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| CIK | 94538 |
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 Prophotonix Ltd - Reg S
SEC Filings (Chronological Order)
Denne side giver en komplet, kronologisk liste over SEC-arkiveringer, eksklusive ejerskabsregistreringer, som vi leverer andre steder.
| February 16, 2010 |
SC 13G/A 1 sc13ga-stkr021610.htm SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Amendment No. 5* INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) UNDER THE SECURITIES EXCHANGE ACT OF 1934 STOCKERYALE INC (Name of Issuer) Common Stock, par value $0.001 per share (Title of Cla |
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| January 22, 2010 |
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 000-27372 StockerYale, Inc. (Exact name of registrant as specified in its ch |
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| December 8, 2009 |
8-K 1 v1684288-k.htm CURRENT REPORT 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 2, 2009 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisd |
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| November 20, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2009 OR ¨ 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: 000-27372 Stock |
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| November 19, 2009 |
STOCKERYALE REPORTS THIRD-QUARTER 2009 FINANCIAL RESULTS - Due to Sale of North American Assets on October 14, 2009, Third Quarter Financial Results Reflect Only Continuing Operations - SALEM, N. |
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| November 19, 2009 |
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 19, 2009 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 000-27372 (Commission File No.) |
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| November 16, 2009 |
NT 10-Q 1 v166592nt-10q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): o Form 10-K o Form 20-F o Form 11-K þ Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: September 30, 2009 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Transition Report on Fo |
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| October 15, 2009 |
v162833ex99-4 - Converted by SECPublisher 2.1.1.8, created by BCL Technologies Inc., for SEC Filing |
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| October 15, 2009 |
PURCHASE AND SALE AGREEMENT by and among COHERENT, INC., STOCKERYALE, INC. and STOCKERYALE CANADA, INC. Dated as of October 13, 2009 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS & INTERPRETATIONS 1 1.1 Certain Definitions 1 1.2 Additional Definitions 11 1.3 Certain Interpretations 13 ARTICLE II PURCHASE AND SALE 13 2.1 Transferred Assets 13 2.2 Excluded Assets 14 2.3 Assumed Liabilities 15 2.4 Exc |
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| October 15, 2009 |
v162833ex10-3 - Converted by SECPublisher 2.1.1.8, created by BCL Technologies Inc., for SEC Filing |
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| October 15, 2009 |
STOCKERYALE SELLS NORTH AMERICAN OPERATIONS TO COHERENT EX-99.1 13 v162833ex99-1.htm STOCKERYALE SELLS NORTH AMERICAN OPERATIONS TO COHERENT Salem, N.H. — October , 2009 — StockerYale, Inc. (OTCBB: STKR), a leading designer and manufacturer of structured light lasers, LED modules and specialty optical fibers for industrial OEMs, medical and defense markets, today announced that it sold its North American operations for $15 million cash and the assumpti |
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| October 15, 2009 |
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): October 13, 2009 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 000-27372 (Commission File No.) |
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| October 8, 2009 |
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 October 7, 2009 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 000-27372 (Commission File No.) 04-2114473 (IRS Employer Identification No.) 32 Ham |
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| October 8, 2009 |
DATED 7th October, 2009 DEED OF VARIATION B E T W E E N :- StockerYale, Inc (1) StockerYale (UK) Limited (2) Antony Brian Pope (3) Johanna Pope (4) - and - - Damon Cookman (5) Relating to the variation to the terms of a Stock Purchase Agreement dated 31 October 2006 FOSKETT MARR GADSBY & HEAD LLP 181 High Street Epping Essex CM16 4BQ Tel: 01992 578642 Fax: 01992 572586 Ref: JSW/Photonic/29701/2 TH |
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| August 3, 2009 | ||
| August 3, 2009 | ||
| August 3, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2009 OR ¨ 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: 000-27372 StockerYal |
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| August 3, 2009 | ||
| August 3, 2009 | ||
| July 27, 2009 |
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): July 27, 2009 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 000-27372 (Commission File No.) 04- |
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| July 27, 2009 |
STOCKERYALE REPORTS SECOND-QUARTER 2009 FINANCIAL RESULTS STOCKERYALE REPORTS SECOND-QUARTER 2009 FINANCIAL RESULTS Second-Quarter 2009 Highlights: · Revenue of $6. |
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| May 8, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2009 OR ¨ 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: 000-27372 StockerYa |
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| April 29, 2009 |
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): April 23, 2009 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 000-27372 (Commission File No.) 04 |
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| April 29, 2009 |
STOCKERYALE REPORTS FIRST-QUARTER 2009 FINANCIAL RESULTS EX-99.2 3 v146998ex99-2.htm Exhibit 99.2 This press release restates the April 23, 2009 earnings press release issued by the Company with certain matters corrected, specifically the prior year total current liabilities and stockholders’ equity in the Consolidated Balance Sheet. STOCKERYALE REPORTS FIRST-QUARTER 2009 FINANCIAL RESULTS First-Quarter 2009 Highlights: · Revenue of $6.3 million, impact |
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| April 29, 2009 |
STOCKERYALE REPORTS FIRST-QUARTER 2009 FINANCIAL RESULTS STOCKERYALE REPORTS FIRST-QUARTER 2009 FINANCIAL RESULTS First-Quarter 2009 Highlights: · Revenue of $6. |
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| April 21, 2009 | ||
| April 21, 2009 |
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): April 16, 2009 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 000-27372 (Commission File No.) 04 |
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| April 20, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A 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 Definitive Proxy State |
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| April 16, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 000-27372 StockerYale, Inc. / NASDAQ Stock Market LLC (Exact name of Issuer as specified in its charger, and name of Exchange where security is listed and/or registered) 32 Hampshi |
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| April 10, 2009 |
Exhibit 99.1 StockerYale, Inc. Announces Engagement of Needham & Company, LLC to Explore Strategic Alternatives Company Announces Intention to Voluntarily Delist from Nasdaq and Move to OTC Bulletin Board SALEM, N.H, — April 6, 2009 — StockerYale, Inc. (NASDAQ: STKR), a leading designer and manufacturer of structured light lasers, LED systems and specialty optical fiber and assemblies for industri |
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| April 10, 2009 |
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): April 6, 2009 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 000-27372 (Commission File No.) 04- |
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| March 31, 2009 |
FIRST AMENDMENT TO STOCK AND WARRANT PURCHASE AGREEMENT Exhibit 10.120 FIRST AMENDMENT TO STOCK AND WARRANT PURCHASE AGREEMENT THIS FIRST AMENDMENT TO STOCK AND WARRANT PURCHASE AGREEMENT (this “First “Amendment”) dated as of March 23, 2009 is by and between StockerYale, Inc., a Massachusetts corporation (the “Company”), and Lewis Opportunity Fund LP (“Lewis”). WHEREAS, on or about December 24, 2008, the Company and Lewis entered into a Stock and Warra |
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| March 31, 2009 | ||
| March 31, 2009 | ||
| March 31, 2009 |
v144156ex10-119 - Converted by SECPublisher 2.1.1.8, created by BCL Technologies Inc., for SEC Filing |
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| March 31, 2009 |
Exhibit 21 Subsidiaries Name State or Jurisdiction Stocker Yale (UK) Limited England Photonic Products Limited (owned 100% by Stocker Yale (UK) Limited) England Lasiris Holdings, Inc. New Brunswick, Canada StockerYale Canada, Inc. (owned 100% by Lasiris Holdings, Inc.) Quebec, Canada StockerYale (IRL), Ltd. Cork, Ireland |
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| March 31, 2009 |
STOCKERYALE, INC. AMENDMENT NO. 1 TO THE 2007 STOCK INCENTIVE PLAN Exhibit 10.19 STOCKERYALE, INC. AMENDMENT NO. 1 TO THE 2007 STOCK INCENTIVE PLAN This AMENDMENT NO. 1 dated as of December 16, 2008 (this “Amendment”) to the StockerYale, Inc. 2007 Stock Incentive Plan (the “Plan”), is adopted by the Board of Directors on the date hereof. All capitalized terms used and not defined herein shall have the meanings ascribed to such terms in the Plan. Pursuant to Secti |
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| March 31, 2009 | ||
| March 31, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the fiscal year ended December 31, 2008 or ¨ 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: 000-27372 StockerYale, I |
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| February 26, 2009 |
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 26, 2009 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 000-27372 (Commission File No.) |
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| February 26, 2009 |
STOCKERYALE REPORTS 2008 FOURTH QUARTER STOCKERYALE REPORTS 2008 FOURTH QUARTER AND FULL-YEAR FINANCIAL RESULTS Full-Year 2008: · Record revenues of $32. |
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| February 13, 2009 |
OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response. |
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| January 23, 2009 |
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 16, 2009 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts (State or other jurisdiction of incorporation) 000-27372 (Commission File No.) |
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| January 23, 2009 |
