SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
---------------
FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR (g) OF THE
SECURITIES EXCHANGE ACT OF 1934
THERMOVIEW INDUSTRIES, INC.
(Exact Name of Registrant as Specified in Its Charter)
Delaware 61-1325129
(State of Incorporation or (I.R.S. Employer
Organization) Identification Number)
1101 Herr Lane
Louisville, Kentucky 40222
(Address of Principal Executive Offices) (Zip Code)
If this form relates to the If this form relates to the
registration of a class of registration of a class of
securities pursuant to Section securities pursuant to
12(b) of the Exchange Act and Section 12(g) of the Exchange
is effective pursuant to Act and is effective pursuant
General Instruction A.(c), to General Instruction A.(d),
please check the following please check the following
box. [X] box. [ ]
Securities Act registration statement file number to which this
form relates: 333-84571
Securities to be registered pursuant to Section 12(b) of the Act:
Title of each class Name of each exchange on
to be so registered which each class is to be registered
------------------- ------------------------------------
Common Stock, Par Value American Stock Exchange
$0.001 Per Share
Securities to be registered pursuant to Section 12(g) of the Act:
None
---------------
(Title of Class)
ITEM 1. DESCRIPTION OF REGISTRANT'S SECURITIES TO BE
REGISTERED.
For a full description of the common stock being registered
hereby, reference is made to the information contained under the
caption "Description of Capital Stock" in the final prospectus to
be filed by the registrant pursuant to Rule 424(b) under the
Securities Act of 1933, which prospectus shall be deemed to be
incorporated by reference in this registration statement. The
prospectus forms a part of the Registration Statement (No. 333-
84571) on Form S-1, as amended, filed by the registrant with the
Securities and Exchange Commission under the Securities Act of
1933.
ITEM 2. EXHIBITS.
The following exhibits are filed as a part of this
registration statement:
Exhibit
Number Description of Exhibits
------ -----------------------
1.1 -- Specimen common stock certificate (incorporated
herein by reference to Exhibit No. 4.1 to Form S-1
Registration Statement (No. 333-84571) under the
Securities Act of 1933, filed with the Securities
and Exchange Commission on August 5, 1999)
2.1 -- Restated Certificate of Incorporation
of the registrant (incorporated herein by
reference to Exhibit No. 3.1 to Form S-1
Registration Statement (No. 333-84571) under
the Securities Act of 1933, filed with the
Securities and Exchange Commission on August 5,
1999)
2.1(a) -- Certificate of Amendment of Restated Certificate
of Incorporation of the registrant (incorporated
herein by reference to Exhibit No. 3.1(a) to
Form S-1 Registration Statement (No. 333-84571)
under the Securities Act of 1933, filed with the
Securities and Exchange Commission on August 5, 1999)
2.1(b) -- Second Certificate of Amendment of Restated Certificate
of Incorporation of the registrant (incorporated
herein by reference to Exhibit No. 3.1(b) to
Amendment No. 1 to Form S-1 Registration Statement
(No. 333-84571) under the Securities Act of 1933,
filed with the Securities and Exchange Commission
on October 1, 1999)
2.2 -- Certificate of Designation of the registrant
(9.6% Cumulative Convertible Series C Preferred
Stock) (incorporated herein by reference to
Exhibit No. 3.2 to Form S-1 Registration Statement
(No. 333-84571) under the Securities Act of 1933,
filed with the Securities and Exchange Commission
on August 5, 1999)
2.2(a) -- Certificate of Amendment of Certificate of Designation
of the registrant (9.6% Cumulative Convertible
Series C Preferred Stock) (incorporated herein by
reference to Exhibit No. 3.2(a) to Form S-1 Registration
Statement (No. 333-84571) under the Securities Act of
1933, filed with the Securities and Exchange
Commission on August 5, 1999)
2.3 -- Amended and Restated By-Laws of the registrant
(incorporated herein by reference to Exhibit
No. 3.3 to Form S-1 Registration Statement
(No. 333-84571) under the Securities Act of 1933,
filed with the Securities and Exchange Commission
on August 5, 1999)
SIGNATURE
Pursuant to the requirements of Section 12 of the Securities
Exchange Act of 1934, the registrant has duly caused this
registration statement to be signed on its behalf by the
undersigned, thereto duly authorized.
THERMOVIEW INDUSTRIES, INC.
By: /s/ Stephen A. Hoffmann
--------------------------------
Stephen A. Hoffmann
Chairman of the Board and
Chief Executive Officer
Dated: November 16, 1999
