Unassociated Document
 
As filed with the Securities and Exchange Commission on September 26, 2014
  
Registration No. 333  -   
 
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
                                                                                     
 
FORM F-6
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933 FOR AMERICAN DEPOSITARY SHARES EVIDENCED BY
AMERICAN DEPOSITARY RECEIPTS
                          
 
SONY KABUSHIKI KAISHA
(Exact name of issuer of deposited securities as specified in its charter)
                          
 
SONY CORPORATION
(Translation of issuer’s name into English)
                          
 
Japan
(Jurisdiction of incorporation or organization of issuer)
                                                                                     

CITIBANK, N.A.
(Exact name of depositary as specified in its charter)
                          

399 Park Avenue
New York, New York  10043
(877) 248-4237
(Address, including zip code, and telephone number, including area code, of depositary’s principal executive offices)
                          

J. Justin Hill, Senior Vice President, Global Investor Relations Office
SONY CORPORATION OF AMERICA
550 Madison Avenue
New York, New York  10022
Telephone: (212) 833-6722, Facsimile:  (212) 833-6849
(Address, including zip code, and telephone number, including area code, of agent for service)
                                                                                     
 
Copies to:
 
Alan L. Beller, Esq.
Adam E. Fleisher, Esq.
Cleary Gottlieb Steen & Hamilton LLP
One Liberty Plaza
New York, NY  10006
Telephone:  (212) 225-2000
Facsimile:  (212) 225-3999
  
Herman H. Raspé, Esq.
Patterson Belknap Webb & Tyler LLP
1133 Avenue of the Americas
New York, New York  10036
                                                                                     
 
It is proposed that this filing become effective under Rule 466:
 
 o   immediately upon filing.
   
 o   on (Date) at (Time).
 
If a separate registration statement has been filed to register the deposited shares, check the following box :  o
 
CALCULATION OF REGISTRATION FEE
Title of Each Class of
Securities to be Registered***
Amount to be
Registered
Proposed Maximum
Offering Price Per Unit*
Proposed Maximum
Aggregate Offering Price**
Amount of
Registration Fee
American Depositary Shares (ADS(s)), each ADS representing the right to receive one (1) share of common stock of Sony Corporation
500,000,000
ADSs
$5.00
$25,000,000
$3,220.00
 
*
Each unit represents 100 ADSs.
 
**
Estimated solely for the purpose of calculating the registration fee.  Pursuant to Rule 457(k), such estimate is computed on the basis of the maximum aggregate fees or charges to be imposed in connection with the issuance of ADSs.
 
*** 
ADSs include European depositary shares issued by the predecessor depositary.
The Registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the Registrant shall file a further amendment which specifically states that this Registration Statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933, or until this Registration Statement shall become effective on such date as the Commission, acting pursuant to said Section 8(a), may determine.
 
 
 
 
 
This Registration Statement may be executed in any number of counterparts, each of which shall be deemed an original, and all of such counterparts together shall constitute one and the same instrument.
 
 
ii
 
 
PART I
 
INFORMATION REQUIRED IN PROSPECTUS
 
Cross Reference Sheet
 
Item 1.  DESCRIPTION OF SECURITIES TO BE REGISTERED
 
Item Number and Caption  
Location in Form of American
Depositary Receipt (“Receipt”)
Filed Herewith as Prospectus
       
1.   
Name of Depositary and address of its principal executive office
  
Face of Receipt -  Introductory Article.
         
2.
Title of Receipts and identity of deposited securities
  
Face of Receipt  - Top Center.
     
Terms of Deposit:
    
         
  (i)      
The amount of deposited securities represented by one American Depositary Share ("ADSs")
  
Face of Receipt - Upper right corner.
         
  (ii)
The procedure for voting, the deposited securities
  
Reverse of Receipt  - Paragraphs (17)
and (18).
         
  (iii)
The collection and distribution of dividends
  
Reverse of Receipt – Paragraph (15).
         
