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| CIK | 825411 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Sono Group N.V.
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| October 10, 2017 |
15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-9789 Sevcon, Inc. (Exact name of registrant as specified in its |
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| September 29, 2017 |
SEV / Sevcon, Inc. / SCHORR MARVIN G - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) Matthew C. Dallett Locke Lord LLP 111 Huntington Avenue Boston, MA 02199 (617) 239-0100 (Name, Address and Telephone Number of Pe |
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| September 29, 2017 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 47) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| September 27, 2017 |
S-8 POS 1 d460385ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on September 27, 2017 Registration No. 333-02113 Registration No. 333-61229 Registration No. 333-104785 Registration No. 333-164534 Registration No. 333-193761 Registration No. 333-211138 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRA |
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| September 27, 2017 |
As filed with the Securities and Exchange Commission on September 27, 2017 Registration No. |
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| September 27, 2017 |
S-8 POS As filed with the Securities and Exchange Commission on September 27, 2017 Registration No. |
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| September 27, 2017 |
S-8 POS As filed with the Securities and Exchange Commission on September 27, 2017 Registration No. |
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| September 27, 2017 |
S-8 POS As filed with the Securities and Exchange Commission on September 27, 2017 Registration No. |
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| September 27, 2017 |
S-8 POS As filed with the Securities and Exchange Commission on September 27, 2017 Registration No. |
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| September 27, 2017 |
POS AM As filed with the Securities and Exchange Commission on September 27, 2017 Registration No. |
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| September 27, 2017 |
POS AM As filed with the Securities and Exchange Commission on September 27, 2017 Registration No. |
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| September 27, 2017 |
8-K 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): September 22, 2017 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File |
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| September 27, 2017 |
Amended and Restated Certificate of Incorporation of Sevcon, Inc. EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SEVCON, INC. FIRST: The name of the corporation (which is hereinafter referred to as the ?Corporation?) is Sevcon, Inc. SECOND: The address of the Corporation?s registered office in the State of Delaware is The Corporation Trust Center, 1209 Orange Street, Wilmington, Delaware 19801, New Castle County. The name of the Corporat |
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| September 27, 2017 |
EX-3.2 Exhibit 3.2 BYLAWS OF SEVCON, INC. (a Delaware corporation) ARTICLE I OFFICES The Corporation may have offices at such places both within and without the State of Delaware as the Board of Directors may from time to time determine or the business of the Corporation may require. ARTICLE II STOCKHOLDERS MEETINGS Section 2.1 Annual Meetings. An annual meeting of stockholders shall be held for t |
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| September 12, 2017 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? |
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| September 12, 2017 |
8-K 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): September 12, 2017 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File |
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| September 5, 2017 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 46) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| August 24, 2017 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? |
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| August 24, 2017 |
Form 8-K 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): August 22, 2017 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission Fi |
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| August 21, 2017 |
DEFM14A 1 d425037ddefm14a.htm DEFM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Stat |
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| August 17, 2017 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 45) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| August 15, 2017 |
Sevcon Reports Financial Results for Third Quarter Fiscal 2017 EdgarFiling |
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| August 15, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): August 14, 2017 SEVCON, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-9789 04-2985631 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| August 14, 2017 |
SEV / Sevcon, Inc. 10-Q (Quarterly Report) 10-Q 1 form10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended July 1, 2017 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-9789 SEVCO |
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| August 14, 2017 |
Exhibit (10.1) EXECUTION COPY LOAN AGREEMENT between SEVCON, INC. as the Borrower and FrontFour Capital Group, LLC as the Lender May 22, 2017 LOAN AGREEMENT This LOAN AGREEMENT, dated as of May 22, 2017, between SEVCON, INC., a Delaware corporation (the “Borrower”) and FrontFour Capital Group, LLC (the “Lender”). W I T N E S S E T H: WHEREAS, the Borrower has requested that the Lender make a term |
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| August 14, 2017 |
Equity Transfer Agreement by and between Sevcon, Inc. Xuchang Fuhua Glass Co., Ltd. __________, 2017 Exhibit (2.2) Equity Transfer Agreement by and between Sevcon, Inc. and Xuchang Fuhua Glass Co., Ltd. , 2017 TABLE OF CONTENTS Page CHAPTER 1 DEFINITIONS AND INTERPRETATIONS 2 CHAPTER 2 EQUITY TRANSFER 5 CHAPTER 3 PRE-CLOSING ACTIONS 5 CHAPTER 4 REPRESENTATIONS AND WARRANTIES 6 CHAPTER 5 COVENANTS 8 CHAPTER 6 CONDITIONS PRECEDENT 9 CHAPTER 7 EFFECTIVE DATE AND TERMINATION 10 CHAPTER 8 CLOSING 11 C |
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| August 8, 2017 |
PREM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 21, 2017 |
SEV / Sevcon, Inc. / Meson Capital Partners LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Sevcon, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 81783K108 (CUSIP Number) Ryan Morris Meson Capital Partners LLC One Sansome Street, Suite 1895 San Francisco, CA 94104 (415) 758-0365 (Name, Address and |
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| July 20, 2017 |
SEV / Sevcon, Inc. / Meson Capital Partners LLC - SCHEDULE 13D AMENDMENT NO. 3 Activist Investment SC 13D/A 1 v471101sc13da.htm SCHEDULE 13D AMENDMENT NO. 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Sevcon, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 81783K108 (CUSIP Number) Ryan Morris Meson Capital Partners LLC One Sansome Street, Suite 1895 |
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| July 18, 2017 |
POWER OF ATTORNEY For Executing Forms 3, 4 and 5 The undersigned hereby constitutes and appoints each of Matthew Boyle, Paul Farquhar, Colleen Hamill, and Matthew Dallett, signing singly, his true and lawful attorney-in-fact to: (1) prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the U. |
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| July 18, 2017 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 44) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| July 17, 2017 |
EX-99.2 Exhibit 99.2 Sevcon, Inc. 155 Northboro Road Southborough, MA 01772, USA Tel +1 (508) 281 5500 www.sevcon.com July 17, 2017 SEVCON SIGNS DEFINITIVE AGREEMENT TO BE ACQUIRED BY BORGWARNER To all my colleagues, I am writing to inform you that last Friday, July 14, Sevcon and BorgWarner Inc. signed an agreement for BorgWarner to acquire Sevcon. The Sevcon Board unanimously approved the merger |
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| July 17, 2017 |
SEVCON SIGNS DEFINITIVE AGREEMENT TO BE ACQUIRED BY BORGWARNER EX-99.1 Exhibit 99.1 SEVCON SIGNS DEFINITIVE AGREEMENT TO BE ACQUIRED BY BORGWARNER SOUTHBOROUGH, Mass., July 17, 2017 ? Sevcon, Inc. (?Sevcon? or the ?Company?) (Nasdaq:SEV), a world leader in the design and manufacture of controls and battery chargers for zero emission electric and hybrid vehicles, today announced that it has entered into a definitive merger agreement with BorgWarner Inc. that p |
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| July 17, 2017 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K 1 d407254d8k.htm 8-K 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): July 14, 2017 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) |
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| July 17, 2017 |
EX-2.1 Table of Contents Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among BORGWARNER INC., SLADE MERGER SUB INC. and SEVCON, INC. Dated as of July 14, 2017 Table of Contents TABLE OF CONTENTS Page PREAMBLE RECITALS ARTICLE I THE MERGER Section 1.1 The Merger 2 Section 1.2 Effective Time 2 Section 1.3 Closing 2 Section 1.4 Directors and Officers of the Surviving Corporation 2 |
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| July 17, 2017 |
EX-99.3 Exhibit 99.3 [Sevcon Company Letterhead] Dear xxxxx You are a valued [supplier] [customer] to us, and we are contacting you with some great news about the future direction of Sevcon. On July 17, we announced that BorgWarner Inc. and Sevcon had entered into an agreement providing for the acquisition of Sevcon by BorgWarner. BorgWarner (NYSE: BWA) is a global product leader in clean and effi |