STOCKERYALE, INC. SUMMARY OF 2009 STOCK OPTION AND CASH INCENTIVE COMPENSATION PLAN EX-10.1 2 v137756ex10-1.htm Exhibit 10.1 STOCKERYALE, INC. SUMMARY OF 2009 STOCK OPTION AND CASH INCENTIVE COMPENSATION PLAN On January 16, 2009, the Governance, Nominating and Compensation Committee of the Board of Directors of StockerYale, Inc. (the “Corporation”) established a performance-based stock option and cash incentive compensation plan pursuant to which (i) grants of performance-based s |
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| December 29, 2008 |
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, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commissio |
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| December 29, 2008 |
STOCK AND WARRANT PURCHASE AGREEMENT Form of Stock and Warrant Agreement Exhibit 10.1 STOCK AND WARRANT PURCHASE AGREEMENT STOCK AND WARRANT PURCHASE AGREEMENT (this “Agreement”), dated as of December , 2008, by and between StockerYale, Inc., a Massachusetts corporation (the “Company”), and the investor named on the signature page hereof (the “Investor”). W I T N E S S E T H WHEREAS, the Company is offering for sale (i) up to $1.5 mi |
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| December 29, 2008 |
AGREEMENT REGARDING INSTRUMENT CONSTITUTING US$4,750,000 10% SENIOR FIXED RATE SECURED BOND Agreement Regarding Instrument Constituting US$4,750,000 10% Senior Fixed Rate Exhibit 10. |
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| December 29, 2008 |
STOCK AND WARRANT PURCHASE AGREEMENT Stock and Warrant Purchase Agreement Exhibit 10.3 STOCK AND WARRANT PURCHASE AGREEMENT STOCK AND WARRANT PURCHASE AGREEMENT (this “Agreement”), dated as of December 24, 2008, by and between StockerYale, Inc., a Massachusetts corporation (the “Company”), and the investor named on the signature page hereof (the “Investor”). W I T N E S S E T H WHEREAS, the Company is offering for sale (i) up to $1.5 |
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| December 29, 2008 |
Form of Common Stock Purchase Warrant Exhibit 10.2 THIS WARRANT AND THE SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THIS WARRANT AND THE COMMON STOCK ISSUABLE UPON EXERCISE OF THIS WARRANT MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT AS TO THI |
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| November 14, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2008 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe |
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| October 23, 2008 |
Press Release Exhibit 99.1 STOCKERYALE, INC. REPORTS THIRD QUARTER FISCAL 2008 FINANCIAL RESULTS - Company Reports Positive EBITDA of $279,000 and Record Gross Profits - Salem, N.H. — October 23, 2008 — StockerYale, Inc. (NASDAQ: STKR), a leading designer and manufacturer of structured light lasers, LED modules and specialty optical fibers for industrial OEMs, medical and defense markets, today an |
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| October 23, 2008 |
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): October 23, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission |
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| September 16, 2008 |
Press Release Exhibit 99.1 StockerYale Receives Extension from Nasdaq Listing Qualifications Panel to Regain Compliance with Listing Requirements SALEM, N.H., September 16, 2008 — StockerYale, Inc. (NASDAQ: STKR), a leading designer and manufacturer of structured light lasers, LED modules and specialty optical fibers for industrial OEMs, medical and defense markets, today announced that on Septemb |
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| September 16, 2008 |
8-K 1 d8k.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): September 15, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of i |
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| August 29, 2008 |
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): August 27, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission |
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| August 29, 2008 |
StockerYale’s Cash Takeover Bid for Virtek Vision International Expires Press Release Exhibit 99.1 StockerYale’s Cash Takeover Bid for Virtek Vision International Expires SALEM, N.H., August 27, 2008 —StockerYale, Inc. (NASDAQ: STKR), a leading designer and manufacturer of structured light lasers, LED modules and specialty optical fibers for industrial OEMs, medical and defense markets, today announced that its previously announced cash takeover bid for Virtek Vision |
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| August 15, 2008 |
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): August 14, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission |
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| August 15, 2008 |
Press Release Exhibit 99.1 StockerYale Extends Offer in Cash Takeover Bid for Virtek Vision International Bid extended to August 25, 2008 Virtek shareholders to receive cash in weeks from StockerYale versus unknown timeframe and many conditions in any other known deals with other parties Alternative enhanced offer made to Virtek Board for acquisition of Virtek in friendly transaction SALEM, N.H. – |
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| August 14, 2008 |
Instrument Constituting, Senior Fixed Rate Secured Bond Exhibit 10.3 DATED July 24, 2008 STOCKERYALE (IRL) LTD. INSTRUMENT CONSTITUTING EURO 935,000 12% SENIOR FIXED RATE SECURED BOND CONTENTS CLAUSE 1. Interpretation 1 2. Constitution of the Bonds 2 3. Redemption of Bonds 4 4. Undertaking 5 5. Certificates 5 6. Security 5 7. The company’s powers 5 8. This instrument 6 9. Set-off 6 10. Meetings 6 |
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| August 14, 2008 |
Common Stock Purchase Warrant Exhibit 10.4 THIS WARRANT AND THE SHARES OF COMMON STOCK ISSUED UPON ITS EXERCISE ARE SUBJECT TO THE RESTRICTIONS ON TRANSFER SET FORTH IN SECTION 4 OF THIS WARRANT Number of Shares: 636,404 Date of Issuance: July 24, 2008 (subject to adjustment) StockerYale, Inc. Common Stock Purchase Warrant (Void after July 24, 2018 (the “Expiration Date”)) StockerYale, Inc., a Mas |
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| August 14, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2008 OR ¨ 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: 00 |
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| August 14, 2008 |
Common Stock Purchase Warrant Exhibit 10.2 THIS WARRANT AND THE SHARES OF COMMON STOCK ISSUED UPON ITS EXERCISE ARE SUBJECT TO THE RESTRICTIONS ON TRANSFER SET FORTH IN SECTION 4 OF THIS WARRANT Number of Shares: 269,663 Date of Issuance: May 30, 2008 (subject to adjustment) StockerYale, Inc. Common Stock Purchase Warrant (Void after May 30, 2018 (the “Expiration Date”)) StockerYale, Inc., a Massa |
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| August 14, 2008 |
AMENDMENT TO INSTRUMENT CONSTITUTING US$4,750,000 10% SENIOR FIXED RATE SECURED BOND Amendment to Instrument Constituting, Senior Fixed Rate Secured Bond Exhibit 10.1 AMENDMENT TO INSTRUMENT CONSTITUTING US$4,750,000 10% SENIOR FIXED RATE SECURED BOND THIS AMENDMENT TO INSTRUMENT CONSTITUTING US$4,750,000 10% SENIOR FIXED RATE SECURED BOND (this “Amendment”) is entered into as of May 30, 2008 by and between Mark Hawtin (“Hawtin”), as assignee of The Eureka Interactive Fund Limited |
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| August 1, 2008 |
PRESS RELEASE Exhibit 99.1 StockerYale and Virtek Reach Agreement on Waiver of Shareholder Rights Plan StockerYale Extends Bid until August 14, 2008 SALEM, N.H.—August 1, 2008 —StockerYale, Inc. (NASDAQ: STKR) today announced today that Virtek Vision International Inc. and StockerYale, Inc. have reached agreement that Virtek will waive the application of its shareholder rights plan to StockerYale’ |
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| August 1, 2008 |
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): August 1, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission F |
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| July 28, 2008 |
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 28, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fi |
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| July 28, 2008 |
EX-99.1 2 dex991.htm PRESS RELEASE StockerYale Increases Premium Offer in Cash Takeover Bid for Virtek Vision International Common Shares Offer Increased to CDN$0.80 Cash Per Share as StockerYale Prepares to Complete Transaction Offer Represents 100% Premium to Virtek’s 90 Day Closing Average Price Prior to Date of StockerYale’s Original Offer to Acquire Virtek StockerYale Bid Extended to August 8 |
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| July 28, 2008 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) 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 28, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorpora |
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| July 28, 2008 |
StockerYale, Inc. Announces Revised Second Quarter 2008 Financial Results Press Release Exhibit 99.1 StockerYale, Inc. Announces Revised Second Quarter 2008 Financial Results SALEM, N.H. — July 25, 2008 — StockerYale, Inc. (NASDAQ: STKR) (“StockerYale”), a leading designer and manufacturer of structured light lasers, LED modules and specialty optical fibers for industrial OEMs, medical and defense markets, today announced corrected financial results for its second fisca |
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| July 24, 2008 |
Press Release Exhibit 99.1 StockerYale, Inc. Announces Second Quarter 2008 Financial Results —Reports Record Revenues, Gross Profits and New Order Bookings— SALEM, N.H. — July 24, 2008 — StockerYale, Inc. (NASDAQ: STKR) (“StockerYale”), a leading designer and manufacturer of structured light lasers, LED modules and specialty optical fibers for industrial OEMs, medical and defense markets, today an |
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| July 24, 2008 |
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): July 24, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Comm |
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| July 16, 2008 |
StockerYale, Inc. Reaffirms Premium Offer for Virtek Vision International Inc. Press Release Exhibit 99.1 StockerYale, Inc. Reaffirms Premium Offer for Virtek Vision International Inc. StockerYale Responds to Virtek’s Press Release and Directors’ Circular Salem, NH, July 15, 2008. StockerYale, Inc. (NASDAQ: STKR), a leading designer and manufacturer of structured light lasers, LED modules and specialty optical fibers for industrial OEMs, medical and defense markets, today re |
