10-K/A 1 d10ka.htm AMENDMENT NO. 2 TO FORM 10-K Amendment No. 2 to Form 10-K

 

U.S. SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

Form 10-K/A

 

Amendment No. 2

 

x   ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the fiscal year ended: March 31, 2002

 

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: 0-15449

 

CALIFORNIA MICRO DEVICES CORPORATION

(Exact name of registrant as specified in its charter)

 

California

 

94-2672609

(State or other jurisdiction

of incorporation)

 

(IRS Employer

Identification No.)

 

430 N. McCarthy Blvd, Milpitas, CA

 

95035-5112

(Address of principal executive offices)

 

(Zip code)

 

Registrant’s telephone number, including area code: (408) 263-3214

 

Securities registered pursuant to Section 12(b) of the Act: None

 

Securities registered pursuant to Section 12(g) of the Act: Common Stock

 

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.  Yes  x    No  ¨

 

Indicate by check mark if disclosure of delinquent files pursuant to Item 405 of Regulation S-K (Section 209.405 of this chapter) is not contained herein, and will not be contained to the best of registrant’s knowledge, in any definitive proxy or information statement incorporated by reference in Part II of this Form 10-K or any amendment to this Form 10-K.  Yes  x    No  ¨

 

The aggregate market value of the voting stock held by non-affiliates of the Registrant as of May 31, 2002, was approximately $50.4 million based upon the last sale price of the common stock reported for such date on the Nasdaq National Market System. For purposes of this disclosure, common stock held by persons who hold more than 5% of the outstanding voting shares and common stock held by executive officers and directors of the Registrant have been excluded in that such persons may be deemed to be “affiliates” as that term is defined under the rules and regulations promulgated under the Securities Act of 1933. This determination of affiliate status is not necessarily a conclusive determination for other purposes.

 

As of May 31, 2002, the number of shares of the Registrant’s common stock outstanding were 13,905,590.

 

DOCUMENTS INCORPORATED BY REFERENCE

 

The Proxy Statement for the Registrant’s Annual Meeting of Shareholders to be held August 7, 2002.


EXPLANATORY NOTE

 

Registrant hereby amends Item 14 of Part IV to include Exhibit 4.8 which was used for certain management level employees who elected to participate in the Registrant’s deferred compensation plan during the period from April, 1997 through December 31, 2002, at which time such plan and all such agreements were terminated. Registrant also hereby amends Item 14 of Part IV to replace Exhibit Number 10.12 with the attached Exhibit Number 10.12 to reflect changes in those portions of such exhibit which have been redacted in connection with the Registrant’s request for confidential treatment. These changes in the redactions were made in response to comments that the Registrant received from the SEC regarding its confidential treatment request. A complete copy of Exhibit 4.8 and a revised copy of Exhibit 10.12 are attached hereto.

 

ITEM 14.    Exhibits, Financial Statement Schedules and Reports on Form 8-K.

 

The following documents are filed as a part of this Report:

 

(a)

  

1.

  

See Item 8 for a list of financial statements filed herein.

    

2.

  

See Item 8 for a list of financial statement schedules filed. All other schedules have been omitted because they are not applicable or the required information is shown in the Financial Statements or the notes thereto.

    

3.

  

Exhibit Index:

 

The exhibits listed below are filed herewith or incorporated by reference as indicated pursuant to Regulation S-K. The exhibit number refers to number indicated pursuant to the Instructions to the Exhibit Table for Regulation S-K.

 

Exhibit Number


  

Description


  

Document if Incorporated by Reference


3(i)a

  

Articles of Incorporation, as amended.

  

Exhibit 3(i) to the Company’s Annual Report on Form 10K for the fiscal year ended

March 31, 1995.

3(i)b

  

Certificate of Correction of Certificate of Certificate of Amendment of Articles of Incorporation

    

3(i)c

  

Certificate of Determination of Series A Participating Preferred Stock

  

Registration Statement on Form 8-A filed on September 21, 2001.

3(ii)

  

By-laws, as amended.

  

Exhibit 3(ii) to the Company’s Annual Report on Form 10K for the fiscal year ended March 31, 1995 and filed herewith.