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| July 17, 2017 |
EX-99.2 Exhibit 99.2 Sevcon, Inc. 155 Northboro Road Southborough, MA 01772, USA Tel +1 (508) 281 5500 www.sevcon.com July 17, 2017 SEVCON SIGNS DEFINITIVE AGREEMENT TO BE ACQUIRED BY BORGWARNER To all my colleagues, I am writing to inform you that last Friday, July 14, Sevcon and BorgWarner Inc. signed an agreement for BorgWarner to acquire Sevcon. The Sevcon Board unanimously approved the merger |
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| July 17, 2017 |
EX-99.3 Exhibit 99.3 [Sevcon Company Letterhead] Dear xxxxx You are a valued [supplier] [customer] to us, and we are contacting you with some great news about the future direction of Sevcon. On July 17, we announced that BorgWarner Inc. and Sevcon had entered into an agreement providing for the acquisition of Sevcon by BorgWarner. BorgWarner (NYSE: BWA) is a global product leader in clean and effi |
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| July 17, 2017 |
8-K 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): July 14, 2017 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Numb |
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| July 17, 2017 |
EX-2.1 Table of Contents Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among BORGWARNER INC., SLADE MERGER SUB INC. and SEVCON, INC. Dated as of July 14, 2017 Table of Contents TABLE OF CONTENTS Page PREAMBLE RECITALS ARTICLE I THE MERGER Section 1.1 The Merger 2 Section 1.2 Effective Time 2 Section 1.3 Closing 2 Section 1.4 Directors and Officers of the Surviving Corporation 2 |
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| July 17, 2017 |
SEVCON SIGNS DEFINITIVE AGREEMENT TO BE ACQUIRED BY BORGWARNER EX-99.1 Exhibit 99.1 SEVCON SIGNS DEFINITIVE AGREEMENT TO BE ACQUIRED BY BORGWARNER SOUTHBOROUGH, Mass., July 17, 2017 ? Sevcon, Inc. (?Sevcon? or the ?Company?) (Nasdaq:SEV), a world leader in the design and manufacture of controls and battery chargers for zero emission electric and hybrid vehicles, today announced that it has entered into a definitive merger agreement with BorgWarner Inc. that p |
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| July 11, 2017 |
POWER OF ATTORNEY For Executing Forms 3, 4 and 5 The undersigned hereby constitutes and appoints each of Matthew Boyle, Paul Farquhar, colleen Hamill, and Matthew Dallett, signing singly, his true and lawful attorney-in-fact to: (1) prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the U. |
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| July 10, 2017 |
Sevcon FORM 8-K (Current Report/Significant Event) 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): July 3, 2017 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| June 8, 2017 |
Entry into a Material Definitive Agreement 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): June 3, 2017 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| May 31, 2017 |
Exhibit 1.01 Sevcon, Inc. Conflict Minerals Report For the reporting period from January 1, 2016 to December 31, 2016 Introduction This Conflict Minerals Report of Sevcon, Inc. has been prepared pursuant to SEC Rule 13p-1 and Form SD (the ?Rule?) for the reporting period January 1, 2016 to December 31, 2016. The Rule requires disclosure of certain information when a company manufactures or contrac |
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| May 31, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 1-9789 04-2985631 (State or other jurisdiction (Commission (IRS Employer of incorporation or organization) File Number) Identification No.) 155 Northboro Road, Southborough, Massachusetts 01772 (Address of princip |
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| May 24, 2017 |
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): May 22, 2017 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| May 17, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 f8k051717.htm FORM 8-K 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): May 15, 2017 SEVCON, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-9789 04-2985631 (State or Other Jurisdiction of Incorporation) ( |
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| May 17, 2017 |
Sevcon Reports Financial Results for Second Quarter Fiscal 2017 EdgarFiling EXHIBIT 99.1 Sevcon Reports Financial Results for Second Quarter Fiscal 2017 SOUTHBOROUGH, Mass., May 15, 2017 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) reported financial results for the second quarter of fiscal 2017 ended April 1, 2017. Management Comments ?Second-quarter revenues increased 19% year over year, reflecting a record performance by Bassi as well as an extra month of s |
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| May 17, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): February 14, 2017 SEVCON, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-9789 04-2985631 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| May 17, 2017 |
Sevcon Reports Financial Results for First Quarter Fiscal 2017 EdgarFiling EXHIBIT 99.1 Sevcon Reports Financial Results for First Quarter Fiscal 2017 SOUTHBOROUGH, Mass., Feb. 14, 2017 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) reported financial results for the first quarter of fiscal 2017 ended December 31, 2016. Management Comments ?First-quarter revenues increased 38% year over year, reflecting the $5.2 million contribution from our Bassi acquisition, |
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| May 16, 2017 |
Sevcon 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended April 1, 2017 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-9789 SEVCON, INC. (Exact name of |
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| February 14, 2017 |
Sevcon SEVCON, INC. 10-Q 12-31-2016 (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2016 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-9789 SEVCON, INC. (Exact name |
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| February 13, 2017 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders 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): February 10, 2017 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Numb |
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| February 13, 2017 |
EdgarFiling EXHIBIT 99.1 Sevcon Announces Results of Voting at Annual Meeting Reflecting Overwhelming Support for Incumbent Board SOUTHBOROUGH, Mass., Feb. 13, 2017 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) today announced the results of voting at its 2017 Annual Meeting of Stockholders, held on February 7, 2017. The proposal to amend our certificate of incorporation to immediately declassify t |
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| February 3, 2017 |
Matthew C. Dallett Partner Direct Telephone: 617-239-0303 Direct Fax: 866-955-8690 [email protected] By EDGAR February 3, 2017 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Attention: David L. Orlic, Special Counsel, Office of Mergers and Acquisitions Re: Sevcon, Inc. Definitive Additional Soliciting Material Filed January 25, 2017 Response dated February 2 |
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| February 2, 2017 |
111 Huntington Avenue Boston, MA 02199 Telephone: 617-239-0100 Fax: 617-227-4420 www. |
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| January 30, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| January 30, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definit |
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| January 30, 2017 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL - EXHIBIT A Activist Investment begin 644 sev43.pdf M)5!$1BTQ+C0-)>+CS],-"CD@,"!O8FH-/#PO3&EN96%R:7IE9" Q+TP@-38R M-#0O3R Q,2]%(#0Y,S@X+TX@,2]4(#4U.30V+T@@6R T-C,@,30T73X^#65N M9&]B:@T@(" @(" @(" @(" @(" @(" @#0HR," P(&]B:@T\/"]$96-O9&50 M87)M7!E+UA2968O5ULQ(#(@,%T^/G-T'0O M26UA9V5"+TEM86=E0R]);6%G94E=+UA/8FIE8W0\/"]/8FHT(#$T(# @4B]/ M8FHU(#$U(# @4B]/8FHV(#$V(# @4B]/8FHW(#$W(# @4B]/8FHX(#$X(# @ M4CX^/CXO4F]T871E(# O5'EP92]086=E/ |
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| January 30, 2017 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 43) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| January 27, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definit |
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| January 26, 2017 |
Sevcon 3G/A (Passive Acquisition of More Than 5% of Shares) SC 13G/A 1 sev13g05.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Sevcon, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 81783K108 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| January 25, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| January 25, 2017 |
Sevcon DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definit |
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| January 25, 2017 |
Sevcon DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definit |
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| January 20, 2017 |
Sevcon SEVCON, INC. DEFA14A 1-20-2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definit |
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| January 19, 2017 |
Presentation to ISS January 19, 2017 P A G E 1 Disclaimer THIS PRESENTATION IS FOR DISCUSSION AND GENERAL INFORMATIONAL PURPOSES ONLY. |
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| January 19, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| January 19, 2017 |
Please see PDF for document reference Please see PDF for document reference |
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| January 19, 2017 |
111 Huntington Avenue Boston, MA 02199 Telephone: 617-239-0100 Fax: 617-227-4420 www. |
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| January 17, 2017 |