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| July 16, 2008 |
Financial Statements and Exhibits, Other Events 8-K 1 d8k.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): July 15, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorp |
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| July 7, 2008 |
Unregistered Sales of Equity Securities 8-K 1 d8k.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): June 30, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorp |
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| July 2, 2008 |
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 26, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fi |
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| July 2, 2008 |
Press Release Exhibit 99.1 STOCKERYALE, INC. ANNOUNCES PRELIMINARY SECOND QUARTER 2008 FINANCIAL RESULTS - Net Sales Up Approximately 22% Year-over-year; Company Received and will Appeal NASDAQ Delisting Notice; Will report Second Quarter 2008 results on July 24, 2008— Salem, N.H. — July 2, 2008 — StockerYale, Inc. (NASDAQ: STKR), a leading designer and manufacturer of structured light lasers, LED |
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| June 27, 2008 |
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 27, 2008 StockerYale, Inc. (Exact Name of Registrant as Specified in its Charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 27, 2008 |
Notice of Guaranteed Delivery Exhibit 99.4 THIS IS NOT A LETTER OF ACCEPTANCE AND TRANSMITTAL NOTICE OF GUARANTEED DELIVERY for Deposit of Common Shares (together with associated rights under the shareholder rights plan) of VIRTEK VISION INTERNATIONAL INC. pursuant to the Offer to Purchase dated June 27, 2008 made by STOCKERYALE WATERLOO ACQUISITION INC. a wholly-owned subsidiary of STOCKERYALE, I |
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| June 27, 2008 |
Press Release Exhibit 99.1 STOCKERYALE, INC. COMMENCES CASH TAKEOVER BID FOR VIRTEK VISION INTERNATIONAL COMMON SHARES Virtek institutional shareholders representing 17.5% of Virtek’s outstanding shares enter into support agreements with StockerYale Salem, NH, June 27, 2008 – StockerYale, Inc. (Nasdaq: STKR) today announced the commencement of a cash takeover bid for all of the outstanding Common |
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| June 27, 2008 |
Offer to Purchase Table of Contents Exhibit 99.2 This document is important and requires your immediate attention. If you are in doubt as to how to deal with it, you should consult your investment dealer, broker, bank manager, lawyer or other professional advisor. The Offer has not been approved or disapproved by any securities regulatory authority nor has any securities regulatory authority passe |
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| June 27, 2008 |
Newspaper Advertisement Exhibit 99.6 This announcement is neither an offer to purchase nor a solicitation of an offer to sell any securities of Virtek Vision International Inc. June 27, 2008 www.stockeryale.com Notice of Offer to Purchase for Cash All of the Outstanding Common Shares of VIRTEK VISION INTERNATIONAL INC. for CDN$0.65 Per Share by STOCKERYALE WATERLOO ACQUISITION INC., a wholly-owned |
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| June 27, 2008 |
StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 Letter to Shareholders Exhibit 99.5 StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 June 27, 2008 Dear Virtek Shareholder: We are pleased to send you the accompanying offer to purchase all of the issued and outstanding Common Shares of Virtek Vision International Inc. at a price of CDN$0.65 cash per share. We believe our offer delivers significant value for Virtek’s shareholders. It |
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| June 27, 2008 |
Letter of Acceptance and Transmittal Exhibit 99.3 THE INSTRUCTIONS ACCOMPANYING THIS LETTER OF ACCEPTANCE AND TRANSMITTAL SHOULD BE READ CAREFULLY BEFORE THIS LETTER OF ACCEPTANCE AND TRANSMITTAL IS COMPLETED. THIS LETTER OF ACCEPTANCE AND TRANSMITTAL IS FOR USE IN ACCEPTING THE OFFER BY STOCKERYALE WATERLOO ACQUISITION INC. TO PURCHASE ALL OF THE OUTSTANDING COMMON SHARES (INCLUDING ASSOCIATED RI |
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| June 23, 2008 |
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 23, 2008 StockerYale, Inc. (Exact Name of Registrant as Specified in its Charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fil |
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| June 16, 2008 |
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 16, 2008 StockerYale, Inc. (Exact Name of Registrant as Specified in its Charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 16, 2008 |
Press Release Exhibit 99.1 StockerYale Announces Intention to Acquire Virtek Vision International Transaction would provide significant premium to Virtek shareholders; combined entity to create larger player in photonics industry Several of Virtek’s largest institutional shareholders express support for acquisition Salem, N.H., June 16, 2008 - StockerYale, Inc. (Nasdaq: STKR), a leading designer a |
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| June 3, 2008 |
rrd187349211385.html STOCKERYALE, INC. LIMITED POWER OF ATTORNEY This statement confirms that the undersigned has authorized and designated Mark Blodgett, Veronica Zorrilla, Heather Turner, Ann Imes, Kate MacGregor, Jessica Sommer, Karetha Dodd, Amanda Moger Rettig and Thomas B. Rosedale his attorneys-in-fact to (i) prepare, execute and file on behalf of the undersigned Form ID in order to obtain |
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| May 30, 2008 |
As filed with the Securities and Exchange Commission on May 30, 2008 As filed with the Securities and Exchange Commission on May 30, 2008 Registration No. |
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| May 30, 2008 |
As filed with the Securities and Exchange Commission on May 30, 2008 As filed with the Securities and Exchange Commission on May 30, 2008 Registration No. |
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| May 20, 2008 |
STOCKERYALE ADJOURNS SPECIAL MEETING IN LIEU OF ANNUAL MEETING OF SHAREHOLDERS UNTIL MAY 23, 2008 Press Release Exhibit 99.1 STOCKERYALE ADJOURNS SPECIAL MEETING IN LIEU OF ANNUAL MEETING OF SHAREHOLDERS UNTIL MAY 23, 2008 Salem, N.H. — May 20, 2008 — StockerYale, Inc. (NASDAQ: STKR), a leading designer and manufacturer of structured light lasers, LED modules and specialty optical fibers for industrial OEMs, medical and defense markets, today announced that it has adjourned the special meeting |
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| May 20, 2008 |
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): May 20, 2008 StockerYale, Inc. (Exact Name of Registrant as Specified in its Charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fil |
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| May 19, 2008 |
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): May 19, 2008 StockerYale, Inc. (Exact Name of Registrant as Specified in its Charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fil |
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| May 19, 2008 |
Press Release Exhibit 99.1 STOCKERYALE PROPOSES ACQUISITION OF VIRTEK VISION INTERNATIONAL Transaction valued at approximately $22 million in cash and stock; provides 48% premium to trading price on day offer made; combined entity to create a more competitive company, providing superior value to shareholders Salem, NH — May 19, 2008 — StockerYale, Inc. (NASDAQ: STKR) (the “Company”), a leading int |
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| May 16, 2008 |
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, 2008 StockerYale, Inc. (Exact Name of Registrant as Specified in its Charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fil |
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| May 15, 2008 |
[Remainder of Page Intentionally Left Blank] Amendment No. 1 to Common Stock Purchase Exhibit 10.6 As of March 31, 2008 StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 Attention: Chief Financial Officer Re: Amendment to Common Stock Purchase Warrant No. 1 (Issue Date: July 13, 2005) Ladies and Gentlemen: Reference is made to (a) that certain Common Stock Purchase Warrant No. 1 issued by StockerYale, Inc., a Massachusetts corpo |
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| May 15, 2008 |
[Remainder of Page Intentionally Left Blank] Amendment No. 1 to Common Stock Purchase Exhibit 10.3 As of March 31, 2008 StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 Attention: Chief Financial Officer Re: Amendment to Common Stock Purchase Warrant No. 2003-2 (Issue Date: February 20, 2004) Ladies and Gentlemen: Reference is made to (a) that certain Common Stock Purchase Warrant No. 2003-2 issued by StockerYale, Inc., a Massa |
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| May 15, 2008 |
Overadvance Letter Exhibit 10.1 March 31, 2008 StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 Attention: Mark W. Blodgett Re: StockerYale, Inc. Dear Mr. Blodgett: Reference is hereby made to that certain Security and Purchase Agreement (the “Security Agreement”) dated as of June 28, 2006 by and between StockerYale, Inc. (the “Company”) and Laurus Master Fund, Ltd. (“Laurus”). Capit |
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| May 15, 2008 |
[Remainder of Page Intentionally Left Blank] Amendment No. 1 to Common Stock Purchase Exhibit 10.4 As of March 31, 2008 StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 Attention: Chief Financial Officer Re: Amendment to Common Stock Purchase Warrant No. 2003-1 (Issue Date: June 10, 2004) Ladies and Gentlemen: Reference is made to (a) that certain Common Stock Purchase Warrant No. 2003-1 issued by StockerYale, Inc., a Massachus |
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| May 15, 2008 |
[Remainder of Page Intentionally Left Blank] Amendment No. 1 to Common Stock Purchase Exhibit 10.2 As of March 31, 2008 StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 Attention: Chief Financial Officer Re: Amendment to Common Stock Purchase Warrant No. 2003-1 (Issue Date: September 24, 2003) Ladies and Gentlemen: Reference is made to (a) that certain Common Stock Purchase Warrant No. 2003-1 issued by StockerYale, Inc., a Mass |
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| May 15, 2008 |
[Remainder of Page Intentionally Left Blank] Amendment No. 1 to Common Stock Purchase Exhibit 10.5 As of March 31, 2008 StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 Attention: Chief Financial Officer Re: Amendment to Common Stock Purchase Warrant No. 12082004-1 (Issue Date: December 8, 2004) Ladies and Gentlemen: Reference is made to (a) that certain Common Stock Purchase Warrant No. 12082004-1 issued by StockerYale, Inc., |