  (iv)
The transmission of notices, reports and proxy soliciting material
  
Face of Receipt  - Paragraph (14);
Reverse of Receipt – Paragraph (18).
         
  (v)
The sale or exercise of rights
  
Reverse of Receipt – Paragraphs (15)
and (17).
         
  (vi)
The deposit or sale of securities resulting from dividends, splits or plans of reorganization
  
Face of Receipt – Paragraphs (3) and (6);
Reverse of Receipt – Paragraphs (15) and (17) and (19).
         
  (vii)
Amendment, extension or termination of the deposit agreement
  
Reverse of Receipt – Paragraphs (23) and (24) (no provision for extensions).
         
  (viii)
Rights of holders of Receipts to inspect the transfer books of the Depositary and the list of holders of ADSs
  
Face of Receipt – Paragraph (14).
 
 
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Item Number and Caption  
Location in Form of American
Depositary Receipt (“Receipt”)
Filed Herewith as Prospectus
         
  (ix)
Restrictions upon the right to deposit or withdraw the underlying securities
  
Face of Receipt – Paragraphs (2), (3), (4), (6), (7), (9) and (10).
         
  (x)
Limitation upon the liability of the Depositary
  
Face of Receipt – Paragraph (8);
Reverse of Receipt – Paragraphs (20) and (21).
         
3.
Fees and charges which may be imposed directly or indirectly on holders of ADSs
  
Face of Receipt – Paragraph (11).
       
4.
Terms of European depositary shares
  
Reverse of Receipt – Paragraph (28)
       
Item 2. AVAILABLE INFORMATION
  
Face of Receipt - Paragraph (14).
 
The Company is subject to the periodic reporting requirements of the United States Securities Exchange Act of 1934, as amended, and, accordingly, files certain reports with, and submits certain reports to, the United States Securities and Exchange Commission (the “Commission”).  These reports can be retrieved from the Commission’s internet website (www.sec.gov), and can be inspected and copied at the public reference facilities maintained by the Commission at 100 F Street, N.E., Washington D.C. 20549.
 
 
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PROSPECTUS
 
The Prospectus consists of the proposed form of American Depositary Receipt included as Exhibit A to the Form of Amended and Restated Deposit Agreement filed as Exhibit (a) to this Registration Statement on Form F-6 and is incorporated herein by reference.
 
 
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PART II
 
INFORMATION NOT REQUIRED IN PROSPECTUS
 
Item 3. EXHIBITS
 
(a)  
Form of Amended and Restated Deposit Agreement, by and among Sony Corporation (the “Company”), Citibank, N.A., as depositary (the “Depositary”), and all Holders and Beneficial Owners of American Depositary Shares issued thereunder (“Deposit Agreement”).  ___ Filed herewith as Exhibit (a).
 
(b)  
Any other agreement to which the Depositary is a party relating to the issuance of the American Depositary Shares registered hereunder or the custody of the deposited securities represented thereby.  ___ None.
 
(c)  
Every material contract relating to the deposited securities between the Depositary and the issuer of the deposited securities in effect at any time within the last three years.  ___ None.
 
(d)  
Opinion of counsel for the Depositary as to the legality of the securities to be registered.  ___ Filed herewith as Exhibit (d).
 
(e)  
Certificate under Rule 466.  ___ None.
 
(f)  
Powers of Attorney for certain officers and directors and the authorized representative of the Company.  ___ Set forth on the signature pages hereto.
 
 
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Item 4. UNDERTAKINGS
 
(a)  
The Depositary undertakes to make available at the principal office of the Depositary in the United States, for inspection by holders of ADSs, any reports and communications received from the issuer of the deposited securities which are both (1) received by the Depositary as the holder of the deposited securities, and (2) made generally available to the holders of the underlying securities by the issuer.
 