DFAN14A 1 sevcondfan14a-011717.htm JANUARY 17, 2017 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant [ ] Filed by a Party Other than the Registrant [x] Check the Appropriate Box: [ ] Preliminary Proxy Statement [ ] Confidential, for U |
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| January 17, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| January 17, 2017 |
Sevcon SEVCON, INC. DEFA14A 1-17-2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definit |
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| January 12, 2017 |
Sevcon DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definit |
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| January 12, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| January 12, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| January 12, 2017 |
Writer's E-Mail: [email protected] Writer's Direct Dial: 212.880.9865 January 12, 2017 VIA EMAIL AND EDGAR David L. Orlic Special Counsel Office of Mergers and Acquisitions Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-3628 Mail Stop 3628 Re: Sevcon, Inc. Preliminary Proxy Statement on Schedule 14A Filed January 11, 2017 by Meson Capital LP et al. File No. 001-09789 De |
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| January 11, 2017 |
Sevcon SEVCON, INC. DEFC14A 2-7-2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Definit |
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| January 11, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| January 11, 2017 |
Sevcon SEVCON, INC. PRER14A NO 2 2-7-2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definit |
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| January 11, 2017 |
111 Huntington Avenue Boston, MA 02199 Telephone: 617-239-0100 Fax: 617-227-4420 WWW. |
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| January 11, 2017 |
Writer's E-Mail: [email protected] Writer's Direct Dial: 212.880.9865 January 10, 2017 VIA EMAIL AND EDGAR David L. Orlic Special Counsel Office of Mergers and Acquisitions Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-3628 Mail Stop 3628 Re: Sevcon, Inc. Preliminary Proxy Statement on Schedule 14A Filed January 3, 2017 by Meson Capital LP et al. File No. 001-09789 Dea |
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| January 11, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| January 9, 2017 |
Sevcon SEVCON, INC. PRER14A 2-7-2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definit |
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| January 9, 2017 |
By EDGAR January 9, 2017 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Attention: David L. Orlic, Special Counsel, Office of Mergers and Acquisitions Re: Sevcon, Inc. Preliminary Proxy Statement on Schedule 14A Filed December 28, 2016 File No. 001-09789 Definitive Additional Materials on Schedule 14A Filed December 29, 2016 File No. 001-09789 Ladies and Gentlemen: On b |
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| January 5, 2017 |
SEV / Sevcon, Inc. / Meson Capital Partners LLC - JANUARY 5, 2017 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (RULE 13D - 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 2)* Sevcon, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 81783K108 (CUSIP Number) RYAN MORRIS, CFA MESON |
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| January 4, 2017 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| December 29, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definit |
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| December 28, 2016 |
Sevcon SEVCON, INC. PREC14A 2-7-2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☑ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definit |
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| December 27, 2016 |
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): December 24, 2016 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Numb |
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| December 23, 2016 |
SUBSIDIARIES OF THE REGISTRANT EXHIBIT 21 SUBSIDIARIES OF THE REGISTRANT Name State or other jurisdiction of organization Percentage of voting securities owned by its immediate parent at September 30, 2016 Sevcon USA, Inc. |
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| December 23, 2016 |
EXHIBIT 10(I) SUMMARY OF DIRECTOR AND EXECUTIVE OFFICER NON-PLAN COMPENSATION Non-Employee Directors The current fees paid to non-employee directors are as follows: Non-employee directors are each paid a retainer of $60,000, 50% in cash and 50% in the form of restricted stock. |
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| December 22, 2016 |
Sevcon SEVCON, INC 10-K 9-30-2016 (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2016 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| December 22, 2016 |
Exhibit 99.2 [Meson Capital Letterhead] December , 2016 [ ] [ ] [ ] Re: Sevcon, Inc. Dear [ ]: Thank you for agreeing to serve as a nominee for election to the Board of Directors of Sevcon, Inc. (the "Company") in connection with the proxy solicitation being considered by Meson Constructive Capital LP ("Meson Capital") and its affiliates to nominate and elect directors at the Company's 2017 annual |
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| December 22, 2016 |
Exhibit 99.3 JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13D with respect to the Common Stock, $0.01 par value, of Sevcon, Inc., a Delaware Corporation, dated as of December 22, 2016 is, and any further amendments thereto signed by each of the undersigned shall be, filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of |
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| December 22, 2016 |
SEV / Sevcon, Inc. / Meson Capital Partners LLC - DECEMBER 21, 2016 Activist Investment SC 13D/A 1 sevcon13da-122116.htm DECEMBER 21, 2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (RULE 13D - 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 1)* Sevcon, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securitie |
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| December 22, 2016 |
EX-99.4 5 sevconex994-122116.htm POWER OF ATTORNEY Exhibit 99.4 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints Ryan Morris the undersigned's true and lawful attorney-in-fact to take any and all action in connection with (i) the undersigned's beneficial ownership of, or participation in a group with respect to, securities of Sevcon, Inc., a Delawa |
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| December 22, 2016 |
Exhibit 99.1 Meson Capital Partners, 19% shareholder, Nominates Highly Qualified Board of Director Candidates for Sevcon Annual Meeting Change at the Top is Required to Unlock Sevcon's Potential in an Accelerating Market for Electrification San Francisco, CA Meson Capital Partners, LLC ("Meson"), a major shareholder of Sevcon, Inc. (NASDAQ:SEV) ("Sevcon" or the "Company") with approximately 19% of |
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| December 15, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 f8k121516.htm FORM 8-K 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): December 15, 2016 SEVCON, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-9789 04-2985631 (State or Other Jurisdiction of Incorporati |
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| December 15, 2016 |
EdgarFiling EXHIBIT 99.1 Sevcon Reports Fourth-Quarter and Full-Year Fiscal 2016 Financial Results Strong On-Road Project Pipeline Continues to Expand; Six Significant Milestones on Major Projects Now Expected in Fiscal 2017 SOUTHBOROUGH, Mass., Dec. 15, 2016 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) reported financial results for the fourth quarter and fiscal year ended September 30, 2016. Man |
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| December 5, 2016 |
Exhibit 10.1 AMENDMENT NO. 1 to TERM LOAN AGREEMENT dated as of January 27, 2016 between SEVCON, INC. and BANCA MONTE DEI PASCHI DI SIENA S.p.A. acting through its New York branch This AMENDMENT NO. 1 (this ?Amendment?) is made as of December 5, 2016 by and among Sevcon, Inc., a Delaware corporation with offices at 155 Northboro Road, Southborough, Massachusetts 01772 (the ?Borrower?) and BANCA MO |
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| December 5, 2016 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): December 5, 2016 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| November 2, 2016 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 8-K 1 f8k110116.htm FORM 8-K 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 1, 2016 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorpor |
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| October 13, 2016 |
POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints James E. |
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| October 13, 2016 |
SEV / Sevcon, Inc. / Bassi Holding S.r.l. - SC 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240. |
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| September 12, 2016 |
SEV / Sevcon, Inc. / WELLS FARGO & COMPANY/MN Passive Investment SC 13G/A 1 wfsevconinc-81783k108x.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10) SEVCON INC (Name of Issuer) COM (Title of Class of Securities) 81783K108 (CUSIP Number) August 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| August 24, 2016 |
® 1,686,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-213101 PROSPECTUS ? 1,686,000 Shares of Common Stock This prospectus relates to the resale, from time to time, of up to 1,686,000 shares of our common stock by certain selling stockholders. We sold these shares of common stock and warrants to the selling stockholders in a private sale completed on July 8, 2016. The number of shares the selling |
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| August 24, 2016 |
