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As filed with the Securities and Exchange Commission on April 09, 2007
Registration No. 333-
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
 
ULTRA CLEAN HOLDINGS, INC.
(Exact name of registrant as specified in its charter)
     
Delaware   61-1430858
(State or other jurisdiction
of incorporation or organization)
  (IRS Employer Identification No.)
150 INDEPENDENCE DRIVE
MENLO PARK, CA 94025

(Address of principal executive offices) (Zip Code)
 
ULTRA CLEAN HOLDINGS, INC. AMENDED AND RESTATED STOCK INCENTIVE PLAN
(Full title of the Plan)
 
INCORPORATING SERVICES, INC.
15 EAST NORTH STREET
DOVER, DE 19901
(800) 346-4646

(Name, address including zip code, and telephone number,
including area code, of agent for service)
 
Copies to:
Alan F. Denenberg, Esq.
Davis Polk & Wardwell
1600 El Camino Real
Menlo Park, California 94025
(650) 752-2000
 
CALCULATION OF REGISTRATION FEE
                                             
 
                  Proposed       Proposed            
  Title of               Maximum       Maximum            
  Securities     Amount       Offering       Aggregate       Amount of    
  to be     to be       Price       Offering       Registration    
  Registered     Registered (1)       per Share (2)       Price (2)       Fee    
 
Common Stock, $0.001 par value
    370,228 shares     $ 17.67         6,541,929       $ 201    
 
 
(1)   This Registration Statement covers shares being added to the Ultra Clean Holdings, Inc. Amended and Restated Stock Incentive Plan. This Registration Statement shall also cover any additional shares of common stock which become issuable under the Ultra Clean Holdings, Inc. Amended and Restated Stock Incentive Plan by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without Registrant’s receipt of consideration which results in an increase in the number of the outstanding shares of Registrant’s common stock.
 
(2)   Calculated under Rule 457(h) of the Securities Act of 1933, as amended (“1933 Act”), on the basis of the average of the high and low selling prices per share of the Registrant’s Common Stock on April 4, 2007 as reported by the NASDAQ Global Market.

 


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Item 3. Incorporation of Documents by Reference
Item 4. Description of Securities
Item 5. Interests of Named Experts and Counsel
Item 6. Indemnification of Directors and Officers
Item 7. Exemption from Registration Claimed
Item 8. Exhibits
Item 9. Undertakings
SIGNATURES
EXHIBIT INDEX
EXHIBIT 5.1
EXHIBIT 23.1


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PART II
Information Required in the Registration Statement
Item 3. Incorporation of Documents by Reference
     Ultra Clean Holdings, Inc. (the “Registrant”) hereby incorporates by reference into this Registration Statement the following documents previously filed with the Securities and Exchange Commission (the “SEC”):
  (a)   The Registrant’s Annual Report on Form 10-K for the fiscal year ended December 31, 2006, filed with the SEC on March 29, 2007, pursuant to Section 13 of the Securities Exchange Act of 1934, as amended (the “1934 Act”);
 
  (b)   The Registrant’s Current Report on Form 8-K filed with the SEC on February 12, 2007, pursuant to Section 13 or 15(d) of the 1934 Act; and
 
  (c)   The description of the Registrant’s common stock contained in its Registration Statement on Form 8-A, filed on March 23, 2004, pursuant to Section 12(g) of the 1934 Act, including any amendment or report filed for the purpose of updating such description.
     All reports and definitive proxy or information statements filed pursuant to Section 13(a), 13(c), 14 or 15(d) of the 1934 Act after the date of this Registration Statement and prior to the filing of a post-effective amendment which indicates that all securities offered hereby have been sold or which deregisters all securities then remaining unsold shall be deemed to be incorporated by reference into this Registration Statement and to be a part hereof from the date of filing of such documents. Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained herein or in any subsequently filed document which also is deemed to be incorporated by reference herein modifies or supersedes such statement. Any such statement so modified or superseded shall not be deemed, except as so modified or superseded, to constitute a part of this Registration Statement.
Item 4. Description of Securities
     Not Applicable.
Item 5. Interests of Named Experts and Counsel
     Not Applicable.
Item 6. Indemnification of Directors and Officers
     Delaware General Corporation Law
     Section 102(b)(7) of the Delaware General Corporation Law permits a corporation to provide in its certificate of incorporation that a director of the corporation shall not be personally liable to the corporation or its stockholders for monetary damages for breach of fiduciary duty as a director, except for liability for any breach of the director’s duty of loyalty to the corporation or its stockholders, for acts or omissions not in good faith or which involve intentional misconduct or a knowing violation of law, for unlawful payments of dividends or unlawful stock repurchases, redemptions or other distributions, or for any transaction from which the director derived an improper personal benefit.
     Section 145 of the Delaware General Corporation Law, as amended, provides that a corporation may indemnify directors and officers as well as other employees and individuals against expenses (including attorneys’ fees), judgments, fines and amounts paid in settlement actually and reasonably incurred by such person in connection with any threatened, pending or completed actions, suits or proceedings in which such person is made a party by reason of such person being or having been a director, officer, employee or agent of the corporation, subject to certain

