UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): November 6, 2006
AMPEX CORPORATION
(Exact name of registrant as specified in its charter)
| Delaware | 0-20292 | 13-3667696 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) | (IRS Employer Identification No.) |
1228 Douglas Avenue
Redwood City, California 94063-3117
(Address and zip code of principal executive offices)
Registrant’s telephone number, including area code:
(650) 367-2011
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:
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 7.01. Regulation FD Disclosure.
On November 6, 2006, Craig L. McKibben, Vice President and Chief Financial Officer of Ampex Corporation (the “Company”), will make a presentation at Paulson Investment’s 29th Annual Westergaard SmallCap Conference in New York, NY. A copy of the slide presentation that the Company intends to deliver at the conference is attached to this Current Report on Form 8-K (“Current Report”) as Exhibit 99.1 and is incorporated herein solely for purposes of this Item 7.01 disclosure.
The slides being furnished herewith contain statements that are “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995. Forward looking statements are inherently subject to material risks and uncertainties. Actual results could differ materially from those currently anticipated. Such risks and uncertainties include, but are not limited to, the risk that the Company’s patent licensing revenue may be adversely affected by the expiration of one of its significant patents in April 2006, the risks that the Company will not conclude additional license agreements, possible incurrence of significant patent litigation expenses or adverse legal determinations finding the Company’s patents invalid or not to have been infringed, as well as other risks and uncertainties referred to in the presentation and in the Company’s reports filed from time to time with the Securities and Exchange Commission. Certain of the information contained in the slides is derived from independent research reports and similar sources, which the Company believes to be reliable but which it has not independently verified and for which it cannot be responsible. The Company undertakes no duty or obligation to update any of the information contained in the slides.
The information in this Current Report, including the exhibit attached hereto, is being furnished pursuant to Regulation FD, and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section. The information in this Current Report, including the exhibit, shall not be incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Exchange Act, unless and only to the extent that such filing specifically refers to the information incorporated herein by reference. This Current Report will not be deemed an admission as to the materiality of any information in this Current Report that is required to be disclosed solely by Regulation FD.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
| 99.1 | Slide presentation of Ampex Corporation. |
[SIGNATURE PAGE FOLLOWS]
SIGNATURES
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 thereunto duly authorized.
| AMPEX CORPORATION | ||
| By: | /s/ Joel D. Talcott | |
| Joel D. Talcott | ||
| Vice President and Secretary | ||
Date: November 3, 2006
EXHIBIT INDEX
| Exhibit Number |
Description | |
| 99.1* | Slide presentation of Ampex Corporation. |
| * | Filed herewith. |