® 1,686,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-213101 PROSPECTUS ? 1,686,000 Shares of Common Stock This prospectus relates to the resale, from time to time, of up to 1,686,000 shares of our common stock by certain selling stockholders. We sold these shares of common stock and warrants to the selling stockholders in a private sale completed on July 8, 2016. The number of shares the selling |
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| August 22, 2016 |
Sevcon, Inc. 155 Northboro Road Southborough, MA 01772 August 22, 2016 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Ms. Amanda Ravitz Re: Sevcon, Inc. Registration Statement on Form S-1 (File No. 333-213101) Ladies and Gentlemen: Pursuant to Rule 461 of the Securities Act of 1933, Sevcon, Inc. (the ?Company?) requests |
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| August 22, 2016 |
Sevcon, Inc. 155 Northboro Road Southborough, MA 01772 August 22, 2016 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Ms. Amanda Ravitz Re: Sevcon, Inc. Registration Statement on Form S-1 (File No. 333-213101) Ladies and Gentlemen: Pursuant to Rule 461 of the Securities Act of 1933, Sevcon, Inc. (the ?Company?) requests |
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| August 12, 2016 |
S-1 1 s1081216.htm FORM S-1 As filed with the Securities and Exchange Commission on August 12, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sevcon, Inc. (Exact name of registrant as specified in its charter) Delaware 3625 04-2985631 (State or other jurisdiction of incorporation or |
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| August 12, 2016 |
Sevcon SEVCON, INC. 10-Q 7-2-2016 (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended July 2, 2016 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-9789 SEVCON, INC. (Exact name of r |
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| August 5, 2016 |
Sevcon FORM 10-K/A (Annual Report) 10-K/A 1 f10ka080516.htm FORM 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A (Mark One) [X] Annual report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended September 30, 2015 or [] Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commi |
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| August 4, 2016 |
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): August 2, 2016 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Number) |
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| August 3, 2016 |
Sevcon Reports Financial Results for Third Quarter Fiscal 2016 EdgarFiling EXHIBIT 99.1 Sevcon Reports Financial Results for Third Quarter Fiscal 2016 SOUTHBOROUGH, Mass., Aug. 03, 2016 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) reported financial results for the third quarter of fiscal 2016 ended July 2, 2016. Third-Quarter Fiscal 2016 Results Summary Revenues increased to $13.9 million, from $10.3 million in the third quarter of fiscal 2015, a 34% increas |
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| August 3, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): August 3, 2016 SEVCON, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-9789 04-2985631 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| July 19, 2016 |
SEV / Sevcon, Inc. / Meson Capital Partners LLC - SC 13D Activist Investment SC 13D 1 v444452sc13d.htm SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Sevcon, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 81783K108 (CUSIP Number) Ryan Morris Meson Capital Partners LLC One Sansome Street, Suite 1895 San Francisco, CA 94104 (4 |
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| July 19, 2016 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Common Stock, $0.01 par value, of Sevcon, Inc., a Delaware corporation. This Joint Filing |
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| July 18, 2016 |
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): July 13, 2016 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Number) |
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| July 14, 2016 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 42) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center c Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Perso |
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| July 12, 2016 |
SEVCON, INC. Warrant To Purchase Common Stock Exhibit 4.1 [With blocker] THE ISSUANCE OF THE SECURITIES REPRESENTED HEREBY has NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (the “act”), AND, ACCORDINGLY, such securities MAY NOT BE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSUANT TO THE ACT, (II) SUCH SECU |
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| July 12, 2016 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 6, 2016 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Number) |
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| July 11, 2016 |
Sevcon Announces $10.15 Million Private Placement of Units EdgarFiling EXHIBIT 99.1 Sevcon Announces $10.15 Million Private Placement of Units SOUTHBOROUGH, Mass., July 07, 2016 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) announced that it has entered into definitive agreements to sell 1,113,000 units, each consisting of one share of its common stock and 0.5 of a warrant to purchase one share of its common stock, in a private placement to certain institu |
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| July 11, 2016 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (“Agreement”) is made as of the 6th day of July, 2016 by and among Sevcon, Inc., a Delaware corporation (the “Company”), and the Investors set forth on the signature pages affixed hereto (each an “Investor” and collectively the “Investors”). Recitals A. The Company and the Investors are executing and delivering this Agre |
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| July 11, 2016 |
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): July 6, 2016 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| July 11, 2016 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (the “Agreement”) is made and entered into as of this 6th day of July, 2016 by and among Sevcon, Inc., a Delaware corporation (the “Company”), and the “Investors” named in that certain Securities Purchase Agreement by and among the Company and the Investors (the “Purchase Agreement”). Capitalized terms used herein have t |
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| July 11, 2016 |
SEVCON, INC. Warrant To Purchase Common Stock Exhibit 4.1 THE ISSUANCE OF THE SECURITIES REPRESENTED HEREBY has NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (the ?act?), AND, ACCORDINGLY, such securities MAY NOT BE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSUANT TO THE ACT, (II) SUCH SECURITIES MAY BE S |
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| May 27, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 1-9789 04-2985631 (State or other jurisdiction (Commission (IRS Employer of incorporation or organization) File Number) Identification No.) 155 Northboro Road, Southborough, Massachusetts 01772 (Address of princip |
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| May 27, 2016 |
Exhibit 1.01 Sevcon, Inc. Conflict Minerals Report For the reporting period from January 1, 2015 to December 31, 2015 Introduction This Conflict Minerals Report of Sevcon, Inc. has been prepared pursuant to SEC Rule 13p-1 and Form SD (the ?Rule?) for the reporting period January 1, 2015 to December 31, 2015. The Rule requires disclosure of certain information when a company manufactures or contrac |
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| May 25, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): May 16, 2016 SEVCON, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-9789 04-2985631 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.R. |
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| May 25, 2016 |
Sevcon Reports Financial Results for Second Quarter Fiscal 2016 EdgarFiling EXHIBIT 99.1 Sevcon Reports Financial Results for Second Quarter Fiscal 2016 SOUTHBOROUGH, Mass., May 16, 2016 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) reported financial results for the second quarter of fiscal 2016 ended April 2, 2016. Second-Quarter Fiscal 2016 Results Summary Revenues increased to $13.2 million, from $10.3 million in the second quarter of fiscal 2015, a 28% inc |
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| May 23, 2016 |
Sevcon SEVCON INC. 10-Q 4-2-2016 (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended April 2, 2016 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-9789 SEVCON, INC. (Exact name of |
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| May 23, 2016 |
BASSI UNIPERSONALE S.R.L. FINANCIAL STATEMENTS FOR THE YEAR ENDED DECEMBER 31, 2015 EX-99.1 3 ex991.htm EXHIBIT 99.1 Exhibit 99.1 BASSI UNIPERSONALE S.R.L. FINANCIAL STATEMENTS FOR THE YEAR ENDED DECEMBER 31, 2015 BASSI UNIPERSONALE S.R.L. CONTENTS FOR THE YEAR ENDED DECEMBER 31, 2015 PAGE FINANCIAL STATEMENTS AND SUPPLEMENTARY DATA Balance Sheets at December 31, 2015 and 2014 3 Statements of Income for the Years ended December 31, 2015 and 2014 4 Statements of Comprehensive Inco |
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| May 23, 2016 |
SEVCON, INC. UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Exhibit 99.2 SEVCON, INC. UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION INDEX PAGE Introduction 2 Unaudited Pro Forma Condensed Combined Balance Sheet as at September 30, 2015 4 Unaudited Pro Forma Condensed Combined Statement of Operations for the Year Ended September 30, 2015 5 Unaudited Pro Forma Condensed Combined Statement of Operations for the Period Ended January 2, 2016 6 No |
