaining after payment of all liabilities. The stockholders do not have cumulative or preemptive rights.</font></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><b><i><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>Dividend Rights</font></i></b></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>Holders of the Common Stock may receive dividends when, as and if declared by our Board of Directors out of the assets legally available for that purpose and subject to the preferential dividend rights of any other classes or series of stock of our Company. &nbsp;We have never paid, and have no plans to pay, any cash dividends on our shares of Common Stock.</font></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><b><i><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>Voting Rights</font></i></b></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>Holders of the Common Stock are entitled to one vote per share in all matters as to which holders of Common Stock are entitled to vote. Holders of not less than a majority of the outstanding shares of Common Stock entitled to vote at any meeting of stockholders constitute a quorum unless otherwise required by law.</font></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><b><i><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>Election of Directors</font></i></b></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>Directors hold office until the next annual meeting of stockholders and are eligible for reelection at such meeting. Directors are elected by a plurality of the shares present in person or represented by proxy at the meeting and entitled to vote on the election of directors. There is no cumulative voting for directors.</font></p> <p style="TEXT-INDENT:0in; MARGIN:0in 0in 12pt" align=center><font size=+0><font style=FONT-SIZE:8pt face="Times New Roman" lang=EN-US>2</font></font></p></div> <hr width=100% size=2 noshade align=center> <div style=PAGE-BREAK-BEFORE:always>&nbsp;</div>&nbsp; <a name=page_3 /> <div style="PADDING-LEFT:0%; PADDING-RIGHT:0%"><a name=_aciHeader3 /> <p style="MARGIN:0in 0in 0pt">&nbsp;</p><a name=_aciHeader3 /> <div><b><i><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Liquidation</font></i></b><font size=+0><font style=FONT-SIZE:8pt face="Times New Roman" lang=EN-US>&nbsp;</font></font></div><a name=_aciHeader3 /> <div>&nbsp;</div> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>In the event of any liquidation, dissolution or winding up of the Company, holders of the Common Stock have the right to receive ratably and equally all of the assets remaining after payment of liabilities and liquidation preferences of any preferred stock then outstanding.</font></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><b><i><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>Redemption</font></i></b></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>The Common Stock is not redeemable or convertible and does not have any sinking fund provisions.</font></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><b><i><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>Preemptive Rights</font></i></b></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>Holders of the Common Stock do not have preemptive rights.</font></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><b><i><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>Other Rights</font></i></b></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>Our Common Stock is not liable to further calls or to assessment by the registrant and for liabilities of the registrant imposed on its stockholders under state statutes. </font></p> <p style="MARGIN:0in 0in 12pt"><b><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>Preferred Stock</font></b></p> <p style="MARGIN:0in 0in 12pt"><font style=FONT-SIZE:11pt face="Times New Roman" lang=EN-US>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Our Preferred Stock may be issued from time to time in one or more series, each of such series to have such voting powers, full or limited, or no voting powers, designations, preferences and relative participating, optional or other special rights and qualifications and limitations or restrictions as are stated and expressed in the resolutions providing for the issue of such series adopted by the Board of Directors as hereinafter provided. Authority is hereby expressly granted to the Board of Directors to establish and designate one or more series of preferred Stock and to fix the relative rights, preferences and limitations of each series.</font></p> <p style="MARGIN:0in 0in 12pt"><b><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>Right to Amend By-Laws</font></b></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 12pt"><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>The Board of Directors has the power to adopt, amend or repeal the By-laws. &nbsp;By-laws adopted by the Board of Directors &nbsp;may be repealed or changed, &nbsp;and new By-laws made, by the &nbsp;stockholders, and the stockholders may prescribe that any By-law made by them shall not be altered, amended or repealed by the Board of Directors.