(b)  
If the amount of fees charged is not disclosed in the prospectus, the Depositary undertakes to prepare a separate document stating the amount of any fee charged and describing the service for which it is charged and to deliver promptly a copy of such fee schedule without charge to anyone upon request.  The Depositary undertakes to notify each registered holder of an ADS thirty (30) days before any change in the fee schedule.
 
 
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SIGNATURES
 
Pursuant to the requirements of the Securities Act of 1933, as amended, Citibank, N.A., acting solely on behalf of the legal entity created by the Amended and Restated Deposit Agreement, by and among Sony Corporation, Citibank, N.A., as depositary, and all Holders and Beneficial Owners from time to time of American Depositary Shares to be issued thereunder, certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on the 26th day of September 2014.
 
 
Legal entity created by the Amended and Restated Deposit Agreement under which the American Depositary Shares registered hereunder are to be issued, each American Depositary Share representing the right to receive one (1) Common Share of Sony Corporation.
 
CITIBANK, N.A., solely in its capacity as Depositary
  
       
 
By:
/s/ Keith Galfo  
   
Name:  Keith Galfo
  
   
Title:    Vice President
  
       
 
 
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SIGNATURES
 
Pursuant to the requirements of the Securities Act of 1933, as amended, Sony Corporation certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned thereunto duly authorized, in Tokyo, Japan, on September 26, 2014.
 
 
 
SONY CORPORATION
  
       
 
By:
/s/ Kenichiro Yoshida  
  Name:  Kenichiro Yoshida  
  Title: Executive Vice President and
Chief Financial Officer
  
       
 
 
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POWERS OF ATTORNEY
 
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Kenichiro Yoshida to act as his or her true and lawful attorney-in-fact and agent, with full power of substitution, for him or her and in his or her name, place and stead, in any and all such capacities, to sign any and all amendments, including post-effective amendments, and supplements to this Registration Statement, and to file the same, with all exhibits thereto and other documents in connection therewith, with the United States Securities and Exchange Commission, granting unto said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as she or he might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agent, or his or her 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 Registration Statement on Form F-6 has been signed by the following persons in the following capacities on September 26, 2014.
 

Signature
   Title
 
/s/ Kazuo Hirai
  
 
President, Chief Executive Officer and Director
Kazuo Hirai
    
     
     
/s/ Kenichiro Yoshida
  
Executive Vice President, Chief Financial Officer and
Kenichiro Yoshida
   Director
     
     
/s/ Osamu Nagayama
  
Chairman of the Board
Osamu Nagayama
    
     
     
/s/ Kanemitsu Anraku
  
Director
Kanemitsu Anraku
    
     
     
/s/ Takaaki Nimura
  
Director
Takaaki Nimura
    
     
     
/s/ Eikoh Harada
  
Director
Eikoh Harada
    
     
 
 
II-5
 
 
Signature  
Title
     
 
  
Director
Joichi Ito
    
     
 
  
Director
Tim Schaaff
    
     
     
/s/ Kazuo Matsunaga
  
Director
Kazuo Matsunaga
    
     
     
/s/ Koichi Miyata
  
Director
Koichi Miyata
    
     
 
  
Director
John V. Roos
    
     
     
/s/ Eriko Sakurai
  
Director
Eriko Sakurai
    
 
 
II-6
 
 
SIGNATURE OF AUTHORIZED REPRESENTATIVE OF THE REGISTRANT

Under the Securities Act of 1933, as amended, the undersigned, the duly authorized representative in the United States of America, has signed this Registration Statement on Form F-6 in New York on September 26, 2014.
 
 
Authorized Representative in the United States
  
       
 
By:
/s/ J. Justin Hill  
  Name:  J. Justin Hill  
  Title:  Senior Vice President, Global Investor Relations Office, Sony Corporation of America  
       
 
 
II-7
 
 
Index to Exhibits

Exhibit
Document
Sequentially
Numbered Page
     
(a)
Form of Amended and Restated Deposit Agreement
  
     
(d)
Opinion of counsel to the Depositary