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| May 23, 2016 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2016 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Num |
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| May 23, 2016 |
SEVCON, INC. 1996 EQUITY INCENTIVE PLAN (As Amended and Restated) Exhibit 3.3 SEVCON, INC. 1996 EQUITY INCENTIVE PLAN (As Amended and Restated) 1. Purpose and History The purpose of the Sevcon, Inc. 1996 Equity Incentive Plan as amended and restated (the “Plan”) is to attract and retain key employees, directors, and consultants of the Company and its Affiliates, to provide an incentive for them to achieve long-range performance goals, and to enable them to parti |
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| May 17, 2016 |
NT 10-Q 1 f12b25051716.htm FORM NT 10-Q UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: . . . . . 3235-0058 Washington, D.C. 20549 Expires: October 31, 2018 Estimated average burden hours per response. . . . . . . . 2.50 FORM 12b-25 SEC FILE NUMBER NOTIFICATION OF LATE FILING CUSIP NUMBER (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SA |
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| May 16, 2016 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 41) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| May 4, 2016 |
As filed with the Securities and Exchange Commission on May 4, 2016 Registration No. |
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| April 15, 2016 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2016 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Num |
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| April 15, 2016 |
BASSI UNIPERSONALE S.R.L. FINANCIAL STATEMENTS FOR THE YEAR ENDED DECEMBER 31, 2015 EX-99.1 3 ex991.htm EXHIBIT 99.1 Exhibit 99.1 BASSI UNIPERSONALE S.R.L. FINANCIAL STATEMENTS FOR THE YEAR ENDED DECEMBER 31, 2015 BASSI UNIPERSONALE S.R.L. CONTENTS FOR THE YEAR ENDED DECEMBER 31, 2015 PAGE FINANCIAL STATEMENTS AND SUPPLEMENTARY DATA Balance Sheets at December 31, 2015 and 2014 3 Statements of Income for the Years ended December 31, 2015 and 2014 4 Statements of Comprehensive Inco |
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| March 17, 2016 |
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): March 16, 2016 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Number) |
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| February 23, 2016 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 40) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| February 16, 2016 |
SEV / Sevcon, Inc. 10-Q - Quarterly Report - SEVCON, INC. 10-Q 1-2-2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended January 2, 2016 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-9789 SEVCON, INC. (Exact name o |
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| February 5, 2016 |
Sevcon FORM 8-K (Current Report/Significant Event) 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): February 2, 2016 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| February 3, 2016 |
Sevcon FORM 8-K (Current Report/Significant Event) 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): February 2, 2016 SEVCON, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-9789 04-2985631 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| February 3, 2016 |
POWER OF ATTORNEY For Executing Forms 3, 4 and 5 The undersigned hereby constitutes and appoints each of Matthew Boyle, Paul N. |
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| February 3, 2016 |
EdgarFiling EXHIBIT 99.1 Sevcon Reports Financial Results for First Quarter Fiscal 2016 Adding Bassi and Expanding Electrification SOUTHBOROUGH, Mass., Feb. 02, 2016 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) reported financial results for the first quarter of fiscal 2016 ended January 2, 2016 and the acquisition of Bassi S.r.l. First-Quarter Fiscal 2016 Results Summary Revenues decreased $0.8 m |
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| February 1, 2016 |
Exhibit 10.1 QUOTA SALE AND PURCHASE AGREEMENT BETWEEN BASSI HOLDING S.R.L. IN AGREEMENT WITH ITS SHAREHOLDERS Mr. ANDREA BASSI, MR. BRUNO BASSI, MRS. TIZIANA RIMINI AND SEVCON S.R.L. AND SEVCON INC. Dated as of January 26, 2016 QUOTA SALE AND PURCHASE AGREEMENT This quota sale and purchase agreement (the ?Agreement?) is made and entered into as of this January 26, 2016 (the ?Signing Date?) BETWEE |
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| February 1, 2016 |
EX-10.2 3 exh102.htm EXHIBIT 10.2 Exhibit 10.2 TERM LOAN AGREEMENT between SEVCON, INC. and BANCA MONTE DEI PASCHI DI SIENA S.p.A. acting through its New York branch January 27, 2016 TABLE OF CONTENTS ARTICLE I. DEFINITIONS 1 ARTICLE II. TERM LOAN 9 2.1 Term Loan. 9 2.2 Use of Proceeds. 10 ARTICLE III. THE NOTE 10 3.1 Note. 10 ARTICLE IV. INTEREST RATES AND FEES 10 4.1 Interest Rate. 10 4.2 Facili |
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| February 1, 2016 |
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): January 26, 2016 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| February 1, 2016 |
EXHIBIT 99.1 Sevcon Targets Accelerated Growth With Acquisition of Bassi Srl Adds Bassi Battery Charging and Power Management Systems Capabilities Combination with Sevcon Advanced Motor Control Technologies Strengthens Sevcon as a Leading Global Supplier of Industrial and Automotive Electrification Solutions SOUTHBOROUGH, Mass., Feb. 01, 2016 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) today anno |
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| January 28, 2016 |
Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement 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): January 25, 2016 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| January 27, 2016 |
SEV / Sevcon, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9) SEVCON INC (Name of Issuer) COM (Title of Class of Securities) 81783K108 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] |
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| January 26, 2016 |
SEV / Sevcon, Inc. / GABELLI EQUITY SERIES FUNDS INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Sevcon, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 81783K108 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule i |
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| December 29, 2015 |
Sevcon SEVCON, INC. DEF 14A 2-2-2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Definit |
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| December 24, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K 10-K 1 form10k.htm SEVCON, INC. 10-K 9-30-2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2015 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| December 24, 2015 |
EXHIBIT 10(I) SUMMARY OF DIRECTOR AND EXECUTIVE OFFICER NON-PLAN COMPENSATION Non-Employee Directors The current fees paid to non-employee directors are as follows: Non-employee directors are each paid a retainer of $60,000, 50% in cash and 50% in the form of restricted stock. |
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| December 24, 2015 |
SUBSIDIARIES OF THE REGISTRANT EXHIBIT 21 SUBSIDIARIES OF THE REGISTRANT Name State or other jurisdiction of organization Percentage of voting securities owned by its immediate parent at September 30, 2015 Sevcon USA, Inc. |
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| December 14, 2015 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL - EXHIBIT A Activist Investment begin 644 sev39.pdf M)5!$1BTQ+C0-)>+CS],-"C8T(# @;V)J#3P\+TQI;F5A0X3UD;LQTJN>,[!6,#"W^5[OSV; =M)P1=92]*7Q1XM?$2&/"OP&85='GA]?$3QO>6CG]3@']L MAP4O"-KU[-F[9^^^O7OW#?+OZQ\T:G!0T.!14SX<]?RH#Z>L3)F5G#PK967A MFNW+MJ\I/+C]VK7M!X^57R@9K79K*=LI\K+3Z+7%]#7G1VV;P6=.K9M]T- M+Z]N-,]V H'M!X&O0.!UGQ?[Q]&]5YNV[>YKWZ'C0]T0H.ONPK:>+5MVZ9= MVON:X=WO!*]VK05M.MVWT./]1 |
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| December 14, 2015 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 39) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| December 9, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K Filing 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): December 8, 2015 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commi |
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| December 9, 2015 |
Sevcon Reports Record Sales for Full Year Fiscal 2015 Sevcon Reports Record Sales for Full Year Fiscal 2015 EXHIBIT 99.1 Sevcon Reports Record Sales for Full Year Fiscal 2015 SOUTHBOROUGH, Mass., Dec. 8, 2015 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) reported financial results for the fourth quarter and fiscal year ended September 30, 2015. Fourth-Quarter Fiscal 2015 Results Summary Revenues increased $0.5 million, or 4.7 percent, to $10.5 million |
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| September 17, 2015 |
Sevcon FORM 8-K (Current Report/Significant Event) 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): September 17, 2015 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Num |
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| September 17, 2015 |
EXHIBIT 99.1 |
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| August 25, 2015 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 38) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| August 10, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended July 4, 2015 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-9789 SEVCON, INC. (Exact name of r |
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| August 5, 2015 |
Sevcon Reports Financial Results for Third Quarter Fiscal 2015 Sevcon Reports Financial Results for Third Quarter Fiscal 2015 EXHIBIT 99.1 Sevcon Reports Financial Results for Third Quarter Fiscal 2015 SOUTHBOROUGH, Mass., Aug. 5, 2015 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) reported financial results for the third quarter of fiscal 2015 ended July 4, 2015. Third-Quarter Fiscal 2015 Results Summary Revenues increased to $10.3 million from $9.7 million in |
