UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D. C. 20549
Form 10-K/A
x | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended March 31, 2010
OR
¨ | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period to
Commission file number 0-13763
TECHNOLOGY RESEARCH CORPORATION
(Exact name of Registrant as specified in its charter)
FLORIDA | 59-2095002 | |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
5250-140th Avenue North
Clearwater, Florida 33760
(Address of principal executive offices)
(727) 535-0572
(Registrant’s telephone number, including area code)
Securities registered pursuant to Section 12(b) of the Exchange Act: None
Securities registered pursuant to Section 12(g) of the Exchange Act:
Common Stock, Par Value $.51 Per Share
(Title of Class)
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act: Yes ¨ No x
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes ¨ No x
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 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 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 (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes x No ¨
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. ¨
Indicate by check mark whether registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer or a smaller reporting company. See the definitions of “accelerated filer” “large accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):
Large accelerated filer | ¨ | Accelerated filer | ¨ | |||
Non-accelerated filer | ¨ | Smaller reporting company | x |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 or the Act). Yes ¨ No x
The aggregate market value of the voting and non-voting common equity held by non-affiliates of the registrant, as of September 30, 2009, was $15,124,862 based upon the $3.27 closing sale price for the registrant’s Common Stock as reported on the NASDAQ Stock Market System on such date. We have excluded shares of voting and non-voting stock held by executive officers, directors and holders of more than 5% of our Common Stock from this calculation because such persons or institutions may be deemed affiliates. This determination of affiliate status is not necessarily a conclusive determination of such status for other purposes.
As of June 14, 2010, 6,603,620 shares of the registrant’s common stock were outstanding.
DOCUMENTS INCORPORATED BY REFERENCE
Portions of the Registrant’s definitive proxy statement related to its 2010 Annual Meeting of Stockholders to be held on August 5, 2010 are incorporated by reference into Part II, Item 5 and Part III of this Form 10-K.
Explanatory Note
We are filing this Amendment to Annual Report on Form 10-K/A (this “Amendment”) to amend our Annual Report on Form 10-K for the fiscal year ended March 31, 2010, as filed with the Securities and Exchange Commission (the “SEC”) on June 11, 2010 (the “10-K”). The purpose of this Amendment is to file a revised Exhibit 23.2 to correct the consent date of KPMG, LLP to June 10, 2010 from June 9, 2010. In addition, as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended, new certifications by our principal executive officer and principal financial officer are filed as exhibits to this Amendment.
No changes have been made in this Amendment to modify or update the other disclosures presented in the 10-K. This amendment should be read in conjunction with the 10-K and our other filings with the SEC.
PART IV
ITEM 15. | EXHIBITS, FINANCIAL STATEMENT SCHEDULES |
23.2 | Consent of Independent Registered Public Accounting Firm – KPMG, LLP. Filed herewith |
31.1 | Certification of Chief Executive Officer pursuant to section 302 of the Sarbanes-Oxley Act of 2002. Filed herewith |
31.2 | Certification of Chief Financial Officer pursuant to section 302 of the Sarbanes-Oxley Act of 2002. Filed herewith |
32.1 | Certification of Chief Executive Officer pursuant to section 906 of the Sarbanes-Oxley Act of 2002. Filed herewith |
32.2 | Certification of Chief Financial Officer pursuant to section 906 of the Sarbanes-Oxley Act of 2002. Filed herewith. |
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SIGNATURES
In accordance with Section 13 or 15(d) of the Exchange Act, the registrant caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
TECHNOLOGY RESEARCH CORPORATION | ||
By: | /s/ Owen Farren | |
Owen Farren | ||
President and Chief Executive Officer | ||
(Principal Executive Officer) | ||
Date: | June 15, 2010 |
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 and on the dates indicated:
Signature | Title | Date | ||
/s/ Owen Farren Owen Farren | Chairman Board of Directors, President and Chief Executive Officer | June 15, 2010 | ||
(Principal Executive Officer) | ||||
/s/ Thomas G. Archbold Thomas G. Archbold | Vice President of Finance and Chief Financial Officer | June 15, 2010 | ||
(Principal Financial and Accounting Officer) | ||||
/s/ Raymond B. Wood Raymond B. Wood | Director and Senior Vice President of Government Operations | June 15, 2010 | ||
/s/ Gerry Chastelet Gerry Chastelet | Director | June 15, 2010 | ||
/s/ Raymond V. Malpocher | Director | June 15, 2010 | ||
Raymond V. Malpocher | ||||
/s/ Patrick M. Murphy | Director | June 15, 2010 | ||
Patrick M. Murphy | ||||
/s/ N. John Simmons, Jr. | Director | June 15, 2010 | ||
N. John Simmons, Jr. | ||||
/s/ David F. Walker | Director | June 15, 2010 | ||
David F. Walker |
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