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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Convio, Inc. (MM) | NASDAQ:CNVO | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 16.07 | 0 | 01:00:00 |
Delaware
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74-2935609
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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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11501 Domain Drive, Suite 200
Austin, Texas
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78758
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(Address of Principal Executive Officers)
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(Zip Code)
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Large Accelerated Filer
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o
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Accelerated Filer
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ý
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Non-Accelerated Filer (do not check if a smaller reporting company)
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o
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Smaller Reporting Company
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o
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Title of Securities To Be Registered
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Amount to be Registered(1)
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Proposed Maximum Offering Price Per Share (2)
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Proposed Maximum Aggregate Offering Price (2)
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Amount of Registration Fee
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Common Stock, $0.001 Par Value
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|
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To be issued under the 2009 Stock Incentive Plan
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743,652
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$15.71
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$11,682,772.92
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$1,338.85
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(1)
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In addition, pursuant to Rule 416(c) under the Securities Act of 1933, as amended (the “Securities Act”) this registration statement also covers an indeterminate amount of interests to be offered or sold pursuant to the employee benefit plan(s) described herein. Pursuant to Rule 416(a) under the Securities Act, this registration statement shall also cover any additional shares of the Registrant's common stock that become issuable under the benefit plan(s) described herein by reason of any stock dividend, stock split, recapitalization or similar transaction effected without the registrant's receipt of consideration which would increase the number of outstanding shares of common stock. To the extent future awards under the benefit plan(s) described herein are forfeited or lapse unexercised, the shares of common stock subject to such awards will be available for future issuance under the benefit plan(s) described herein.
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(2)
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This estimate is made pursuant to 457(h) of the Securities Act for purposes of calculating the registration fee. The Proposed Maximum Offering Price Per Share is based on the average of the high and low prices for the registrant's common stock as reported on the NASDAQ on March 9, 2012.
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(a)
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The Registrant's Annual Report on Form 10-K containing audited financial statements for the fiscal year ended December 31, 2011, filed with the Commission on March 9, 2012;
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(b)
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The description of the Registrant's common stock contained in the Registrant's registration statement on Form 8-A (Registration No. 001-34707), as amended, filed by the Registrant with the SEC under Section 12(b) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), on April 21, 2010, including any amendments or reports filed for the purpose of updating such description; and
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(c)
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All reports filed pursuant to Section 13(a) or 15(d) of the Exchange Act since the end of the fiscal year covered by the prospectus referred to in (a) above.
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•
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any breach of the director's duty of loyalty to us or our stockholders;
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•
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any act or omission not in good faith or that involves intentional misconduct or a knowing violation of law;
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•
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unlawful payments of dividends or unlawful stock repurchases or redemptions as provided in Section 174 of the Delaware General Corporation Law; or
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•
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any transaction from which the director derived an improper personal benefit.
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Exhibit No.
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Description
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4.1
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Restated Certificate of Incorporation, as currently in effect (incorporated by reference from Exhibit 3.1.1 to the Registrant's registration statement on Form S-1, as amended, filed with the SEC on January 22, 2010 (File No. 333-164491))
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4.2
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Bylaws, as currently in effect (incorporated by reference from Exhibit 3.2.1 to the Registrant's registration statement on Form S-1, as amended, filed with the SEC on January 22, 2010 (File No. 333-164491))
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4.3
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Registration Statement on Form 8-A (File No. 001-34707), filed by the Registrant with the SEC on April 21, 2010, which is incorporated herein by reference pursuant to Item 3(b)
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4.3.1
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Amendment No. 1 to Registration Statement on Form 8-A (File No. 001-34707), filed by the Registrant with the SEC on April 22, 2010, which is incorporated herein by reference pursuant to Item 3(b)
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4.4
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Specimen certificate for shares of common stock (incorporated by reference from Exhibit 4.1 to the Registrant's registration statement on Form S-1, as amended, filed with the SEC on January 22, 2010 (File No. 333-164491))
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4.5
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2009 Stock Incentive Plan, as amended to date, and forms of stock option agreements (incorporated by reference from Exhibit 10.1 to the Registrant's registration statement on Form S-1, as amended, filed with the SEC on January 22, 2010 (File No. 333-164491))
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4.6
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Form of Nonstatutory Stock Option Notice (Double Trigger) (incorporated by reference from Exhibit 10.1 to the Registrant's current report on Form 8-K filed with the SEC on February 28, 2011)
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4.7
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Form of Restricted Stock Unit Notice (Double Trigger) and Agreement (incorporated by reference from Exhibit 10.2 to the Registrant's current on Form 8-K filed with the SEC on February 28, 2011)
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5.1
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*
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Opinion of DLA Piper LLP (US)
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23.1
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*
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Consent of DLA Piper LLP (US) (included in Exhibit 5.1)
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23.2
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*
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Consent of Independent Registered Public Accounting Firm
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24.1
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*
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Power of Attorney (included in the signature page to this registration statement)
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*
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Filed herewith
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(a)
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The Registrant hereby undertakes:
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(1)
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To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:
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(i)
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To include any prospectus required by Section 10(a)(3) of the Securities Act of 1933, as amended;
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(ii)
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To reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the SEC pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than 20 percent change in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective registration statement;
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(iii)
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To include any material information with respect to the plan of distribution not previously disclosed in the registration statement or any material change to such information in the registration statement;
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(2)
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That, for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
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(3)
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To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering.
