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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
(Mark One) | |
ý | FOR ANNUAL AND TRANSITIONAL REPORTS PURSUANT TO SECTIONS 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
FOR THE FISCAL YEAR ENDED DECEMBER 31, 2002 |
or |
o | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
FOR THE TRANSITION PERIOD FROM TO |
Commission File Number 333-57201
Advanstar Communications Inc.
(Exact name of registrant as specified in its charter)
New York | | 59-2757389 |
(State or other jurisdiction of incorporation or organization) | | (I.R.S. Employer Identification No.) |
545 Boylston Street, Boston, Massachusetts | | 02116 |
(Address of principal executive offices) | | (Zip Code) |
Registrant's telephone number, including area code:(617) 267-6500
Securities registered pursuant to Section 12(b) of the Act:None
Securities registered pursuant to Section 12(g) of the Act:None
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. Yesý Noo.
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K.ý
Indicate by check mark whether the registrant is an accelerated filer (as defined in Exchange Act Rule 12b-2). Yes o Noý.
As of June 30, 2002, none of the registrant's common stock was held by non-affiliates of the registrant.
As of March 31, 2003, the registrant had 1,000,000 shares of common stock issued and outstanding.
DOCUMENTS INCORPORATED BY REFERENCE
None.
Explanatory Note
Advanstar Communications Inc. is filing this amendment No. 1 to its annual report on Form 10-K/A solely to replace Exhibit 12.1, and to add Exhibits 10.12 and 10.13, to our annual report on Form 10-K filed with the Securities and Exchange commission on Monday, March 31, 2003 (the "Original Form 10-K"). Exhibit 12.1 was erroneously filed, and Exhibits 10.12 and 10.13 were erroneously omitted, from our Original Form 10-K by our filing agent during the edgarization process.
Item 15. —EXHIBITS, FINANCIAL STATEMENT SCHEDULES, AND REPORTS ON FORM 8-K
A. Documents Filed as Part of this Report:
1. Financial Statements: Previous filed with the Original Form 10-K.
B. Reports on Form 8-K
There were no Current Reports on Form 8-K filed during the fourth quarter of the year ended December 31, 2001.
C. Exhibits
Exhibit No.
| | Document
|
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3.1 | | Certificate of Incorporation of Advanstar Communications Inc. (Previously filed as an exhibit to the Company's Registration Statement on Form S-4 (File No. 333-57201) and incorporated by reference herein) |
3.1.1 | | Certificate of Amendment of the Certificates of Incorporation of Advanstar Communications Inc. (Previously filed as an exhibit to the Company's Annual Report on Form 10-K for 2000 and incorporated by reference herein) |
3.2 | | By-Laws of Advanstar Communications Inc. (Previously filed as an exhibit to the Company's Registration Statement on Form S-4 (File No. 333-57201) and incorporated by reference herein) |
4.1 | | Indenture, dated as of February 21, 2001 among Advanstar Communications Inc., the Guarantors party thereto and the Trustee. (Previously filed as an exhibit to the Company's Annual Report on Form 10-K for 2000 and incorporated by reference herein) |
10.1 | | Advanstar Holdings Corp. 2000 Management Plan Incentive dated as of October 11, 2000. (As amended September 17, 2002 and December 10, 2002) (Previously filed) |
10.2 | | Advanstar Holdings Corp. Shareholders Agreement dated as of October 11, 2000. (Previously filed as an exhibit to the Company's Annual Report on Form 10-K for 2000 and incorporated by reference herein) |
10.2.1 | | First Amendment and Waiver to Shareholders' Agreement dated as of February 21, 2001.(Previously filed as an Exhibit to Advanstar Communications' Registration Statement on Form S-1 (333-59284) and incorporated by reference herein) |
10.2.2 | | Second Amendment and Waiver to Stockholders' Agreement dated as of April 4, 2001. (Previously filed as an Exhibit to Advanstar Communications' Registration Statement on Form S-1 (333-59284) and incorporated by reference herein) |
10.3 | | Credit Agreement, dated as of October 11, 2000, as amended and restated November 7, 2000, among, Advanstar Communications Inc., the guarantors party thereto and the lenders party thereto. (Previously filed as an exhibit to the Company's Annual Report on Form 10-K for 2000 and incorporated by reference herein) |
10.3.1 | | First amendment to Credit Agreement, dated as of March 22, 2002. (Previously filed as an exhibit to the Company's Annual Report on Form 10-K for 2001 and incorporated by reference herein) |
10.4 | | Employment Agreement, dated August 14, 2000, between Advanstar, Inc. and Robert Krakoff. (Previously filed as Exhibit 10.1 to Form 10-Q of Advanstar, Inc. filed with the Securities and Exchange Commission on November 14, 2000, and incorporated by reference herein) |
10.5 | | Employment Agreement, dated August 14, 2000, between Advanstar, Inc. and James M. Alic. (Previously filed as Exhibit 10.2 to Form 10-Q of Advanstar, Inc. filed with the Securities and Exchange Commission on November 14, 2000, and incorporated by reference herein) |
10.5.1 | | Amendment to Employment Agreement, effective March 1, 2002, between Advanstar, Inc. and James M. Alic. (Previously filed as an exhibit to the Company's Annual Report on Form 10-K for 2001 and incorporated by reference herein) |
10.6 | | Employees' 401(k) Plan and Trust, as amended. (Previously filed as an exhibit to the Company's Registration Statement on Form S-4 (File No. 333-57201) and incorporated by reference herein) |
10.7 | | Agreement, dated July 31, 1997, between Advanstar Communications Inc. and Banta Publications. (Previously filed as an exhibit to the Company's Registration Statement on Form S-4 (File No. 333-57201) and incorporated by reference herein) |