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| May 15, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2008 OR ¨ 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: 0 |
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| April 30, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A 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)) ¨ Definitive Proxy State |
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| April 24, 2008 |
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): April 24, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission F |
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| April 24, 2008 |
Press Release Exhibit 99.1 StockerYale, Inc. Announces First Quarter 2008 Financial Results Record Revenues of $8.1 Million; Photonic Products Sales Rebound to $3.1 Million SALEM, N.H, April 24, 2008 — StockerYale, Inc. (NASDAQ: STKR), a leading designer and manufacturer of structured light lasers, LED modules and specialty optical fibers for industrial OEMs, today announced its financial results |
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| April 21, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A 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 Definitive Proxy State |
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| April 11, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A 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: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State |
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| April 9, 2008 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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): April 3, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fi |
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| April 8, 2008 |
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): April 2, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Comm |
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| April 8, 2008 |
StockerYale Announces Preliminary First Quarter 2008 Financial Results Press Release Exhibit 99.1 StockerYale Announces Preliminary First Quarter 2008 Financial Results Company To Report First Quarter 2008 Results on Thursday, April 24, 2008 SALEM, N.H.—(BUSINESS WIRE)—StockerYale, Inc. (NASDAQ: STKR—News), a leading designer and manufacturer of structured light lasers, LED modules and specialty optical fibers for industrial OEMs, medical and defense markets, today a |
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| March 31, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB (Mark One) þ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2007 Or ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-27372 Stocke |
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| March 31, 2008 |
Subsidiaries Exhibit 21 Subsidiaries Name State or Jurisdiction Stocker Yale (UK) Limited England Photonic Products Limited (owned 100% by Stocker Yale (UK) Limited) England Lasiris Holdings, Inc. New Brunswick, Canada StockerYale Canada, Inc. (owned 100% by Lasiris Holdings, Inc.) Quebec, Canada StockerYale (IRL), Ltd. Cork, Ireland StockerYale Acquisition Corp. Delaware |
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| March 31, 2008 |
Amended and Restated Policy Regarding Compensation of Independent Directors Exhibit 10. |
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| March 31, 2008 |
Registration Rights Agreement Exhibit 10.79 LAURUS MASTER FUND, LTD. c/o Laurus Capital Management, LLC 335 Madison Avenue New York, New York 10017 December 28, 2007 StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 Attention: Chief Financial Officer Re: Registration Rights Agreement Amendment Gentlemen: Reference is made to the Registration Rights Agreement (“Agreement”) dated June 1 |
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| February 28, 2008 |
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 28, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commissio |
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| February 28, 2008 |
STOCKERYALE ANNOUNCES FOURTH QUARTER AND 2007 ANNUAL FINANCIAL RESULTS Press Release Exhibit 99.1 STOCKERYALE ANNOUNCES FOURTH QUARTER AND 2007 ANNUAL FINANCIAL RESULTS Salem, N.H. — February 28, 2008 — StockerYale, Inc. (NASDAQ: STKR), a leading designer and manufacturer of structured light lasers, LED modules and specialty optical fibers for industrial OEMs, medical and defense markets, today announced its financial results for the fourth quarter and year ended Dec |
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| February 14, 2008 |
OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response. |
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| February 14, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| January 11, 2008 |
Exhibit 10.1 December 18, 2007 PERSONAL AND CONFIDENTIAL Timothy P. Losik 525 South Road Rye, NH 03870 Subject: Permanent Job Offer Dear Tim: StockerYale, Inc, is pleased to offer you a full time, permanent position as Chief Operating/Financial Officer reporting to Mark Blodgett, CEO, starting as soon as possible on or after January 14, 2008. The details of this offer are the following: • Your sal |
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| January 11, 2008 |
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 7, 2008 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission |
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| January 4, 2008 |
REGISTRATION RIGHTS AGREEMENT Exhibit 10.3 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of December 28, 2007, by and between StockerYale, Inc., a Massachusetts corporation (the “Company”), and Valens U.S. SPV I, LLC, a Delaware limited liability company (the “Purchaser”). This Agreement is being entered into in connection with a Se |
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| January 4, 2008 |
AMENDED AND RESTATED SECURED TERM NOTE AMENDED AND RESTATED SECURED TERM NOTE Exhibit 10.8 AMENDED AND RESTATED SECURED TERM NOTE FOR VALUE RECEIVED, STOCKERYALE, INC., a Massachusetts corporation (the “Borrower”), hereby promises to pay to LAURUS MASTER FUND, LTD., c/o M&C Corporate Services Limited, P.O. Box 309 GT, Ugland House, South Church Street, George Town, Grand Cayman, Cayman Islands, Fax: 345-949-8080 (the “Holder”) or its r |
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| January 4, 2008 |
AMENDMENT TO SECURITIES PURCHASE AGREEMENT AMENDMENT TO SECURITIES PURCHASE AGREEMENT Exhibit 10.2 AMENDMENT TO SECURITIES PURCHASE AGREEMENT THIS AMENDMENT TO SECURITIES PURCHASE AGREEMENT (this “Amendment”) is entered into as of December 28, 2007 by and among Laurus Master Fund, Ltd. (“Laurus”), PSource Structured Debt Limited (“PSource”), as assignee of Laurus, and StockerYale, Inc., a Massachusetts corporation (the “Company”). BACKGROU |
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| January 4, 2008 |
AMENDMENT TO SECURITIES PURCHASE AGREEMENT AMENDMENT TO SECURITIES PURCHASE AGREEMENT Exhibit 10.1 AMENDMENT TO SECURITIES PURCHASE AGREEMENT THIS AMENDMENT TO SECURITIES PURCHASE AGREEMENT (this “Amendment”) is entered into as of December 28, 2007 by and among Laurus Master Fund, Ltd. (“Laurus”), Valens U.S. SPV I, LLC (“Valens”), as assignee of Laurus, and StockerYale, Inc., a Massachusetts corporation (the “Company”). BACKGROUND The Com |
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| January 4, 2008 |
AMENDED AND RESTATED SECURED TERM NOTE AMENDED AND RESTATED SECURED TERM NOTE Exhibit 10.5 AMENDED AND RESTATED SECURED TERM NOTE FOR VALUE RECEIVED, STOCKERYALE, INC., a Massachusetts corporation (the “Borrower”), hereby promises to pay to VALENS U.S. SPV I, LLC (as assignee of Laurus Master Fund, Ltd. (“Laurus”)), c/o Valens Capital Management, LLC, 335 Madison Avenue, 10th Floor, New York, New York 10017, Fax: 212-541-4434 (the “Hol |
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| January 4, 2008 |
AMENDED AND RESTATED SECURED TERM NOTE AMENDED AND RESTATED SECURED TERM NOTE Exhibit 10.7 AMENDED AND RESTATED SECURED TERM NOTE FOR VALUE RECEIVED, STOCKERYALE, INC., a Massachusetts corporation (the “Borrower”), hereby promises to pay to PSOURCE STRUCTURED DEBT LIMITED (as assignee of Laurus Master Fund, Ltd. (“Laurus”)), c/o Valens Capital Management, LLC, 335 Madison Avenue, 10th Floor, New York, New York 10017, Fax: 212-541-4434 |
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| January 4, 2008 |
REGISTRATION RIGHTS AGREEMENT Exhibit 10.4 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of December 28, 2007, by and between StockerYale, Inc., a Massachusetts corporation (the “Company”), and Psource Structured Debt Limited, a Guernsey company (the “Purchaser”). This Agreement is being entered into in connection with a Securities |
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| January 4, 2008 |
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 28, 2007 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commissio |
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| January 4, 2008 |
AMENDED AND RESTATED SECURED TERM NOTE AMENDED AND RESTATED SECURED TERM NOTE Exhibit 10.6 AMENDED AND RESTATED SECURED TERM NOTE FOR VALUE RECEIVED, STOCKERYALE, INC., a Massachusetts corporation (the “Borrower”), hereby promises to pay to LAURUS MASTER FUND, LTD., c/o M&C Corporate Services Limited, P.O. Box 309 GT, Ugland House, South Church Street, George Town, Grand Cayman, Cayman Islands, Fax: 345-949-8080 (the “Holder”) or its r |
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| December 31, 2007 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 28, 2007 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission File No.) (IR |
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| November 16, 2007 |
8-K 1 d8k.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 14, 2007 StockerYale, Inc. (Exact Name of Registrant as Specified in its Charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of in |
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| November 14, 2007 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2007 Commission file number: 000-27372 StockerYale, Inc. (Exact name of small business issuer as specified in its charter) Massachusetts 04-2114473 (State or other jurisdi |
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| November 2, 2007 |
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): October 29, 2007 StockerYale, Inc. (Exact Name of Registrant as Specified in its Charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission |