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(b)
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The Registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the Registrant's annual report pursuant to Section 13(a) or 15(d) of the Exchange Act (and, where applicable, each filing of an employee benefit plan's annual report pursuant to Section 15(d) of the Exchange Act) that is incorporated by reference in the registration statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
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(c)
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Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the SEC such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.
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CONVIO, INC.
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By:
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/s/ GENE AUSTIN
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Gene Austin
Chief Executive Officer (Principal Executive Officer) and President
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Signature
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Title
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Date
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/s/ GENE AUSTIN
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Chief Executive Officer (Principal Executive Officer) and President
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March 15, 2012
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Gene Austin
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/s/ JAMES R. OFFERDAHL
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Chief Financial Officer and Vice President of Administration (Principal Financial and Accounting Officer)
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March 15, 2012
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James R. Offerdahl
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/s/ VINAY K. BHAGAT
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Director
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March 15, 2012
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Vinay K. Bhagat
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/s/ WILLIAM G. BOCK
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Chairman of the Board of Directors
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March 15, 2012
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William G. Bock
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/s/ CHRISTOPHER B. HOLLENBECK
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Director
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March 15, 2012
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Christopher B. Hollenbeck
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/s/ M. SCOTT IRWIN
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Director
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March 15, 2012
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M. Scott Irwin
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/s/ KRISTEN MAGNUSON DECOZIO
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Director
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March 15, 2012
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Kristen Magnuson DeCozio
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/s/ GEORGE H. SPENCER III
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Director
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March 15, 2012
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George H. Spencer III
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Exhibit No.
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Description
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4.1
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Restated Certificate of Incorporation, as currently in effect (incorporated by reference from Exhibit 3.1.1 to the Registrant's registration statement on Form S-1, as amended, filed with the SEC on January 22, 2010 (File No. 333-164491))
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4.2
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Bylaws, as currently in effect (incorporated by reference from Exhibit 3.2.1 to the Registrant's registration statement on Form S-1, as amended, filed with the SEC on January 22, 2010 (File No. 333-164491))
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4.3
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Registration Statement on Form 8-A (File No. 001-34707), filed by the Registrant with the SEC on April 21, 2010, which is incorporated herein by reference pursuant to Item 3(b)
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4.3.1
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Amendment No. 1 to Registration Statement on Form 8-A (File No. 001-34707), filed by the Registrant with the SEC on April 22, 2010, which is incorporated herein by reference pursuant to Item 3(b)
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4.4
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Specimen certificate for shares of common stock (incorporated by reference from Exhibit 4.1 to the Registrant's registration statement on Form S-1, as amended, filed with the SEC on January 22, 2010 (File No. 333-164491))
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4.5
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2009 Stock Incentive Plan, as amended to date, and forms of stock option agreements (incorporated by reference from Exhibit 10.1 to the Registrant's registration statement on Form S-1, as amended, filed with the SEC on January 22, 2010 (File No. 333-164491))
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4.6
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Form of Nonstatutory Stock Option Notice (Double Trigger) (incorporated by reference from Exhibit 10.1 to the Registrant's current report on Form 8-K filed with the SEC on February 28, 2011)
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4.7
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Form of Restricted Stock Unit Notice (Double Trigger) and Agreement (incorporated by reference from Exhibit 10.2 to the Registrant's current on Form 8-K filed with the SEC on February 28, 2011)
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5.1
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*
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Opinion of DLA Piper LLP (US)
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23.1
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*
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Consent of DLA Piper LLP (US) (included in Exhibit 5.1)
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23.2
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*
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Consent of Independent Registered Public Accounting Firm
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24.1
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*
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Power of Attorney (included in the signature page to this registration statement)
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|
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*
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Filed herewith
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1 Year Convio, Inc. (MM) Chart |
1 Month Convio, Inc. (MM) Chart |
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