 


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limitations. The Delaware General Corporation Law provides that Section 145 is not exclusive of other rights to which those seeking indemnification may be entitled under any bylaw, agreement, vote of stockholders or disinterested directors or otherwise.
Amended and Restated Certificate of Incorporation and Bylaws
     Article Eight of our amended and restated certificate of incorporation provides for indemnification by us of our directors, officers and employees to the fullest extent permitted by Delaware law. Article Eight also provides that we may maintain insurance on behalf of our directors, officers and employees.
Indemnification Agreements and Directors’ and Officers’ Liability Insurance
     The Registrant expects to maintain standard policies of insurance that provide coverage (1) to our directors and officers against loss rising from claims made by reason of breach of duty or other wrongful act, and (2) to us with respect to indemnification payments that we may make to such directors and officers.
     We have also entered into separate indemnification agreements with our directors and officers which may be broader than the indemnification provisions contained in Delaware law.
Item 7. Exemption from Registration Claimed
     Not Applicable.
Item 8. Exhibits
     
Exhibit Number   Exhibit
 
   
5.1
  Opinion of Davis Polk & Wardwell
 
   
23.1
  Consent of Independent Registered Public Accounting Firm
 
   
23.2
  Consent of Davis Polk & Wardwell (included in Exhibit 5.1)
 
   
24
  Power of Attorney (included on signature page)
 
   
99.1(1)
  Ultra Clean Holdings, Inc. Amended and Restated Stock Incentive Plan
 
(1)   Incorporated by reference to Exhibit 99.1 of the Registrant’s Form S-8 filed on March 30, 2004.
Item 9. Undertakings
     a.     The undersigned Registrant hereby undertakes:
        (1)     to file, during any period in which offers or sales are being made, a post-effective amendment to this Registration Statement to include any material information with respect to the plan of distribution not previously disclosed in this Registration Statement or any material change to such information in this Registration Statement;
        (2)     that for the purpose of determining any liability under the 1933 Act each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof; and
        (3)     to remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering.

 


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     b.     The undersigned Registrant hereby undertakes that, for purposes of determining any liability under the 1933 Act, each filing of the Registrant’s annual report pursuant to Section 13(a) or Section 15(d) of the 1934 Act that is incorporated by reference into this Registration Statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
     c.     Insofar as indemnification for liabilities arising under the 1933 Act may be permitted to directors, officers, or controlling persons of the Registrant pursuant to the indemnification foregoing provisions summarized in Item 6 or otherwise, the Registrant has been advised that, in the opinion of the SEC, such indemnification is against public policy as expressed in the 1933 Act, and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer, or controlling person of the Registrant in the successful defense of any action, suit, or proceeding) is asserted by such director, officer, or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the 1933 Act and will be governed by the final adjudication of such issue.

 


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SIGNATURES
     Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Menlo Park, State of California, on the 9th day of April, 2007.
         
  Ultra Clean Holdings, Inc.
 
 
  By:   /s/ Clarence L. Granger    
    Clarence L. Granger   
    Chief Executive Officer   
 
Date: April 09, 2007
     KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Clarence L. Granger and Jack Sexton, and each of them, as his/her true and lawful attorneys-in-fact and agents, with full power of substitution and re-substitution, for him/her in any and all capacities, to sign any and all amendments to this Registration Statement and to file the same, with all exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, hereby ratifying and confirming that each of said attorneys-in-fact and agents, or his substitute or substitutes, may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, as amended, this Report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.
         
Name   Title   Date
 
       
 
  Chief Executive Officer (Principal   April 09, 2007
/s/ Clarence L. Granger
  Executive Officer) and Director    
Clarence L. Granger
       
 
       
/s/ Leonid Mezhvinsky
  President and Director   April 09, 2007
Leonid Mezhvinsky
       
 
       
 
  Vice President and Chief Financial Officer   April 09, 2007
 
  (Principal Financial Officer and    
/s/ Jack Sexton
  Principal Accounting Officer)    
Jack Sexton
       
 
       
/s/ Brian R. Bachman
  Director   April 09, 2007
Brian R. Bachman
       
 
       
/s/ Susan H. Billat
  Director   April 09, 2007
Susan H. Billat
       
 
       
/s/ Kevin C. Eichler
  Director   April 09, 2007
Kevin C. Eichler
       
 
       
/s/ David ibnAle
  Director   April 09, 2007
David ibnAle
       
 
       
/s/ Thomas M. Rohrs
  Director   April 09, 2007
Thomas M. Rohrs
       

 


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EXHIBIT INDEX
     
Exhibit Number   Exhibit
5.1
  Opinion of Davis Polk & Wardwell
 
   
23.1
  Consent of Independent Registered Public Accounting Firm
 
   
23.2
  Consent of Davis Polk & Wardwell (included in Exhibit 5.1)
 
   
24
  Power of Attorney (included on signature page)
 
   
99.1(1)
  Ultra Clean Holdings, Inc. Amended and Restated Stock Incentive Plan
 
(1)   Incorporated by reference to Exhibit 99.1 of the Registrant’s Form S-8 filed on March 30, 2004.