|
UNITED STATES |
SECURITIES AND EXCHANGE COMMISSION |
Washington, D.C. 20549 |
|
FORM 10-Q/A |
Amendment No. 1 |
|
|
(Mark One) | |
|
|
x | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
|
|
For the quarterly period endedSeptember 30, 2012 | |
| |
or | |
|
|
o | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from _________________________________________________ to _________________________________________________
Commission File Number0-12944
|
|
|
ZYGO CORPORATION | ||
(Exact name of registrant as specified in its charter) | ||
| ||
Delaware | 06-0864500 |
|
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
|
|
|
|
Laurel Brook Road, Middlefield, Connecticut | 06455 |
|
(Address of principal executive offices) | (Zip Code) |
|
|
|
|
(860) 347-8506 | ||
Registrant’s telephone number, including area code | ||
| ||
N/A | ||
(Former name, former address, and former fiscal year, if changed from last report) | ||
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.
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.
|
|
|
| Large accelerated filero | Accelerated filerx |
|
|
|
| Non-accelerated filero (Do not check if a smaller reporting company) | Smaller reporting companyo |
APPLICABLE ONLY TO CORPORATE ISSUERS:
Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date.
18,436,393 shares of Common Stock, $.10 Par Value, at September 30, 2012
1
EXPLANATORY NOTE
This Amendment No. 1 (“Amendment No. 1”) to the Quarterly Report on Form 10-Q of Zygo Corporation for the quarter ended September 30, 2012, filed with the U.S. Securities and Exchange Commission (the “SEC”) on November 9, 2012 (the “Original Filing”), is solely for the purpose of furnishing Exhibit 101 (XBRL interactive data) thereto, which was omitted from the Original Filing. Amendment No. 1 revises the exhibit index included in Part II, Item 6 of the Original Filing and Exhibit 101 is included as an exhibit to Amendment No. 1.
Except as described above, Amendment No. 1 does not modify or update the disclosures presented in, or exhibits to, the Original Filing in any way. Those sections of the Original Filing that are unaffected by Amendment No. 1 are not included herein. Amendment No.1 continues to speak as of the date of the Original Filing. Furthermore, Amendment No. 1 does not reflect events occurring after the filing of the Original Filing.
2
PART II - Other Information
Item 6. Exhibits
|
|
|
|
(a) | Exhibits: | ||
|
| ||
| 10.1+§ | ZygoLot Share Purchase Agreement, dated September 28, 2012 | |
|
|
|
|
| 31.1+ | Certification Pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934, As Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | |
|
|
|
|
| 31.2+ | Certification Pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934, As Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | |
|
|
|
|
| 32.1+ | Certification Pursuant to 18 U.S.C. Section 1350, As Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | |
|
|
|
|
| 32.2+ | Certification Pursuant to 18 U.S.C. Section 1350, As Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | |
|
|
|
|
| 101.INS* | XBRL Instance Document | |
|
|
|
|
| 101.SCH* | XBRL Taxonomy Extension | |
|
|
| |
| 101.CAL* | XBRL Taxonomy Extension Calculation Linkbase | |
|
|
|
|
| 101.DEF* | XBRL Taxonomy Extension Definition Linkbase | |
|
|
|
|
| 101.LAB* | XBRL Taxonomy Extension Label Linkbase | |
|
|
|
|
| 101.PRE* | XBRL Taxonomy Extension Presentation Linkbase | |
+ Filed with the Original Filing.
§ Confidential treatment has been requested for certain confidential information contained in this exhibit, marked by brackets. The omitted information has been filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended.
* Pursuant to Rule 406T of Regulation S-T, these interactive data files are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, or Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections.
3
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
|
|
|
| Zygo Corporation |
|
|
| |
| (Registrant) |
|
|
|
|
| /s/ Chris L. Koliopoulos |
|
|
| |
| Chris L. Koliopoulos |
|
| President and Chief Executive Officer |
|
|
|
|
| /s/ John P. Jordan |
|
|
| |
| John P. Jordan |
|
| Vice President, Chief Financial Officer and Treasurer |
|
Date: November 13, 2012
4
EXHIBIT INDEX
|
|
|
|
| 10.1+§ | ZygoLot Share Purchase Agreement, dated September 28, 2012 | |
|
|
|
|
| 31.1+ | Certification Pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934, As Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | |
|
|
|
|
| 31.2+ | Certification Pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934, As Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | |
|
|
|
|
| 32.1+ | Certification Pursuant to 18 U.S.C. Section 1350, As Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | |
|
|
|
|
| 32.2+ | Certification Pursuant to 18 U.S.C. Section 1350, As Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | |
|
|
|
|
| 101.INS* | XBRL Instance Document | |
|
|
|
|
| 101.SCH* | XBRL Taxonomy Extension | |
|
|
|
|
| 101.CAL* | XBRL Taxonomy Extension Calculation Linkbase | |
|
|
|
|
| 101.DEF* | XBRL Taxonomy Extension Definition Linkbase | |
|
|
|
|
| 101.LAB* | XBRL Taxonomy Extension Label Linkbase | |
|
|
|
|
| 101.PRE* | XBRL Taxonomy Extension Presentation Linkbase | |
+ Filed with the Original Filing.
§ Confidential treatment has been requested for certain confidential information contained in this exhibit, marked by brackets. The omitted information has been filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended.
* Pursuant to Rule 406T of Regulation S-T, these interactive data files are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, or Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections.