U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
Form 10-K/A
Amendment No. 3
| 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. Yesx 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. Yesx 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 replace Exhibit 23.1, Consent of Ernst & Young, LLP, Independent Registered Public Accounting Firm with the attached Exhibit 23.1 which corrects the list of registration statements into which such firm consents that its report included in the Form 10-K be incorporated by reference by adding certain Form S-3 registration statements to such list.
Part IV
| 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. | ||
| 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 Registered Public Accounting Firm | |||
| 31.1 = | Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| 31.2 = | Certification of Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| * | 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. |
| + | Previously filed with Amendment No. 2 to Form 10-K for the fiscal year ended March 31, 2002 |
| ^ | Replacement exhibit is attached to this Amendment |
| = | New exhibit relating to this Amendment is attached to this Amendment |
(b) 1. Reports on Form 8-K:
On January 7, 2002, we filed a Form 8-K under Item 5, reporting the affirmation of our December 2002 quarter guidance.
On January 23, 2002, we filed a Form 8-K under Item 5, reporting the selection of a new Vice President Finance and Administration and Chief Financial Officer.
DOCUMENTS INCORPORATED BY REFERENCE
Portions of the Registrant’s Proxy Statement in connection with its August 7, 2002 Annual Meeting of Shareholders (which will be filed with the Securities and Exchange Commission within 120 days of the end of the fiscal year ended March 31, 2002) are incorporated by reference into Part III.
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. 3 to Report on Form 10-K to be signed on its behalf by the undersigned, thereunto duly authorized on the 2nd day of September, 2004.
CALIFORNIA MICRO DEVICES CORPORATION (Registrant) | ||
| By: | /s/ Robert V. Dickinson | |
ROBERT V. DICKINSON | ||
President and Chief Executive 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 and in the capacities indicated on the 2nd day of September, 2004.
/ s / ROBERT V. DICKINSON Robert V. Dickinson | President, Chief Executive Officer and Director (Principal Executive Officer) | |
/ s / R. GREGORY MILLER R. Gregory Miller | Vice President Finance & Chief Financial Officer (Principal Financial and Accounting Officer) | |
/s/ WADE MEYERCORD* Wade Meyercord | Chairman of the Board | |
/s/ JEFFREY C. KALB* Jeffrey C. Kalb | Director | |
/s/ J. DANIEL MCCRANIE* J. Daniel McCranie | Director | |
/s/ EDWARD C. ROSS* Edward C. Ross | Director | |
/s/ JOHN SPRAGUE* John Sprague | Director | |
/s/ DONALD WAITE* Donald Waite | Director | |
| * | By Robert V. Dickinson, attorney-in-fact |