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| October 23, 2007 |
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): October 23, 2007 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission |
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| October 23, 2007 |
Press Release Exhibit 99.1 StockerYale Announces Third Quarter 2007 Financial Results Company Delivers Quarterly Revenue Increase of 75% Year-Over-Year and Positive Quarterly EBITDA SALEM, N.H, October 23, 2007 — StockerYale, Inc. (NASDAQ: STKR), a leading designer and manufacturer of structured light lasers, LED modules and specialty optical fibers for industry leading OEMs, today announced its f |
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| August 30, 2007 |
STOCKERYALE, INC. AMENDMENT NO. 1 TO AMENDED AND RESTATED BY-LAWS OF STOCKER & YALE, INC. Amendment No. 1 to Amended and Restated By-Laws of Stocker & Yale, Inc. Exhibit 3.1 STOCKERYALE, INC. AMENDMENT NO. 1 TO AMENDED AND RESTATED BY-LAWS OF STOCKER & YALE, INC. The Amended and Restated By-Laws (the “By-Laws”) of StockerYale, Inc., a Massachusetts corporation, is hereby amended as follows: 1. The first two sentences of Article V, §1 of the By-Laws are hereby amended by deleting such s |
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| August 30, 2007 |
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 28, 2007 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission |
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| August 10, 2007 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2007 Commission file number: 000-27372 StockerYale, Inc. (Exact name of small business issuer as specified in its charter) Massachusetts 04-2114473 (State or other jurisdiction |
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| August 10, 2007 |
STOCKERYALE, INC. Amendment to Policy Regarding Compensation of Independent Directors Amendment to Policy Regarding Compensation of Independent Directors Exhibit 10.11 STOCKERYALE, INC. Amendment to Policy Regarding Compensation of Independent Directors The Stocker Yale, Inc. (the “Company”) Policy Regarding Compensation of Independent Directors (the “Policy”) is hereby amended by deleting all references in the Policy to the Company’s 2004 Stock Option and Incentive Plan (the “2004 |
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| August 10, 2007 |
Registration Rights Agreement Amendment, Exhibit 10.9 LAURUS MASTER FUND, LTD. c/o Laurus Capital Management, LLC 335 Madison Avenue New York, New York 10017 July 31, 2007 StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 Attention: Chief Financial Officer Re: Registration Rights Agreement Amendment Gentlemen: Reference is made to (a) the Registration Rights Agreement (“Agreement”) da |
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| July 25, 2007 |
Press Release Exhibit 99.1 StockerYale Announces Second Quarter 2007 Financial Results Quarterly Revenues Increase 53% Year-Over-Year SALEM, N.H, July 25, 2007 — StockerYale, Inc. (NASDAQ: STKR), a leading independent provider of photonics-based products, today announced its financial results for the second quarter ended June 30, 2007. The results include Photonic Products Ltd from the Company’s a |
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| July 25, 2007 |
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): July 25, 2007 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fi |
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| July 6, 2007 |
SC 13G/A 1 stkr07062007.htm STKR 13 G AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.3)* Stockeryale, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 86126T203 (CUSIP Number) June 28, 2007 (Date of Event which Requires Filing of this Statement) Check the appropriate box to de |
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| July 6, 2007 |
8-K 1 d8k.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): June 30, 2007 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorp |
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| July 6, 2007 |
STOCKERYALE, INC. MANAGEMENT INCENTIVE PLAN MANAGEMENT INCENTIVE PLAN Exhibit 10.1 STOCKERYALE, INC. MANAGEMENT INCENTIVE PLAN 1. PURPOSE The objective of this Management Incentive Plan (the “Plan”) is to recognize and reward the achievement of financial, business and management goals that are essential to the success of StockerYale, Inc. and its subsidiaries (the “Company”). 2. PERIOD OF EFFECTIVENESS This Plan and the grants and awards he |
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| June 27, 2007 |
8-K 1 d8k.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): June 26, 2007 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorp |
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| June 22, 2007 |
Securities Purchase Agreement Exhibit 10.1 STOCKERYALE, INC. SECURITIES PURCHASE AGREEMENT June 19, 2007 TABLE OF CONTENTS Page 1. PURCHASE AND SALE OF NOTE AND CLOSING SHARES 1 1.1 Purchase of Note and Closing Shares 1 1.2 The Closing Date 2 1.3 Form of Payment 2 2. REPRESENTATIONS AND WARRANTIES OF THE COMPANY 2 2.1 Organization, Good Standing and Qualification 2 2.2 Subsidiaries 2 2.3 Capitaliz |
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| June 22, 2007 |
Note Amendment Agreement Exhibit 10.3 LAURUS MASTER FUND, LTD. c/o Laurus Capital Management, LLC 335 Madison Avenue New York, New York 10017 June 19, 2007 StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 Attention: Chief Financial Officer Re: Note Amendment Agreement Gentlemen: Reference is made to (a) the Secured Term Note (the “Note”) dated December 30, 2005 made by StockerYale, I |
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| June 22, 2007 |
Secured Term Note Exhibit 10.4 SECURED TERM NOTE FOR VALUE RECEIVED, STOCKERYALE, INC., a Massachusetts corporation (the “Borrower”), hereby promises to pay to LAURUS MASTER FUND, LTD., c/o M&C Corporate Services Limited, P.O. Box 309 GT, Ugland House, South Church Street, George Town, Grand Cayman, Cayman Islands, Fax: 345-949-8080 (the “Holder”) or its registered assigns or successors in interes |
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| June 22, 2007 |
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 19, 2007 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 22, 2007 |
Registration Rights Agreement Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of June 19, 2007, by and between StockerYale, Inc., a Massachusetts corporation (the “Company”), and Laurus Master Fund, Ltd., a Cayman Islands company (the “Purchaser”). This Agreement is being entered into in connection with a Securities Purch |
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| June 1, 2007 |
rrd142297160335.html StockerYale, Inc. LIMITED POWER OF ATTORNEY This statement confirms that the undersigned has authorized and designated Richard Lindsay and Thomas B. Rosedale his attorneys-in-fact to (i) prepare, execute and file on behalf of the undersigned Form ID in order to obtain access codes for the undersigned to permit filing on EDGAR, and (ii) prepare, execute and file on behalf of th |
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| June 1, 2007 |
rrd142296160338.html StockerYale, Inc. LIMITED POWER OF ATTORNEY This statement confirms that the undersigned has authorized and designated Richard Lindsay and Thomas B. Rosedale his attorneys-in-fact to (i) prepare, execute and file on behalf of the undersigned Form ID in order to obtain access codes for the undersigned to permit filing on EDGAR, and (ii) prepare, execute and file on behalf of th |
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| June 1, 2007 |
rrd142289160339.html StockerYale, Inc. LIMITED POWER OF ATTORNEY This statement confirms that the undersigned has authorized and designated Richard Lindsay and Thomas B. Rosedale his attorneys-in-fact to (i) prepare, execute and file on behalf of the undersigned Form ID in order to obtain access codes for the undersigned to permit filing on EDGAR, and (ii) prepare, execute and file on behalf of th |
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| June 1, 2007 |
rrd142283160323.html StockerYale, Inc. LIMITED POWER OF ATTORNEY This statement confirms that the undersigned has authorized and designated Fred Pilon, Mark Blodgett, Veronica Zorrilla, Heather Turner, Ann Imes and Thomas B. Rosedale his attorneys-in-fact to (i) prepare, execute and file on behalf of the undersigned Form ID in order to obtain access codes for the undersigned to permit filing on ED |
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| May 29, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.2)* Stockeryale, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 86126T203 (CUSIP Number) May 29, 2007 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| May 24, 2007 |
STOCKERYALE, INC. Restricted Stock Agreement Granted Under 2007 Stock Incentive Plan Form of Restricted Stock Agreement Exhibit 99.4 STOCKERYALE, INC. Restricted Stock Agreement Granted Under 2007 Stock Incentive Plan AGREEMENT made as of the day of , 20 between StockerYale, Inc., a Massachusetts corporation (the “Company”), and (the “Participant”). 1. Grant of Shares; Purchase Price. In consideration for services rendered to the Company by the Participant, the Company hereby issu |
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| May 24, 2007 |
STOCKERYALE, INC. Nonstatutory Stock Option Agreement Granted Under 2007 Stock Incentive Plan Form of Non-Statutory Stock Option Agreement Exhibit 99.2 STOCKERYALE, INC. Nonstatutory Stock Option Agreement Granted Under 2007 Stock Incentive Plan 1. Grant of Option. This agreement evidences the grant by StockerYale, Inc., a Massachusetts corporation (the “Company”), on , 200 (the “Grant Date”) to , an [employee], [consultant], [director] of the Company (the “Participant”), of an option to p |
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| May 24, 2007 |
STOCKERYALE, INC. Incentive Stock Option Agreement Granted Under 2007 Stock Incentive Plan Form of Incentive Stock Option Agreement Exhibit 99.3 STOCKERYALE, INC. Incentive Stock Option Agreement Granted Under 2007 Stock Incentive Plan 1. Grant of Option. This agreement evidences the grant by StockerYale, Inc., a Massachusetts corporation (the “Company”), on , 200 (the “Grant Date”) to , an employee of the Company (the “Participant”), of an option to purchase, in whole or in part, on th |
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| May 24, 2007 |
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, 2007 StockerYale, Inc. (Exact Name of Registrant as Specified in its Charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fil |