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| August 5, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): August 5, 2015 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 28, 2015 |
Exhibit 1.01 Sevcon, Inc. Conflict Minerals Report For the reporting period from January 1, 2014 to December 31, 2014 Introduction This Conflict Minerals Report of Sevcon, Inc. (?Sevcon?) has been prepared pursuant to SEC Rule 13p-1 and Form SD (the ?Rule?) for the reporting period January 1, 2014 to December 31, 2014. The Rule requires disclosure of certain information when a company manufactures |
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| May 28, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 1-9789 04-2985631 (State or other jurisdiction (Commission (IRS Employer of incorporation or organization) File Number) Identification No.) 155 Northboro Road, Southborough, Massachusetts 01772 (Address of princip |
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| May 19, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended April 4, 2015 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-9789 SEVCON, INC. (Exact name of |
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| May 7, 2015 |
Sevcon Reports Financial Results for Second Quarter Fiscal 2015 EX-99 2 newsrelease.htm PRESS RELEASE EXHIBIT 99.1 Sevcon Reports Financial Results for Second Quarter Fiscal 2015 SOUTHBOROUGH, Mass., May 6, 2015 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) reported financial results for the second quarter of fiscal 2015 ended April 4, 2015. Second-Quarter Fiscal 2015 Results Summary Revenues increased to $10.34 million, from $9.17 million in the second quarter |
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| May 7, 2015 |
Sevcon FORM 8-K FILING DOCUMENT (Current Report/Significant Event) Form 8-K Filing 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) May 7, 2015 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission |
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| February 17, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended January 3, 2015 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-9789 SEVCON, INC. (Exact name o |
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| February 5, 2015 |
SEV / Sevcon, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8) SEVCON INC (Name of Issuer) COM (Title of Class of Securities) 81783K108 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] |
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| February 4, 2015 |
Sevcon Reports Financial Results for First Quarter Fiscal 2015 EXHIBIT 99.1 Sevcon Reports Financial Results for First Quarter Fiscal 2015 SOUTHBOROUGH, Mass., Feb. 3, 2015 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) reported financial results for the first quarter of fiscal 2015 ended January 3, 2015. First-Quarter Fiscal 2015 Results Summary Revenues increased 10% to $9.9 million, from $9.0 million in the first quarter of fiscal 2014, reflecting the startu |
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| February 4, 2015 |
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): February 3, 2015 SEVCON, INC. (Exact Name of Registrant as Specified in Charter) Delaware (State or other jurisdiction of incorporation) 001-9789 (Commission File Number) 04-2985631 ( |
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| February 4, 2015 |
AMENDED AND RESTATED BY-LAWS SEVCON, INC. Exhibit 3.2 As Amended February 3, 2015 AMENDED AND RESTATED BY-LAWS of SEVCON, INC. ARTICLE 1 STOCKHOLDERS SECTION 1.1. Annual Meetings. The annual meeting of the stockholders for the election of directors and for the transaction of such other business as may properly come before the meeting shall be held at such place either within or without the State of Delaware on such date and at such hour a |
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| February 4, 2015 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SEVCON, INC. (Pursuant to Sections 242 and 245 of the General Corporation Law of the State of Delaware) 1. The name of the corporation is Sevcon, Inc. The corporation was originally incorporated under the name “Tech/Ops Sevcon, Inc.” pursuant to an original Certificate of Incorporation filed with the Secretary of State of the State o |
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| January 27, 2015 |
SEV / Sevcon, Inc. / GABELLI EQUITY SERIES FUNDS INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Sevcon, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 81783K108 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule i |
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| December 23, 2014 |
SEV / Sevcon, Inc. DEF 14A - - SEVCON, INC DEF 14A 2-3-2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definit |
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| December 23, 2014 |
EXHIBIT 10(K) SUMMARY OF DIRECTOR AND EXECUTIVE OFFICER NON-PLAN COMPENSATION Non-Employee Directors The current fees paid to non-employee directors are as follows: Non-employee directors of the Company are each paid $24,000 per year for their services. |
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| December 23, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2014 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| December 23, 2014 |
Exhibit 10(a) SEVCON, INC. 1996 EQUITY INCENTIVE PLAN (As Amended and Restated) 1. Purpose and History The purpose of the Sevcon, Inc. 1996 Equity Incentive Plan as amended and restated (the ?Plan?) is to attract and retain key employees, directors, and consultants of the Company and its Affiliates, to provide an incentive for them to achieve long-range performance goals, and to enable them to par |
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| December 23, 2014 |
SUBSIDIARIES OF THE REGISTRANT EXHIBIT 21 SUBSIDIARIES OF THE REGISTRANT Name State or other jurisdiction of organization Percentage of voting securities owned by its immediate parent at September 30, 2014 Sevcon USA, Inc. |
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| December 12, 2014 |
SEV / Sevcon, Inc. PRE 14A - - SEVCON, INC PRE 14A 2-3-2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definit |
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| December 9, 2014 |
Sevcon Reports Financial Results for Fourth Quarter and Year-End Fiscal 2014 EXHIBIT 99.1 Sevcon Reports Financial Results for Fourth Quarter and Year-End Fiscal 2014 SOUTHBOROUGH, Mass., Dec. 9, 2014 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) reported financial results for the fourth quarter and fiscal year ended September 30, 2014. Fourth-Quarter Fiscal 2014 Results Summary Revenues increased 13 percent to $10.0 million, from $8.9 million in the fourth quarter of fisca |
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| December 9, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 document.htm FORM 8-K FILING DOCUMENT 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) December 9, 2014 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdicti |
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| October 2, 2014 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 37) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| October 1, 2014 |
SEV / Sevcon, Inc. / SCHORR MARVIN G - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) Matthew C. Dallett Edwards Wildman Palmer LLP 111 Huntington Avenue Boston, MA 02199 (617) 239-0100 (Name, Address and Telephone |
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| September 17, 2014 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 36) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| September 16, 2014 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 35) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| August 7, 2014 |
PROSPECTUS SUPPLEMENT NO. 1 TO PROSPECTUS DATED AUGUST 1, 2014 SEVCON, INC. Filed Pursuant to Rule 424(b)(3) File No. 333-197075 PROSPECTUS SUPPLEMENT NO. 1 TO PROSPECTUS DATED AUGUST 1, 2014 SEVCON, INC. This Prospectus Supplement No. 1 supplements and amends our Prospectus dated August 1, 2014. It includes our attached Quarterly Report on Form 10-Q for the quarter ended June 28, 2014 as filed with the Securities and Exchange Commission on August 7, 2014. This Prospectus |
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| August 7, 2014 |
10-Q 1 form10q.htm SEVCON, INC 10-Q 6-28-2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 28, 2014 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission F |
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| August 6, 2014 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 34) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| August 5, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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) August 5, 2014 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Number) |
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| August 5, 2014 |
Sevcon Reports Financial Results for Third Quarter Fiscal 2014 EXHIBIT 99.1 Sevcon Reports Financial Results for Third Quarter Fiscal 2014 SOUTHBOROUGH, Mass., Aug. 5, 2014 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) reported financial results for the third quarter of fiscal 2014 ended June 28, 2014. Third-Quarter Fiscal 2014 Results Summary Revenues increased to $9.7 million, from $8.7 million in the third quarter of fiscal 2013, reflecting continued improv |
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| August 1, 2014 |
