SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
(Mark One)
/x/ | Amendment No. 1 to Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 |
For the fiscal year ended September 30, 2001
OR
/ / | Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 |
Commission file number 0-15935
ALTRIS SOFTWARE, INC.
(Exact name of registrant as specified in its charter)
| California | 95-3634089 | |
| (State or other jurisdiction of incorporation or organization) | (IRS Employer Identification No.) | |
9339 Carroll Park Drive, San Diego, CA | 92121 | |
| (Address of principal executive offices) | (Zip Code) |
(858) 625-3000
(Registrant's telephone number, including area code)
Securities registered pursuant to Section 12 (b) of the Act:
| Title of each class | Name of each exchange on which registered | |
| None | None |
Securities registered pursuant to Section 12 (g) of the Act:
Common Stock
(Title of class)
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 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. / /
The aggregate market value of the voting stock on October 25, 2001, held by non-affiliates* of the Registrant, based upon the last price reported on the OTC Bulletin Board on such date was $7,710,397
The number of shares outstanding of the Registrant's Common Stock at the close of business on October 25, 2001 was 30,841,590.
The Registrant hereby amends its Annual Report on Form 10-K for the fiscal year ended September 30, 2001, previously filed with the Commission (the "Annual Report") solely for the purpose of including Note 14 to Item 8 in the Form 10-K (Financial Statements and Supplementary Data). This additional disclosure is in accordance with Regulation S-K 229.302 as amended requiring all companies to disclose quarterly financial data in their annual report. Other than the addition of the following Note 14 to Item 8 in the Form 10-K (Financial Statements and Supplementary Data), the Annual Report is not being amended in any respect.
Note 14—Quarterly Results of Operations (Unaudited)
| | Fiscal 2001 | ||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| | Three Months Ended | ||||||||||||
| | December 31, | March 31, | June 30, | September 30, | |||||||||
| Revenues | $ | 2,901,000 | $ | 3,309,000 | $ | 3,134,000 | $ | 1,814,000 | |||||
| Gross profit | 1,682,000 | 1,744,000 | 1,902,000 | 545,000 | |||||||||
| Net income (loss) | 127,000 | (89,000 | ) | (94,000 | ) | (1,256,000 | ) | ||||||
| Basic and Diluted net income (loss) per common share | $ | 0.01 | $ | 0.00 | $ | 0.00 | $ | (0.04 | ) | ||||
Fiscal 2000 | |||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|
| | Three Months Ended | ||||||||||
| | * | March 31, | June 30, | September 30, | |||||||
| Revenues | $ | 1,667,000 | $ | 1,686,000 | $ | 1,901,000 | |||||
| Gross profit | 653,000 | 718,000 | 992,000 | ||||||||
| Net income (loss) | (565,000 | ) | (340,000 | ) | 11,000 | ||||||
| Basic and Diluted net income (loss) per common share | $ | (0.05 | ) | $ | (0.01 | ) | $ | 0.00 | |||
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Pursuant to the requirements of Section 13 or 15(d) 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, in the City of San Diego, State of California, on December 26, 2001.
| ALTRIS SOFTWARE, INC. | |||
By: | /s/ CARL MOSTERT Carl Mostert 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 in the capacities and on the dates indicated.
| Signature | Title | Date | ||
|---|---|---|---|---|
| /s/ CARL MOSTERT Carl Mostert | Director and Chief Executive Officer (Principal Executive Officer) | December 26, 2001 | ||
/s/ JOHN W. LOW John W. Low | Chief Financial Officer and Secretary (Principal Financial and Accounting Officer) | December 26, 2001 | ||
/s/ ROSS HAMILTON D. Ross Hamilton | Director | December 26, 2001 | ||
/s/ HILTON ISSACMAN Hilton Issacman | Director | December 26, 2001 | ||
/s/ JOHANN LEITNER Johann Leitner | Director | December 26, 2001 | ||
/s/ LARRY UNRUH Larry D. Unruh | Director | December 26, 2001 | ||
/s/ JIM MYERS Jim Myers | Director | December 26, 2001 |
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