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| May 23, 2007 |
As filed with the Securities and Exchange Commission on May 23, 2007 As filed with the Securities and Exchange Commission on May 23, 2007 Registration No. |
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| May 16, 2007 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2007 Commission file number: 000-27372 StockerYale, Inc. (Exact name of small business issuer as specified in its charter) Massachusetts 04-2114473 (State or other jurisdictio |
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| May 16, 2007 |
(Check One): ¨ Form 10-KSB ¨ Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D x Form 10-QSB ¨ Form N-SAR ¨ Form N-CSR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 26, 2007 |
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): April 26, 2007 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Com |
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| April 26, 2007 |
Press Release Exhibit 99.1 StockerYale Announces First Quarter 2007 Financial Results Record Revenues Increase 68% Year-Over-Year, Gross Profits Increase 52% Year-Over-Year on Strong Performance across All Core Product Lines SALEM, N.H, April 26, 2007 — StockerYale, Inc. (NASDAQ: STKR), a leading independent provider of photonics-based products today announced its financial results for the first q |
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| April 20, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A 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 Definitive Proxy State |
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| April 19, 2007 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB/A (Amendment No. 1) (Mark One) þ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2006 Or ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numb |
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| April 10, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A 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: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State |
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| April 2, 2007 |
SUBSIDIARIES OF THE REGISTRANT Exhibit 21 Subsidiaries Name State or Jurisdiction Stocker Yale (UK) Limited Photonic Products Limited (owned 100% by Stocker Yale (UK) Limited) Lasiris Holdings, Inc. StockerYale Canada, Inc. (owned 100% by Lasiris Holdings, Inc.) StockerYale (IRL), Ltd. England England New Brunswick, Canada Quebec, Canada Cork, Ireland |
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| April 2, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB (Mark One) þ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2006 Or ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-27372 Stocke |
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| April 2, 2007 |
DATED January 15, 2007 STOCKERYALE, INC. INSTRUMENT CONSTITUTING US$1,021,414.62 10% FIXED RATE BOND INSTRUMENT CONSTITUTING US$1,021,414.62 10% FIXED RATE BOND Exhibit 10.76 DATED January 15, 2007 STOCKERYALE, INC. INSTRUMENT CONSTITUTING US$1,021,414.62 10% FIXED RATE BOND CONTENTS CLAUSE 1. Interpretation 1 2. Constitution of the Bonds 2 3. Redemption of Bonds 4 4. Undertaking 5 5. Certificates 5 6. The company’s powers 5 7. This instrument 5 8. Set-off 6 9. Meetings 6 10. Third party rights 6 |
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| April 2, 2007 |
INSTRUMENT CONSTITUTING US$4,750,000 10% SENIOR FIXED RATE SECURED BOND Exhibit 10. |
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| March 20, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.1)* Stockeryale, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 86126T203 (CUSIP Number) March 9, 2007 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| February 15, 2007 |
StockerYale, Inc. 5,680,311 Shares of Common Stock, $0.001 par value per share Table of Contents Filed Pursuant to Rule 424(b)(1) Registration No. 333-140291 PROSPECTUS StockerYale, Inc. 5,680,311 Shares of Common Stock, $0.001 par value per share This prospectus relates to resales from time to time of: • 4,680,311 shares of our Common Stock issued and sold by the Company to four selling stockholders; and • 1,000,000 shares of our Common Stock issuable upon the exercise of a |
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| February 15, 2007 |
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 15, 2007 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commissio |
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| February 15, 2007 |
Press Release Exhibit 99.1 STOCKERYALE ANNOUNCES FOURTH QUARTER AND 2006 FINANCIAL RESULTS Reports Record Revenue and Gross Profit and Narrower Operating Loss Recent Acquisition and Operational Improvements Expected to Contribute to Continued Revenue Growth, Improved Margins and EBITDA Positive in 2007 Salem, N.H. — February 15, 2007 — StockerYale, Inc. (Nasdaq: STKR), a leading designer and manuf |
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| February 12, 2007 |
StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 SEC COVER LETTER StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 February 12, 2007 VIA ELECTRONIC SUBMISSION Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: StockerYale, Inc. Amendment No. 1 to Registration Statement on Form S-3 Ladies and Gentlemen: Submitted herewith for filing on behalf of StockerYale, Inc. (the “Company”) is an Amendment No. 1 to R |
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| February 12, 2007 |
STOCKERYALE, INC. 32 Hampshire Road Salem, New Hampshire 03079 February 12, 2007 STOCKERYALE, INC. 32 Hampshire Road Salem, New Hampshire 03079 February 12, 2007 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attn: Donald C. Hunt Re: StockerYale, Inc. Registration Statement on Form S-3 (Registration No. 333-140291) Dear Mr. Hunt: StockerYale, Inc. (the “Company”) respectfully requests that the Securities and Exchange Commission, acting pur |
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| February 12, 2007 |
SC 13G 1 dsc13g.htm SCHEDULE 13-G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 StockerYale, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 86126 T104 (CUSIP Number) December 31, 2006 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 12, 2007 |
As filed with the U.S. Securities and Exchange Commission on February 12, 2007 Table of Contents As filed with the U.S. Securities and Exchange Commission on February 12, 2007 Registration No. 333-140291 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO . 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 04-2114473 (State or other jurisdiction |
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| February 9, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 7, 2007 |
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 1, 2007 StockerYale, Inc (Exact Name of Registrant as Specified in its Charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission |
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| February 7, 2007 |
StockerYale Appoints New Board Member Press Release Exhibit 99.1 StockerYale Appoints New Board Member Salem, NH, February 07, 2007—StockerYale, Inc. (NASDAQ: STKR), a leading independent designer and manufacturer of structured light lasers, LED modules, specialty optical fibers for industrial OEMs and other photonics-based products, today announced that Robert J. Drummond, (63), has been appointed to its board of directors. Mr. Drumm |
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| February 6, 2007 |
OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response . |
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| January 29, 2007 |
As filed with the U.S. Securities and Exchange Commission on January 29, 2007 Table of Contents As filed with the U.S. Securities and Exchange Commission on January 29, 2007 Registration No. 333- U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 04-2114473 (State or other jurisdiction of incorporation or organiz |
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| January 29, 2007 |
Securities Purchase Agreement Exhibit 10.1 SECURITIES PURCHASE AGREEMENT SECURITIES PURCHASE AGREEMENT (the “Agreement”), dated as of January 26, 2007, by and among StockerYale, Inc., a corporation organized under the laws of the Commonwealth of Massachusetts, with its principal offices at 32 Hampshire Road, Salem, New Hampshire 03079 (the “Company”), and the investors listed on the Schedule of Bu |
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| January 29, 2007 |
StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 COVER LETTER TO THE SEC StockerYale, Inc. 32 Hampshire Road Salem, New Hampshire 03079 January 29, 2007 VIA ELECTRONIC SUBMISSION Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: StockerYale, Inc. Registration Statement on Form S-3 Ladies and Gentlemen: Submitted herewith for filing on behalf of StockerYale, Inc. (the “Company”) is a Registration Statement on Form S-3 |
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| January 29, 2007 |
Registration Rights Agreement Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of January 26, 2007, by and among StockerYale, Inc., a corporation organized under the laws of the Commonwealth of Massachusetts, with its principal offices at 32 Hampshire Road, Salem, New Hampshire 03079 (the “Company”), and the undersigned buyers (each, a “Buyer”, |
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| January 29, 2007 |
STOCKERYALE, INC. WARRANT TO PURCHASE COMMON STOCK Warrant to Purchase Common Stock Exhibit 10.3 NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFE |
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| January 29, 2007 |
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, 2007 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission |
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| January 17, 2007 |
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 17, 2007 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Comission |
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| January 16, 2007 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS Exhibit 99.2 Unaudited Pro Forma Condensed Combined Financial Statements Introduction On October 31, 2006, StockerYale, Inc., (“the Company”), a leading independent provider of photonic-based products, acquired 100% of the outstanding stock of Photonic Products Ltd. (“PPL”) of the United Kingdom, a privately-held provider of laser diode m |
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| January 16, 2007 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A AMENDMENT NO. 1 TO CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2006 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incor |