Filed Pursuant to Rule 424(b)(1) Registration No. 333-197075 PROSPECTUS 3,574,765 Subscription Rights to Purchase Shares of Series A Convertible Preferred Stock at $21.50 per Share 465,500 Shares of Series A Convertible Preferred Stock 1,675,800 Shares of Common Stock Sevcon, Inc. is distributing, at no charge, to holders of our common stock transferable subscription rights to purchase up to 465,5 |
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| July 29, 2014 |
SEV / Sevcon, Inc. S-1/A - - SEVCON, INC S-1A 7-29-2014 As filed with the Securities and Exchange Commission on July 29, 2014 Registration No. |
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| July 29, 2014 |
Sevcon, Inc. Announces Terms of Rights Offering to Its Stockholders EXHIBIT 99.1 Sevcon, Inc. Announces Terms of Rights Offering to Its Stockholders SOUTHBOROUGH, Mass., July 29, 2014 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV), a world leader in the design and manufacture of microprocessor-based controls for zero emission electric and hybrid vehicles, today announced the terms for its pending rights offering for shares of convertible preferred stock. The rights |
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| July 29, 2014 |
EXHIBIT 4.1 |
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| July 29, 2014 |
Exhibit 99.2 SEVCON, INC. FORM OF LETTER TO REGISTERED HOLDERS OF COMMON SHARES Up to $10,008,250 of Shares of Series A Convertible Preferred Stock Issuable Upon Exercise of Transferable Subscription Rights Enclosed for your consideration is a prospectus (the “Prospectus”), relating to the offering by Sevcon, Inc. (the “Company”) of transferable rights (the “Rights”) to subscribe for shares of the |
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| July 29, 2014 |
Exhibit 99.3 SEVCON, INC. FORM OF LETTER TO BROKERS AND OTHER NOMINEE HOLDERS Up to $10,008,250 of Shares of Series A Convertible Preferred Stock Issuable Upon Exercise of Transferable Subscription Rights This letter is being distributed to broker-dealers, trust companies, banks and other nominees in connection with the offering by Sevcon, Inc. (the “Company”) of transferable rights (the “Rights”) |
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| July 29, 2014 |
EXHIBIT 3.1 SEVCON, INC. Amended and Restated Certificate of Designations of Series A Convertible Preferred Stock (Pursuant to Section 151(g) of the Delaware General Corporation Law) The undersigned, being the President and Chief Executive Officer and the Secretary, respectively, of Sevcon, Inc., a Delaware corporation, hereby certify that: 1. The corporation is authorized to issue 1,000,000 share |
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| July 29, 2014 |
SEVCON, INC. Amended and Restated Certificate of Designations Series A Convertible Preferred Stock Exhibit 3.2 SEVCON, INC. Amended and Restated Certificate of Designations of Series A Convertible Preferred Stock Section 1. Designation and Amount. The series of Preferred Stock shall be designated Series A Convertible Preferred Stock (the “Series A Preferred”) and, unless and until increased or decreased by the Board of Directors pursuant to the Delaware General Corporation Law, the number of sh |
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| July 29, 2014 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Other Events 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): July 24, 2014 SEVCON, INC. (Exact Name of Registrant as Specified in Charter) Delaware (State or other jurisdiction of incorporation) 001-9789 (Commission File Number) 04-2985631 (IRS |
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| July 29, 2014 |
SEV / Sevcon, Inc. 8-A12B - - SEVCON, INC 8-A12B 7-29-2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 04-2985631 (State of incorporation or organization) (IRS Employer Identification No.) 155 Northboro Road Southborough, |
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| July 29, 2014 |
FORM OF BENEFICIAL OWNER ELECTION FORM Exhibit 99.5 FORM OF BENEFICIAL OWNER ELECTION FORM The undersigned acknowledge(s) receipt of your letter and the materials referred to therein relating to the distribution of transferable subscription rights (the “Rights”) to purchase shares of Series A Convertible Preferred Stock (the “Series A Preferred”), par value $0.10 per share of Sevcon, Inc. (the “Company”). This will instruct you whether |
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| July 29, 2014 |
EX-99.4 10 ex994.htm EXHIBIT 99.4 Exhibit 99.4 SEVCON, INC. FORM OF LETTER TO CLIENTS OF BROKERS AND OTHER NOMINEE HOLDERS Up to $10,008,250 of Shares of Series A Convertible Preferred Stock Issuable Upon Exercise of Transferable Subscription Rights Enclosed for your consideration is a prospectus (the “Prospectus”), relating to the offering by Sevcon, Inc. (the “Company”) of transferable rights (t |
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| July 29, 2014 |
Exhibit 4.1 REGISTERED OWNER: NUMBER OF RIGHTS: THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY’S PROSPECTUS (THE “PROSPECTUS”) AND ARE INCORPORATED HEREIN BY REFERENCE. COPIES OF THE PROSPECTUS ARE AVAILABLE UPON REQUEST FROM BROADRIDGE CORPORATE ISSUER SOLUTIONS, INC., THE RIGHTS AGENT. Sevcon, Inc. Incorporated under the laws of the State of Delaware TRANSFERABLE SU |
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| July 29, 2014 |
FORM OF INSTRUCTIONS FOR USE OF SEVCON, INC. TRANSFERABLE SUBSCRIPTION RIGHTS CERTIFICATES Exhibit 99.1 FORM OF INSTRUCTIONS FOR USE OF SEVCON, INC. TRANSFERABLE SUBSCRIPTION RIGHTS CERTIFICATES PLEASE CONTACT BROADRIDGE CORPORATE ISSUER SOLUTIONS, INC., OUR INFORMATION AGENT, WITH ANY QUESTIONS AT (855) 793-5068. The following instructions relate to a rights offering (the “Rights Offering”) by Sevcon, Inc., a Delaware corporation (the “Company”), to the holders of record (the “Sharehol |
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| July 29, 2014 |
Exhibit 4.2 |
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| July 29, 2014 |
NOTICE OF GUARANTEED DELIVERY SUBSCRIPTION RIGHTS CERTIFICATES Issued by SEVCON, INC. Exhibit 99.7 NOTICE OF GUARANTEED DELIVERY for SUBSCRIPTION RIGHTS CERTIFICATES Issued by SEVCON, INC. This form, or one substantially equivalent to this form, must be used to exercise subscription rights pursuant to the rights offering described in the prospectus (the “Prospectus”), of Sevcon, Inc., a Delaware corporation (the “Company”), if a holder of subscription rights cannot deliver the Subs |
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| July 15, 2014 |
Sevcon, Inc. Announces Record Date for Rights Offering to Its Stockholders EXHIBIT 99.1 Sevcon, Inc. Announces Record Date for Rights Offering to Its Stockholders SOUTHBOROUGH, Mass., July 15, 2014 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) a world leader in the design and manufacture of microprocessor-based controls for zero emission electric and hybrid vehicles, today announced that the record date for its previously announced rights offering will be July 25, 2014. T |
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| July 15, 2014 |
Financial Statements and Exhibits, Other Events 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) July 15, 2014 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| June 27, 2014 |
SEV / Sevcon, Inc. S-1 - Registration Statement - SEVCON, INC S-1 6-27-2014 As filed with the Securities and Exchange Commission on June 27, 2014 Registration No. |
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| June 27, 2014 |
FORM OF BENEFICIAL OWNER ELECTION FORM Exhibit 99.5 FORM OF BENEFICIAL OWNER ELECTION FORM The undersigned acknowledge(s) receipt of your letter and the materials referred to therein relating to the distribution of transferable subscription rights (the “Rights”) to purchase shares of Series A Convertible Preferred Stock (the “Series A Preferred”), par value $0.10 per share of Sevcon, Inc. (the “Company”). This will instruct you whether |
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| June 27, 2014 |
EX-3.2 2 ex32.htm EXHIBIT 3.2 Exhibit 3.2 SEVCON, INC. Certificate of Designations of Series A Convertible Preferred Stock (Pursuant to Section 151(g) of the Delaware General Corporation Law) The undersigned, being the President and Chief Executive Officer and the Secretary, respectively, of Sevcon, Inc., a Delaware corporation, hereby certify that: 1. The corporation is authorized to issue 1,000, |
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| June 27, 2014 |
SUBSCRIPTION AND INFORMATION AGENT AGREEMENT EXHIBIT 4.3 SUBSCRIPTION AND INFORMATION AGENT AGREEMENT This Subscription and Information Agent Agreement (the “Agreement”) is entered into as of this 20th day of June 2014 by and between, Sevcon, Inc., organized and existing under the laws of Delaware (the “Company”), and Broadridge Corporate Issuer Solutions, Inc., a Company having its principal offices in Philadelphia, Pennsylvania (“Broadridg |
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| June 27, 2014 |
Exhibit 4.1 REGISTERED OWNER: NUMBER OF RIGHTS: THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY’S PROSPECTUS DATED [ ], 2014 (THE “PROSPECTUS”) AND ARE INCORPORATED HEREIN BY REFERENCE. COPIES OF THE PROSPECTUS ARE AVAILABLE UPON REQUEST FROM BROADRIDGE CORPORATE ISSUER SOLUTIONS, INC., THE RIGHTS AGENT. Sevcon, Inc. Incorporated under the laws of the State of Delaware |
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| June 27, 2014 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 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) June 24, 2014 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| June 27, 2014 |
FORM OF NOMINEE HOLDER CERTIFICATION Exhibit 99.6 FORM OF NOMINEE HOLDER CERTIFICATION The undersigned, a bank, broker, trustee, depositary or other nominee holding transferable subscription rights (the “Rights”) to purchase shares of Series A Convertible Preferred Stock (“Series A Preferred”), par value $0.10 per share, of Sevcon, Inc. (the “Company”) pursuant to the rights offering described in the Company’s Prospectus dated [ ], 2 |