4.1

  

1995 Employee Stock Option, Amended as of July 26, 1996, July 18, 1997, August 7, 1998, August 1, 2000, and August 7, 2001

  

Registration Statement on Form S-8 filed on May 15, 2002.

4.2

  

1995 Non-Employee Directors’ Stock Option Plan, Amended as of July 26, 1006, July 18, 1997, August 7, 1998, August 1, 2000, and August 7, 2001.

  

Registration Statement on Form S-8 filed on May 15, 2002.

4.3

  

Stock Purchase Agreement dated November 21, 2001 between the Company and Investors.

  

Exhibit 4.3 to the Company’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2001 filed on February 14, 2002.

4.4

  

Non-Qualified Stock Option Agreement by and between the Company and David E. Witkowski dated September 7, 2001.

  

Registration Statement on Form S-8 filed on May 15, 2002.

4.5

  

Non-Qualified Stock Option Agreement by and between the Company and Kenneth E. Thornbrugh dated as of January 24, 2002.

  

Registration Statement on Form S-8 filed on May 15, 2002.

 

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4.6

 

  

Offer letter dated March 29, 2001 between the Company and Robert. V. Dickinson, President and CEO of the Company.

  

Exhibit 1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2001 filed on August 14, 2001.

4.7

 

  

Stock Option Agreement dated April 16, 2001, between the Company and Robert V. Dickinson, President and CEO of the Company.

  

Exhibit 2 to the Company’s Quarterly Report

on Form 10-Q for the quarter ended June 30, 2001 filed on August 14, 2001.

4.8

 

  

Form of Executive Deferred Compensation Agreement and 2002 Amendment to Executive Deferred Compensation Agreement.

    

10.11

 

  

Commitment letter from Comerica Bank.

  

Exhibit 10.11 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2001 filed on November 14, 2001.

10.12

**

  

Wafer Manufacturing Agreement between the Company and Advanced Semiconductor Manufacturing Corporation, dated February 20, 2002. (Confidential treatment has been requested with respect certain portions of this agreement.)

    

10.13

*

  

Loan and Security Agreement by and between Silicon Valley Bank and the Company, dated June 17, 2002.

    

23.1

*

  

Consent of Ernst & Young, LLP, Independent Auditors

    

 

*   Previously filed with the Form 10-K for the fiscal year ended March 31, 2002.
**   Confidential treatment has been requested with respect to certain portions of this exhibit.

 

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SIGNATURES

 

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this Amendment No. 2 to Report on Form 10-K to be signed on its behalf by the undersigned, thereunto duly authorized on the 24th day of February, 2003.

 

CALIFORNIA MICRO DEVICES CORPORATION

(Registrant)

       

By:

 

/s/    Robert V. Dickinson        


           
   

ROBERT V. DICKINSON

President and Chief Executive Officer

           

By:

 

/s/    Kenneth E. Thornbrugh         


           
   

KENNETH E. THORNBRUGH

Vice President Finance & Administration

(Principal Financial Officer)

           

 

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CERTIFICATIONS

 

I, Robert V. Dickinson, certify that:

 

1.    I have reviewed this Amendment No. 2 on Form 10-K/A (the “Amendment”) to Annual Report on Form 10-K for the fiscal year ended March 31, 2002, of California Micro Devices Corporation, a California corporation; and

 

2.    Based on my knowledge, this Amendment does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this Amendment.

 

Date:    February 24, 2003

 

By:

 

/s/    ROBERT V. DICKINSON            


   

Robert V. Dickinson

President and CEO

(Principal Executive Officer)

 

 

 

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CERTIFICATIONS

 

I, Kenneth E. Thornbrugh, certify that:

 

1.    I have reviewed this Amendment No. 2 on Form 10-K/A (the “Amendment”) to Annual Report on Form 10-K for the fiscal year ended March 31, 2002, of California Micro Devices Corporation, a California corporation; and

 

2.    Based on my knowledge, this Amendment does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this Amendment.

 

Date:    February 24, 2003

 

By:

 

/s/    KENNETH E. THORNBRUGH            


   

Kenneth E. Thornbrugh

Vice President Finance & Administration

(Principal Financial Officer)

 

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