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| January 16, 2007 |
Audited Financial Statements Exhibits 99.1 REGISTERED NUMBER: 3110900 (England and Wales) Financial Statement For The Year ended 31st December 2005 and The Period 1st January 2006 to 31st October 2006 for Photonic Products Limited Photonic Products Limited Contents of the Financial Statements For The Period 1st January 2006 to 31st October 2006 Page Company Information 1 Report of the Independent |
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| January 4, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Stockeryale, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 86126T203 (CUSIP Number) December 15, 2006 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedu |
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| December 28, 2006 |
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 27, 2006 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commissio |
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| December 28, 2006 |
AMENDMENT NO. 3 TO SENIOR PROMISSORY NOTE AMENDMENT NO. 3 TO SENIOR PROMISSORY NOTE Exhibit 99.1 AMENDMENT NO. 3 TO SENIOR PROMISSORY NOTE This Amendment No. 3 to Senior Promissory Note (the “Amendment”) is entered into by and between StockerYale, Inc., a Massachusetts corporation (the “Company”), and The Eureka Interactive Fund Limited (“Holder”) and is effective as of December 27, 2006. WHEREAS, on or about May 12, 2005, the parties her |
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| November 22, 2006 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 8-K 1 d8k.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 16, 2006 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of in |
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| November 13, 2006 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB QUARTERLY REPORT UNDER SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2006 Commission file number: 000-27372 StockerYale, Inc. (Name of small business issuer in its charter) Massachusetts 04-2114473 (State or other jurisdiction of incorpora |
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| November 7, 2006 |
exv24w1 EXHIBIT 24.1 SHAMROCK GP LIMITED MINUTES OF A MEETING OF THE DIRECTORS HELD ON 20 TH JANUARY 2006 AT VALLEY HOUSE, HIRZEL STREET, ST PETER PORT, GUERNSEY Present: Peter Harwood Sarita Keen (Alternate Director to Mike de Haaff)(by phone) Apologies: Alistair Bruce Appointment of Signatories if SPO GP LLC: It was reported that the purpose of the meeting was to consider and if thought fit appo |
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| November 7, 2006 |
OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response. |
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| November 6, 2006 |
CHARGE OVER SHARES Exhibit 10.7 OCTOBER 31, 2006 (1) STOCKERYALE (UK) LIMITED (2) STOCKERYALE, INC. and (3) THE EUREKA INTERACTIVE FUND LIMITED CHARGE OVER SHARES THIS DEED is made on: October 31, 2006 1. STOCKERYALE (UK) LIMITED, a company incorporated in England and Wales (company number 05965205) whose registered office is at 4th Floor, Mitre House, 177 Regent Street, London W1B 4JN (“SYUK”); 2 |
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| November 6, 2006 |
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): October 31, 2006 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission |
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| November 6, 2006 |
10% SENIOR FIXED RATE SECURED BOND Exhibit 10.6 DATED October 31, 2006 STOCKERYALE (UK) LIMITED INSTRUMENT CONSTITUTING US$4,750,000 10% SENIOR FIXED RATE SECURED BOND CONTENTS CLAUSE 1. Interpretation 1 2. Constitution of the Bonds 2 3. Redemption of Bonds 4 4. Undertaking 5 5. Certificates 5 6. Security 5 7. The company’s powers 5 8. This instrument 6 9. Set-off 6 10. Meetings 6 11. Third party |
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| November 6, 2006 |
DATED October 31, 2006 STOCKERYALE UK LIMITED INSTRUMENT CONSTITUTING US$240,000 BOND BOND AGREEMENT DAMON COOKMAN Exhibit 10.4 DATED October 31, 2006 STOCKERYALE UK LIMITED INSTRUMENT CONSTITUTING US$240,000 BOND CONTENTS CLAUSE 1. Interpretation 1 2. Constitution of the Bonds 2 3. Redemption of Bonds 3 4. Undertaking 4 5. Certificates 5 6. The company’s powers 5 7. This instrument 5 8. Set-off 6 9. Meetings 6 10. Third party rights 6 11. Governing law and jurisdiction 6 SCHEDULE |
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| November 6, 2006 |
COMMON STOCK PURCHASE WARRANT Exhibit 10.5 THIS WARRANT AND THE SHARES OF COMMON STOCK ISSUED UPON ITS EXERCISE ARE SUBJECT TO THE RESTRICTIONS ON TRANSFER SET FORTH IN SECTION 4 OF THIS WARRANT Number of Shares: 2,375,000 Date of Issuance: October 31, 2006 (subject to adjustment) StockerYale, Inc. Common Stock Purchase Warrant (Void after October 31, 2016 (the “Expiration Date”)) StockerYale, Inc |
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| November 6, 2006 |
STOCK PURCHASE AGREEMENT Exhibit 10.1 STOCK PURCHASE AGREEMENT by and among THE STOCKHOLDERS OF PHOTONIC PRODUCTS LIMITED and STOCKERYALE, INC. and STOCKERYALE (UK) LIMITED, a wholly owned subsidiary of StockerYale, Inc. October 31, 2006 STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (this “Agreement”) is dated as of October 31, 2006 by and among StockerYale, Inc. (Company Identification N |
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| November 6, 2006 |
DATED October 31, 2006 STOCKERYALE UK LIMITED INSTRUMENT CONSTITUTING us$864,000 BOND BOND AGREEMENT ANTONY BRIAN POPE Exhibit 10.3 DATED October 31, 2006 STOCKERYALE UK LIMITED INSTRUMENT CONSTITUTING us$864,000 BOND CONTENTS CLAUSE 1. Interpretation 1 2. Constitution of the Bonds 2 3. Redemption of Bonds 3 4. Undertaking 4 5. Certificates 5 6. The company’s powers 5 7. This instrument 5 8. Set-off 6 9. Meetings 6 10. Third party rights 6 11. Governing law and jurisdiction 6 SCHED |
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| November 6, 2006 |
DATED October 31, 2006 STOCKERYALE UK LIMITED INSTRUMENT CONSTITUTING US$1,296,000 BOND BOND AGREEMENT JOHANNA POPE Exhibit 10.2 DATED October 31, 2006 STOCKERYALE UK LIMITED INSTRUMENT CONSTITUTING US$1,296,000 BOND CONTENTS CLAUSE 1. Interpretation 1 2. Constitution of the Bonds 2 3. Redemption of Bonds 3 4. Undertaking 4 5. Certificates 5 6. The company’s powers 5 7. This instrument 5 8. Set-off 6 9. Meetings 6 10. Third party rights 6 11. Governing law and jurisdiction 6 SCHEDULE |
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| November 2, 2006 |
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): November 2, 2006 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission |
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| November 2, 2006 |
StockerYale Announces Third Quarter 2006 Financial Results Press Release Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Fred Pilon StockerYale, Inc. 603-893-8778 [email protected] StockerYale Announces Third Quarter 2006 Financial Results Company Reports 10% Revenue Increase, 21% Improvement in Gross Profit, 81% Improvement in EBITDA Pro forma results, including Photonic Products Ltd Acquisition, Raises Revenues to $6.9 Million with an EBITDA of $0.4 mi |
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| November 1, 2006 |
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): October 31, 2006 StockerYale, Inc. (Exact Name of Registrant as Specified in its Charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission |
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| November 1, 2006 |
Press Release Exhibit 99.1 Contact: Fred Pilon StockerYale, Inc. 603-893-8778 [email protected] StockerYale Acquires Leading U.K. Laser Diode Specialist, Photonic Products Ltd. $9.4 Million Acquisition Expected to Drive Growth and Profitability With Expanded Platform of Laser Modules/Diodes and Access to New Markets Salem, N.H., October 31, 2006 — StockerYale, Inc. (NASDAQ: STKR), a leading i |
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| November 1, 2006 |
Presentation for Investor Confrence Call Exhibit 99.2 StockerYale Acquires Photonic Products Ltd. October 31, 2006 Safe Harbor Disclaimer The statements set forth in this presentation include forward-looking statements that involve risk and uncertainties. The Company wishes to caution that a number of factors could cause actual results to differ materially from those in the forward-looking stateme |
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| October 16, 2006 |
rrd116958131508.html StockerYale, Inc. LIMITED POWER OF ATTORNEY This statement confirms that the undersigned has authorized and designated Fred Pilon, Mark Blodgett, Veronica Zorrilla, Heather Turner, Ann Imes and Thomas B. Rosedale his attorneys-in-fact to (i) prepare, execute and file on behalf of the undersigned Form ID in order to obtain access codes for the undersigned to permit filing on ED |
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| October 13, 2006 |
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): October 6, 2006 StockerYale, Inc (Exact Name of Registrant as Specified in its Charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission F |
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| October 13, 2006 |
StockerYale Appoints New Board Member Press Release Exhibit 99.1 For Immediate Release Contact: Fred Pilon StockerYale, Inc. 603-893-8778 [email protected] StockerYale Appoints New Board Member SALEM, N.H, October 10, 2006 — StockerYale, Inc., (NASDAQ: STKR), an independent provider of advanced illumination and optical products, today announced the appointment of Ben S. Levitan to its Board of Directors. Mr. Levitan is currently |
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| August 22, 2006 |
As filed with the U.S. Securities and Exchange Commission on August 22, 2006 Table of Contents As filed with the U.S. Securities and Exchange Commission on August 22, 2006 Registration No. 333-135964 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 04-2114473 (State or other jurisdiction of |
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| August 14, 2006 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB QUARTERLY REPORT UNDER SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2006 Commission file number: 000-27372 StockerYale, Inc. (Name of small business issuer in its charter) Massachusetts 04-2114473 (State or other jurisdiction of incorporation |
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| July 21, 2006 |
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): July 19, 2006 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Comm |
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| July 21, 2006 |
