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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-K/A
/X/ Annual report pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934 for the fiscal year ended
December 31, 1996 or
/ / Transition report pursuant to Section 13 of 15(d) of the
Securities Exchange Act of 1934 for the transition period from
________________ to _______________.
COMMISSION FILE NUMBER: 0-26834
PETE'S BREWING COMPANY
(Exact name of registrant as specified in its charter)
CALIFORNIA 77-0110743
(State or other jurisdiction of (I.R.S. Employer Identification Number)
incorporation or organization)
514 HIGH STREET, PALO ALTO, CALIFORNIA 94301
(Address of principal executive office) (zip code)
Registrant's telephone number, including area code: (415) 328-7383
SECURITIES REGISTERED PURSUANT TO SECTION 12(b) OF THE ACT:
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<CAPTION>
Name of each exchange
Title of each class on which registered
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<S> <C> <C>
None None
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SECURITIES REGISTERED PURSUANT TO SECTION 12(g) OF THE ACT:
Common Stock, no par value
Preferred Share Purchase Rights
(Title of Class)
Indicate by check mark whether the registrant (1) has filed all reports
required to be filed by Section 13 or 15(d) of the Securities Exchange Act of
1934 during the preceding 12 months (or for such shorter period that the
registrant was required to file such reports), and (2) has been subject to such
filing requirements for the past 90 days.
Yes X No
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Indicate by check mark if disclosure of delinquent filers pursuant to
Item 405 of Regulation S-K is not contained herein, and will not be contained,
to the best of the registrant's knowledge, in definitive proxy or information
statements incorporated by reference in Part III of this Form 10-K or any
amendment to this Form 10-K. /X/
The aggregate market value of the voting stock held by non-affiliates
of the registrant, based upon the closing sale price of the Common Stock on
February 28, 1997 as reported on the Nasdaq National Market, was approximately
$30,500,000. Shares of Common Stock held by each officer and director and by
each person who owns 5% or more of the outstanding Common Stock have been
excluded in that such persons may be deemed to be affiliates. This determination
of affiliate status is not necessarily a conclusive determination for other
purposes.
As of February 28, 1997, registrant had outstanding 10,715,769 shares
of Common Stock.
DOCUMENTS INCORPORATED BY REFERENCE
The Registrant has incorporated by reference into Part III of this Form
10-K portions of its Proxy Statement for the Annual Meeting of Shareholders to
be held May 12, 1997. Portions of the Registrant's Annual Report to Shareholders
for the fiscal year ended December 31, 1996 are incorporated by reference into
Parts II and IV of this Form 10-K.
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SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities
Exchange Act of 1934, as amended, the Registrant has duly caused this Form
10-K/A Amendment to be signed on its behalf by the undersigned, thereunto duly
authorized.
PETE'S BREWING COMPANY
By: /s/ JEFFREY ATKINS
Jeffrey Atkins
Senior Vice President, Chief
Financial Officer and Acting
Chief Operating Officer
Date: April 24, 1997
PURSUANT TO THE REQUIREMENTS OF THE SECURITIES EXCHANGE ACT OF 1934, AS
AMENDED, THIS FORM 10-K/A AMENDMENT HAS BEEN SIGNED BELOW BY THE FOLLOWING
PERSONS ON BEHALF OF THE REGISTRANT AND IN THE CAPACITIES AND ON THE DATES
INDICATED:
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SIGNATURE TITLE DATE
- ------------------------- ---------------------------------- --------------
<S> <C> <C>
JEFFREY ATKINS Senior Vice President, April 24, 1997
- ------------------------- Chief Financial Officer and
Jeffrey Atkins Acting Chief Operating Officer
MARK BRONDER* Director April 24, 1997
- -------------------------
Mark Bronder
AUDREY MACLEAN* Director April 24, 1997
- -------------------------
Audrey MacLean
KEVIN O'ROURKE* Director April 24, 1997
- -------------------------
Kevin O'Rourke
PETE SLOSBERG* Director April 24, 1997
- -------------------------
Pete Slosberg
CHRISTOPHER SORTWELL* Director April 24, 1997
- -------------------------
Christopher Sortwell
PHILIP MARINEAU* Director April 24, 1997
- -------------------------
Philip Marineau
*By /s/ Jeffrey Atkins
- -------------------------
Jeffrey Atkins
(Attorney-in-fact)
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