</font></p> <p style="TEXT-ALIGN:justify; MARGIN:0in 0in 0pt"><b><font style=FONT-SIZE:11pt face="times new roman" color=black lang=EN-US>Transfer Agent</font></b></p> <p style="TEXT-ALIGN:justify; TEXT-INDENT:0.5in; MARGIN:0in 0in 0pt">&nbsp;</p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 0pt"><font style=FONT-SIZE:11pt face="Times New Roman" color=black lang=EN-US>American Stock Transfer and Trust Company is our transfer agent. </font></p> <p style="MARGIN:0in 0in 0pt">&nbsp;</p><a name=_aciFooter3 /> <div> <p style="TEXT-INDENT:0in; MARGIN:0in 0in 0pt" align=center><font size=+0><font style=FONT-SIZE:8pt face="Times New Roman" lang=EN-US>&nbsp;3</font></font></p></div></div> <hr width=100% size=2 noshade align=center> <div style=PAGE-BREAK-BEFORE:always>&nbsp;</div>&nbsp; <a name=page_4 /> <div style="PADDING-LEFT:0%; PADDING-RIGHT:0%"><a name=_aciHeader4 /> <div> <p style="MARGIN:0in 0in 0pt">&nbsp;</p></div> <p style="MARGIN:0in 0in 0pt"><b></b>&nbsp;</p> <p style="TEXT-ALIGN:center; MARGIN:0in 0in 0pt" align=center><b><font style=FONT-SIZE:11pt face=Calibri,sans-serif lang=EN-US>SIGNATURES</font></b></p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 0pt">&nbsp;</p> <p style="TEXT-INDENT:0.5in; MARGIN:0in 0in 0pt"><font style=FONT-SIZE:11pt face="Times New Roman" lang=EN-US>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> <p style="MARGIN:0in 0in 0pt">&nbsp;</p> <p style="MARGIN:0in 0in 0pt 3.5in">&nbsp;</p> <div align=left> <table bordercolor=transparent style="WIDTH:70%; BORDER-COLLAPSE:collapse" cellpadding=0 cellspacing=0> <tr style=HEIGHT:14.5pt> <td width=50% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="MARGIN:0in 0in 0pt"><font style="LINE-HEIGHT:normal; FONT-SIZE:11pt" face="times new roman" color=#000000>Dated: March 31, 2014</font></p></td> <td width=3% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="TEXT-ALIGN:right; MARGIN:0in 0in 0pt" align=right>&nbsp;</p></td> <td width=47% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="TEXT-ALIGN:right; MARGIN:0in 0in 0pt" align=right>&nbsp;</p></td></tr> <tr style=HEIGHT:14.5pt> <td width=50% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="TEXT-ALIGN:right; MARGIN:0in 0in 0pt" align=right>&nbsp;</p></td> <td width=3% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="TEXT-ALIGN:right; MARGIN:0in 0in 0pt" align=right>&nbsp;</p></td> <td width=47% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="TEXT-ALIGN:right; MARGIN:0in 0in 0pt" align=right>&nbsp;</p></td></tr> <tr style=HEIGHT:14.5pt> <td width=50% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="TEXT-ALIGN:right; MARGIN:0in 0in 0pt" align=right>&nbsp;</p></td> <td width=50% colspan=2 style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="TEXT-ALIGN:right; MARGIN:0in 0in 0pt" align=right></p> <p style="MARGIN:0in 0in 0pt 7pt"><font style=FONT-SIZE:11pt face="times new roman">COPYTELE, INC.</font></p></td></tr> <tr style=HEIGHT:14.5pt> <td width=50% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="MARGIN:0in 0in 0pt">&nbsp;</p></td> <td width=3% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="TEXT-ALIGN:right; MARGIN:0in 0in 0pt" align=right>&nbsp;</p></td> <td width=47% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="TEXT-ALIGN:right; MARGIN:0in 0in 0pt" align=right>&nbsp;</p></td></tr> <tr style=HEIGHT:14.5pt> <td width=50% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="TEXT-ALIGN:right; MARGIN:0in 0in 0pt" align=right>&nbsp;</p></td> <td width=3% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="MARGIN:0in 0in 0pt" align=right><font style="LINE-HEIGHT:normal; FONT-SIZE:11pt" face=Calibri,sans-serif color=#000000>By:</font></p></td> <td width=47% style="BORDER-BOTTOM:windowtext 1pt solid; PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="MARGIN:0in 0in 0pt"><font style="LINE-HEIGHT:normal; FONT-SIZE:11pt" face="times new roman" color=#000000>/s/ Robert A. Berman</font></p></td></tr> <tr style=HEIGHT:14.5pt> <td width=50% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="TEXT-ALIGN:right; MARGIN:0in 0in 0pt" align=right>&nbsp;</p></td> <td width=3% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="TEXT-ALIGN:right; MARGIN:0in 0in 0pt" align=right>&nbsp;</p></td> <td width=47% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="MARGIN:0in 0in 0pt"><font style="LINE-HEIGHT:normal; FONT-SIZE:11pt" face="times new roman" color=#000000>Name: Robert A. Berman</font></p></td></tr> <tr style=HEIGHT:14.5pt> <td width=50% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="TEXT-ALIGN:right; MARGIN:0in 0in 0pt" align=right>&nbsp;</p></td> <td width=3% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="TEXT-ALIGN:right; MARGIN:0in 0in 0pt" align=right>&nbsp;</p></td> <td width=47% style="PADDING-BOTTOM:0in; PADDING-LEFT:1.5pt; PADDING-RIGHT:1.5pt; HEIGHT:14.5pt; PADDING-TOP:0in" valign=bottom> <p style="MARGIN:0in 0in 0pt"><font style="LINE-HEIGHT:normal; FONT-SIZE:11pt" face="times new roman" color=#000000>Title: President and Chief Executive Officer</font></p></td></tr></table></div> <p style="MARGIN:0in 0in 10pt">&nbsp;</p><a name=_aciFooter4 /> <div> <p style="TEXT-INDENT:0in; MARGIN:0in 0in 0pt" align=center><font size=+0><font style=FONT-SIZE:8pt face="Times New Roman" lang=EN-US>&nbsp;&nbsp;4</font></font></p></div></div> <hr width=100% size=2 noshade align=center> </body>
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