As filed with the U.S. Securities and Exchange Commission on July 21, 2006 Table of Contents As filed with the U.S. Securities and Exchange Commission on July 21, 2006 Registration No. 333- U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 04-2114473 (State or other jurisdiction of incorporation or organizati |
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| July 21, 2006 |
Press Release Exhibit 99.1 For Immediate Release Contact: Fred Pilon StockerYale, Inc. 603-893-8778 [email protected] StockerYale Announces Second Quarter 2006 Financial Results Company Reports 73% Fiber Revenue Increase, 25% Increase in Gross Profits and 35% Improvement in EBITDA. SALEM, N.H, July 19, 2006 — StockerYale, Inc. (NASDAQ: STKR), a leading independent provider of photonics-based |
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| July 19, 2006 |
OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response. |
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| July 19, 2006 |
exv24w1 EXHIBIT 24.1 SHAMROCK GP LIMITED MINUTES OF A MEETING OF THE DIRECTORS HELD ON 20 TH JANUARY 2006 AT VALLEY HOUSE, HIRZEL STREET, ST PETER PORT, GUERNSEY Present: Peter Harwood Sarita Keen (Alternate Director to Mike de Haaff)(by phone) Apologies: Alistair Bruce Appointment of Signatories if SPO GP LLC: for It was reported that the purpose of the meeting was to consider and thought fit app |
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| July 5, 2006 |
Security and Purchase Agreement Exhibit 10.1 SECURITY AND PURCHASE AGREEMENT LAURUS MASTER FUND, LTD. STOCKERYALE, INC. and EACH ELIGIBLE SUBSIDIARY NAMED HEREIN Dated: June 28, 2006 TABLE OF CONTENTS Page 1. General Definitions and Terms; Rules of Construction. 1 2. Loan Facility 2 3. Repayment of the Loans 3 4. Procedure for Loans 3 5. Interest and Payments. 4 6. Security Interest. 5 7. Represen |
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| July 5, 2006 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of June 28, 2006 (the “Closing Date”), by and between StockerYale, Inc., a Massachusetts corporation (the “Company”), and Laurus Master Fund, Ltd., a Cayman Islands company (the “Purchaser”). This Agreement is being entered into in connection with a Security and Purchase Agr |
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| July 5, 2006 |
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 28, 2006 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fi |
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| July 5, 2006 |
SHAMROCK GP LIMITED MINUTES OF A MEETING OF THE DIRECTORS HELD ON 20TH JANUARY 2006 AT VALLEY HOUSE, HIRZEL STREET, ST PETER PORT, GUERNSEY Present: Peter Harwood Sarita Keen (Alternate Director to Mike de Haaff)(by phone) Apologies: Alistair Bruce Appointment of Signatories if SPO GP LLC: for It was reported that the purpose of the meeting was to consider and thought fit appoint the following Personnel of Pantheon Ventures Inc as signatories for SPO GP LLC for the purpose of executing Regulatory Filing documentation. |
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| July 5, 2006 |
SECURED NON-CONVERTIBLE REVOLVING NOTE Secured Non-Convertible Revolving Note Exhibit 10.3 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS. THIS NOTE MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT AS TO THIS NOTE UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS OR AN OPINION OF COUNSEL REASONABLY SATISFA |
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| May 25, 2006 |
rrd104167117296.html StockerYale, Inc. LIMITED POWER OF ATTORNEY This statement confirms that the undersigned has authorized and designated Fred Pilon, Mark Blodgett, Veronica Zorrilla, Heather Turner, Ann Imes and Thomas B. Rosedale his attorneys-in-fact to (i) prepare, execute and file on behalf of the undersigned Form ID in order to obtain access codes for the undersigned to permit filing on ED |
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| May 25, 2006 |
rrd104163117298.html StockerYale, Inc. LIMITED POWER OF ATTORNEY This statement confirms that the undersigned has authorized and designated Fred Pilon, Mark Blodgett, Veronica Zorrilla, Heather Turner, Ann Imes and Thomas B. Rosedale his attorneys-in-fact to (i) prepare, execute and file on behalf of the undersigned Form ID in order to obtain access codes for the undersigned to permit filing on ED |
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| May 25, 2006 |
rrd104156117300.html StockerYale, Inc. LIMITED POWER OF ATTORNEY This statement confirms that the undersigned has authorized and designated Fred Pilon, Mark Blodgett, Veronica Zorrilla, Heather Turner, Ann Imes and Thomas B. Rosedale his attorneys-in-fact to (i) prepare, execute and file on behalf of the undersigned Form ID in order to obtain access codes for the undersigned to permit filing on ED |
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| May 15, 2006 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB QUARTERLY REPORT UNDER SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2006 Commission file number: 000-27372 StockerYale, Inc. (Name of small business issuer in its charter) Massachusetts 04-2114473 (State or other jurisdiction of incorporation |
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| April 17, 2006 |
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): April 17, 2006 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission F |
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| April 17, 2006 |
PRESS RELEASE Exhibit 99.1 StockerYale Announces First Quarter 2006 Financial Results Company Reports 12% Revenue Increase, 21% Increase in Gross Profits and a 69% Improvement in EBITDA Loss SALEM, N.H, April 17, 2006 — StockerYale, Inc. (NASDAQ: STKR), a leading independent provider of photonics-based products today announced its financial results for the first quarter ended March 31, 2006. All 2 |
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| April 7, 2006 |
DEF 14A 1 ddef14a.htm NOTICE AND PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A 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 permit |
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| April 5, 2006 |
STOCKERYALE TO ANNOUNCE FIRST QUARTER FINANCIAL RESULTS ON APRIL 17, 2006 PRESS RELEASE Exhibit 99.1 STOCKERYALE TO ANNOUNCE FIRST QUARTER FINANCIAL RESULTS ON APRIL 17, 2006 Company Exhibits Improved Revenues and Bookings in First Quarter 2006 Salem, NH, April 5, 2006 — StockerYale, Inc. (NASDAQ: STKR), a leading independent provider of photonics-based products today announced that it will release first quarter financial results on April 17, 2006. The Company has indic |
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| April 5, 2006 |
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): April 5, 2006 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fi |
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| March 31, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB (Mark One) þ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2005 Or ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-27372 Stocke |
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| March 31, 2006 |
FORM OF INDEMNIFICATION AGREEMENT Exhibit 10.63 INDEMNIFICATION AGREEMENT This Agreement is made as of the day of March 2006, by and between StockerYale, Inc., a Massachusetts corporation (the “Corporation), and (“Indemnitee”), a director and/or officer of the Corporation. WHEREAS, it is essential to the Corporation to retain and attract as directors and officers the most capable persons available |
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| March 31, 2006 |
SUBSIDIARIES OF THE REGISTRANT Exhibit 21 Subsidiaries Name State or Jurisdiction StockerYale Canada, Inc. Quebec, Canada StockerYale (IRL), Ltd. Cork, Ireland |
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| March 31, 2006 |
Amended and Restated Code of Business Conduct and Ethics AMENDED AND RESTATED CODE OF BUSINESS CONDUCT AND ETHICS Exhibit 14 Amended and Restated Code of Business Conduct and Ethics Introduction Purpose and Scope The Board of Directors of StockerYale, Inc. |
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| March 31, 2006 |
OFFER OF FINANCING Exhibit 10.64 March 29th, 2006. Stockeryale Canada Inc. 275 Kesmark Street Dollard Des Ormeaux (Qc) H9B 3J1 Attention: Mark W. Blodgett, Chairman & CEO Dear Sir, RE: OFFER OF FINANCING : temporary extension and tolerance period. We are pleased to present to you the terms and conditions under which National Bank of Canada (the Bank) will make the financing below available to Stoc |
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| March 21, 2006 |
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 17, 2006 StockerYale, Inc (Exact Name of Registrant as Specified in its Charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fi |
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| March 7, 2006 |
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): March 2, 2006 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commission Fi |
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| March 7, 2006 |
StockerYale Announces Sale of Two Business Units, PRESS RELEASE StockerYale Announces Sale of Two Business Units, Announces Fiber Supply Contract for Illumination Fiber Salem, NH, March 2, 2006—StockerYale, Inc. |
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| February 17, 2006 |
Company Reports 18% Revenue Increase, 89% Jump in Gross Margin and Narrower Operating Loss PRESS RELEASE Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Fred Pilon StockerYale, Inc. 603-893-8778 [email protected] STOCKERYALE ANNOUNCES FOURTH QUARTER AND 2005 FINANCIAL RESULTS Company Reports 18% Revenue Increase, 89% Jump in Gross Margin and Narrower Operating Loss Salem, NH, February 16, 2006—StockerYale, Inc. (NASDAQ: STKR), a leading independent provider of photonics-based products |
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| February 17, 2006 |
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 16, 2006 StockerYale, Inc. (Exact name of registrant as specified in its charter) Massachusetts 000-27372 04-2114473 (State or other jurisdiction of incorporation) (Commissio |
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| February 14, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 6, 2006 |
OMB APPROVAL OMB Number: 3235-0145 Expires: January 31, 2006 Estimated average burden hours per response . |
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| February 3, 2006 |
exv24 SHAMROCK GP LIMITED MINUTES OF A MEETING OF THE DIRECTORS HELD ON 20th JANUARY 2006 AT VALLEY HOUSE, HIRZEL STREET, ST PETER PORT, GUERNSEY. |