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| June 27, 2014 |
FORM OF INSTRUCTIONS FOR USE OF SEVCON, INC. TRANSFERABLE SUBSCRIPTION RIGHTS CERTIFICATES Exhibit 99.1 FORM OF INSTRUCTIONS FOR USE OF SEVCON, INC. TRANSFERABLE SUBSCRIPTION RIGHTS CERTIFICATES PLEASE CONTACT BROADRIDGE CORPORATE ISSUER SOLUTIONS, INC., OUR INFORMATION AGENT, WITH ANY QUESTIONS AT (855) 793-5068. The following instructions relate to a rights offering (the “Rights Offering”) by Sevcon, Inc., a Delaware corporation (the “Company”), to the holders of record (the “Sharehol |
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| June 27, 2014 |
NOTICE OF GUARANTEED DELIVERY SUBSCRIPTION RIGHTS CERTIFICATES Issued by SEVCON, INC. Exhibit 99.7 NOTICE OF GUARANTEED DELIVERY for SUBSCRIPTION RIGHTS CERTIFICATES Issued by SEVCON, INC. This form, or one substantially equivalent to this form, must be used to exercise subscription rights pursuant to the rights offering described in the prospectus dated [·], 2014 (the “Prospectus”), of Sevcon, Inc., a Delaware corporation (the “Company”), if a holder of subscription rights cannot |
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| June 27, 2014 |
Sevcon, Inc. Announces Plans for Rights Offering to Its Stockholders EXHIBIT 99.1 Sevcon, Inc. Announces Plans for Rights Offering to Its Stockholders SOUTHBOROUGH, Mass., June 27, 2014 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) a world leader in the design and manufacture of microprocessor-based controls for zero emission electric and hybrid vehicles, today announced that it has filed a registration statement with the Securities and Exchange Commission for a rig |
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| June 27, 2014 |
Exhibit 99.4 SEVCON, INC. FORM OF LETTER TO CLIENTS OF BROKERS AND OTHER NOMINEE HOLDERS Up to $[ ] of Shares of Series A Convertible Preferred Stock Issuable Upon Exercise of Transferable Subscription Rights Enclosed for your consideration is a prospectus, dated [ ], 2014 (the “Prospectus”), relating to the offering by Sevcon, Inc. (the “Company”) of transferable rights (the “Rights”) to subscrib |
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| June 27, 2014 |
Exhibit 99.3 SEVCON, INC. FORM OF LETTER TO BROKERS AND OTHER NOMINEE HOLDERS Up to $[ ] of Shares of Series A Convertible Preferred Stock Issuable Upon Exercise of Transferable Subscription Rights This letter is being distributed to broker-dealers, trust companies, banks and other nominees in connection with the offering by Sevcon, Inc. (the “Company”) of transferable rights (the “Rights”) to sub |
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| June 27, 2014 |
Exhibit 99.2 SEVCON, INC. FORM OF LETTER TO REGISTERED HOLDERS OF COMMON SHARES Up to $[ ] of Shares of Series A Convertible Preferred Stock Issuable Upon Exercise of Transferable Subscription Rights Enclosed for your consideration is a prospectus, dated [ ], 2014 (the “Prospectus”), relating to the offering by Sevcon, Inc. (the “Company”) of transferable rights (the “Rights”) to subscribe for sha |
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| June 27, 2014 |
EX-10.1 5 ex101.htm EXHIBIT 10.1 Exhibit 10.1 STANDBY PURCHASE AGREEMENT This STANDBY PURCHASE AGREEMENT (this “Agreement”) is made and entered into as of June 24, 2014, by and among Meson Capital LP, a New York limited partnership (“Meson”), Walter M. Schenker, (“Schenker”, together with Meson, the “Standby Purchasers”), and Sevcon, Inc., a Delaware corporation (the “Company”). WHEREAS, pursuant |
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| June 2, 2014 |
Exhibit 1.02 Sevcon, Inc. Conflict Minerals Report For the reporting period from January 1, 2013 to December 31, 2013 Due Diligence This Conflict Minerals Report of Sevcon, Inc. has been prepared pursuant to SEC Rule 13p-1 and Form SD (the “Rule”) for the reporting period January 1, 2013 to December 31, 2013. The Rule requires disclosure of certain information when a company manufactures or contra |
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| June 2, 2014 |
SD 1 formsd.htm SEVCON, INC SD 12-31-2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 1-9789 04-2985631 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 155 Northboro Road, Southboroug |
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| May 13, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 29, 2014 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-9789 SEVCON, INC. (Exact name of |
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| May 6, 2014 |
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) May 6, 2014 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Number) (IR |
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| May 6, 2014 |
Sevcon Reports Financial Results for Second Quarter Fiscal 2014 EXHIBIT 99.1 Sevcon Reports Financial Results for Second Quarter Fiscal 2014 SOUTHBOROUGH, Mass., May 6, 2014 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) reported financial results for the second quarter of fiscal 2014 ended March 29, 2014. Second-Quarter Fiscal 2014 Results Summary Revenues increased to $9.2 million, from $8.0 million in the second quarter of fiscal 2013, reflecting improving co |
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| February 11, 2014 |
SEV / Sevcon, Inc. / START BERNARD F - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Sevcon, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 878293109 (CUSIP Number) Matthew C. Dallett Edwards Wildman Palmer LLP 111 Huntington Avenue Boston, MA 02199 (617) 239-0100 (Name, Address and Telephone Number of Person Authorize |
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| February 11, 2014 |
SEV / Sevcon, Inc. / SCHORR MARVIN G - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Sevcon, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 878293109 (CUSIP Number) Matthew C. Dallett Edwards Wildman Palmer LLP 111 Huntington Avenue Boston, MA 02199 (617) 239-0100 (Name, Address and Telephone Number of Person Authorize |
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| February 10, 2014 |
10-Q 1 form10q.htm SEVCON, INC 10-Q 12-28-2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 28, 2013 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commiss |
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| February 5, 2014 |
Sevcon Reports Financial Results for First Quarter Fiscal 2014 EXHIBIT 99.1 Sevcon Reports Financial Results for First Quarter Fiscal 2014 SOUTHBOROUGH, Mass., Feb. 4, 2014 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) reported financial results for the first quarter of fiscal 2014 ended December 28, 2013. The Company also announced separately today that it has received the required approval of the government authorities in China to establish a joint venture w |
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| February 5, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 document.htm FORM 8-K FILING DOCUMENT 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) February 4, 2014 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdicti |
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| February 5, 2014 |
As filed with the Securities and Exchange Commission on February 5, 2014 Registration No. |
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| February 5, 2014 |
Submission of Matters to a Vote of Security Holders - FORM 8-K 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): February 4, 2014 SEVCON, INC. (Exact Name of Registrant as Specified in Charter) Delaware (State or other jurisdiction of incorporation) 001-9789 (Commission File Number) 04-2985631 ( |
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| January 28, 2014 |
SEV / Sevcon, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7) SEVCON INC (Name of Issuer) COM (Title of Class of Securities) 81783K108 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] |
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| January 27, 2014 |
SEV / Sevcon, Inc. / GABELLI EQUITY SERIES FUNDS INC Passive Investment SC 13G/A 1 sev13g02.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Sevcon, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 81783K108 (CUSIP Number) December 31, 2013 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| January 6, 2014 |
- PROXY STATEMENT FOR FEBRUARY, 4 MEETING 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definit |
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| December 31, 2013 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 33) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
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| December 30, 2013 |
Sevcon Announces Appointment of New Directors EXHIBIT 99.1 Sevcon Announces Appointment of New Directors SOUTHBOROUGH, Mass., Dec. 30, 2013 (GLOBE NEWSWIRE) - Sevcon, Inc. (Nasdaq:SEV) today announced that it has increased the size of its Board of Directors to 12 directors, and has elected Glenn J. Angiolillo, Ryan J. Morris and Walter M. Schenker to the Board, effective immediately. Messrs. Angiolillo, Morris and Schenker were proposed as di |
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| December 30, 2013 |
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) December 30, 2013 SEVCON, INC. (Exact name of registrant as specified in its charter) Delaware 001-9789 04-2985631 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| December 30, 2013 |
SEV / Sevcon, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 32) Sevcon, Inc. (Name of Issuer) Common Stock $0.10 Par Value Per Share (Title of Class of Securities) 81783K108 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of Person |