10.8 | | Employment Agreement dated June 20, 2001 between Advanstar, Inc. and Joseph Loggia. (Previously filed as an exhibit to Advanstar Communications' Quarterly Report on Form 10-Q for the second quarter of 2001 and incorporated by reference herein) |
10.9 | | Direct Investment Plan dated as of October 11, 2000. (Previously filed as an exhibit to the Company's Annual Report on Form 10-K for 2001 and incorporated by reference herein) |
10.10 | | Registration Rights Agreement dated as of February 21, 2001 between Advanstar Communications Inc. and Credit Suisse First Boston Corporation, Fleet Securities, Inc., Barclays Capital Inc., BMO Nesbitt Burns Inc. and Dresdner Kleinwort Benson North America LLC, as Initial Purchasers. (Previously filed as an exhibit to the Company's Registration Statement on Form S-4 (File No. 333-57201) and incorporated by reference herein) |
10.11 | | Advisory Agreement, effective December 10, 2002, between Advanstar, Inc. and Douglas B. Fox. (Previously filed) |
10.12 | | Letter, dated February 7, 1994, between Advanstar Communications Inc. and David W. Montgomery* |
10.13 | | Agreement, dated February 19, 1999, by and among Advanstar, Inc., Advanstar Communications Inc. and Eric I. Lisman* |
12.1 | | Computation of Ratio of Earnings to Fixed Charges.* |
21.1 | | Subsidiaries of Advanstar Communications, Inc. (Previously filed as an exhibit to the Company's Annual Report on Form 10-K for 2000 and incorporated by reference herein) |
99.1 | | CEO's Certification pursuant to §906 of the Sarbanes-Oxley Act of 2002.* |
99.2 | | CFO's Certification pursuant to §906 of the Sarbanes-Oxley Act of 2002.* |
* Filed herewith
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized.
| | ADVANSTAR COMMUNICATIONS INC. |
| | By: | /s/ DAVID W. MONTGOMERY |
| | | Name: David W. Montgomery Title: Vice President—Finance, Chief Financial Officer |
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Registrant, in the capacities indicated, on the dates indicated below.
Signature
| | Title
| | Date
|
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| | | | |
/s/ ROBERT L. KRAKOFF Robert L. Krakoff | | Chairman of the Board and Chief Executive Officer | | March 31, 2003 |
/s/ DAVID W. MONTGOMERY David W. Montgomery | | Vice President—Finance, Chief Financial Officer Secretary and Principal Accounting Officer | | March 31, 2003 |
/s/ JAMES M. ALIC James M. Alic | | Director | | March 31, 2003 |
/s/ JOSEPH LOGGIA Joseph Loggia | | Director | | March 31, 2003 |
OhSang Kwon | | Director | | |
/s/ JAMES A. QUELLA James A. Quella | | Director | | March 31, 2003 |
David M. Wittels | | Director | | |
/s/ DOUGLAS B. FOX Douglas B. Fox | | Director | | March 31, 2003 |
CERTIFICATION
I, Robert L. Krakoff, certify that:
- (1)
- I have reviewed this annual report on Form 10-K/A of Advanstar Communications Inc.;
- (2)
- Based on my knowledge, this annual report 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 annual report;
- (3)
- Based on my knowledge, the financial statements, and other financial information included in this annual report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this annual report;
- (4)
- The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-14 and 15d-14) for the registrant and have:
- (a)
- Designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this annual report is being prepared;
- (b)
- Evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this annual report (the "Evaluation Date"); and
- (c)
- Presented in this annual report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date;
- (5)
- The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of registrant's board of directors (or persons performing the equivalent function):
- (a)
- All significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and
- (b)
- Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and
- (6)
- The registrant's other certifying officers and I have indicated in this annual report whether there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses.
By: | | /s/ ROBERT L. KRAKOFF Robert L. Krakoff Chief Executive Officer March 31, 2003 | | |
CERTIFICATION
I, David W. Montgomery, certify that:
- (1)
- I have reviewed this annual report on Form 10-K/A of Advanstar Communications Inc.;
- (2)
- Based on my knowledge, this annual report 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 annual report;
- (3)
- Based on my knowledge, the financial statements, and other financial information included in this annual report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this quarterly report;
- (4)
- The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-14 and 15d-14) for the registrant and have:
- (a)
- Designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this annual report is being prepared;
- (b)
- Evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this annual report (the "Evaluation Date"); and
- (c)
- Presented in this annual report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date;
- (5)
- The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of registrant's board of directors (or persons performing the equivalent function):
- (a)
- All significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and
- (b)
- Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and
- (6)
- The registrant's other certifying officers and I have indicated in this annual report whether there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses.
By: |
|
/s/ DAVID W. MONTGOMERY David W. Montgomery Chief Financial Officer |
|
| | March 31, 2003 | |
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Explanatory NoteSIGNATURESCERTIFICATIONCERTIFICATION