UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
___________________________________________________
FORM 10-K/A
(Amendment No. 1)
☒ | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended January 3, 2020
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: 001-14845
____________________________________________________
TRIMBLE INC.
(Exact name of Registrant as specified in its charter)
Delaware | 94-2802192 | |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) | |
935 Stewart Drive, Sunnyvale, CA
(Address of principal executive offices)
94085
(Zip Code)
Registrant’s telephone number, including area code: (408) 481-8000
Securities registered pursuant to Section 12(b) of the Act:
Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
Common Stock, $0.001 par value | TRMB | NASDAQ Global Select Market |
(Title of Class) | ||
Securities registered pursuant to Section 12(g) of the Act: NONE
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ☒ No ☐
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Exchange Act. Yes ☐ No ☒
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 ☒ No ☐
Indicate by check mark whether the registrant has submitted electronically, every Interactive Data File required to be submitted 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 such files). Yes ☒ No ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer.
Large Accelerated Filer | ☒ | Accelerated Filer | ☐ | ||
Non-accelerated Filer | ☐ | Smaller Reporting Company | ☐ | ||
Emerging Growth Company | ☐ | ||||
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
1
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ☐ No ☒
As of June 28, 2019, the aggregate market value of the common stock held by non-affiliates of the registrant was approximately $11.4 billion based on the closing price as reported on the NASDAQ Global Select Market. Shares of common stock held by each officer and director of the registrant have been excluded in that such person may be deemed to be an affiliate. This determination of affiliate status is not necessarily a conclusive determination for any other purpose.
Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date.
Class | Outstanding at February 26, 2020 | ||
Common stock, $0.001 par value | 250,166,168 | shares | |
2
DOCUMENTS INCORPORATED BY REFERENCE
Certain parts of Trimble Inc. Proxy Statement relating to the annual meeting of stockholders to be held on May 27, 2020 (the “Proxy Statement”) are incorporated by reference into Part III of this Annual Report on Form 10-K.
3
EXPLANATORY NOTE
We are filing this Amendment No. 1 to our Annual Report on Form 10-K for the year ended January 3, 2020 filed with the Securities and Exchange commission on February 28, 2020 (the “Original Filing”) for the sole purpose of including amended Exhibits 32.1 and 32.2 which contain the Section 906 Certifications of our Chief Executive Officer and Chief Financial Officer, respectively. The Certifications included in Exhibits 32.1 and 32.2 to the Original Filing contained typographical errors.
Pursuant to Rule 12b-15 under the Securities Exchange Act of 1934, as amended, this Form 10-K/A also contains new certifications pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, which are attached hereto. Because no financial statements have been included in this Form 10-K/A and this Form 10-K/A does not contain or amend any disclosure with respect to Items 307 and 308 of Regulation S-K, paragraphs 3, 4, and 5 of the certifications have been omitted.
Except as described above, no other changes have been made to the Original Filing, and this Form 10-K/A does not modify, amend or update in any way any of the financial or other information contained in the Original Filing. This Form 10-K/A does not reflect events that may have occurred subsequent to the filing date of the Original Filing.
4
PART IV
Item 15. Exhibits and Financial Statement Schedules.
(b) Exhibits
We have filed, or incorporated into the Report by reference, the exhibits listed on the accompanying Index to Exhibits immediately preceding the signature page of this Form 10-K/A.
INDEX TO EXHIBITS
Exh. No. | Description of Exhibit | Filed herewith or incorporated by reference to: |
2.1 | Exhibit 2.1 to Form 8-K filed October 3, 2016 | |
2.2 | Exhibit 2.1 to Form 8-K filed February 2, 2018 | |
2.3 | Exhibit 2.1 to Form 8-K filed April 24, 2018 | |
3.1 | Exhibit 3.1 to Form 8-K filed October 3, 2016 | |
3.2 | Exhibit 3.1 to Form 8-K filed November 15, 2019 | |
4.1 | Exhibit 4.1 to Form 8-K filed October 3, 2016 | |
4.2 | Exhibit 4.2 to Form 10-K filed February 28, 2020 | |
4.3(A) | Exhibit 4.2 to Form S-3 filed October 30, 2014 | |
4.3(B) | Exhibit 4.1 to Form 8-K filed November 24, 2014 | |
4.3(C) | Exhibit 4.2 to Form 8-K filed October 3, 2016 | |
4.3(D) | Exhibit 4.1 to Form 8-K filed June 15, 2018 | |
10.1(A) | Exhibit 10.17 to Form 10-K filed March 10, 2006 | |
10.1(B) | Exhibit 10.23 to Form 10-K filed March 1, 2011 | |
10.1(C) | Exhibit 10.6 to Form 10-Q filed August 8, 2017 | |
10.2 | Exhibit 10.1 to Form 8-K filed May 16, 2018 | |
10.3+ | Exhibit 10.1 to Form 8-K filed November 15, 2017 | |
10.4+ | Exhibit 10.1 to Form 8-K filed May 11, 2015 | |
10.5+ | Exhibit 99.1 to Form 8-K filed May 8, 2017 | |
10.6+ | Exhibit 10.1 to Form 10-Q filed May 7, 2019 | |
10.7+ | Exhibit 10.3 to Form 10-Q filed August 8, 2017 | |
10.8(A)+ | Appendix B of Form DEF 14A filed March 23, 2017 | |
10.8(B)+ | Exhibit 10.5 to Form 10-Q filed November 10, 2015 | |
10.9(A)+ | Exhibit 10.1 to Form 10-Q filed May 7, 2019 | |
5
10.9(B)+ | Exhibit 10.2 to Form 10-Q filed November 7, 2014 | |
10.9(C)+ | Exhibit 10.3 to Form 10-Q filed November 7, 2014 | |
10.9(D)+ | Exhibit 10.1 to Form 10-Q filed November 10, 2015 | |
10.9(E)+ | Exhibit 10.2 to Form 10-Q filed November 10, 2015 | |
10.9(F)+ | Exhibit 10.6 to Form 10-Q filed November 10, 2015 | |
10.9(G)+ | Exhibit 10.30 to Form 10-K filed February 24, 2017 | |
10.9(H)+ | Exhibit 10.4 to Form 10-Q filed August 8, 2017 | |
10.9(I)+ | Exhibit 10.5 to Form 10-Q filed August 8, 2017 | |
10.9(J)+ | Exhibit 10.1 to Form 10-Q filed August 2, 2019 | |
10.9(K)+ | Exhibit 10.9(K) to Form 10-K filed February 28, 2020 | |
10.10+ | Exhibit 10.1 to Form 10-Q filed May 8, 2017 | |
10.11+ | Exhibit 10.1 to Form 10-Q filed August 8, 2017 | |
10.12+ | Exhibit 10.2 to Form 10-Q filed August 8, 2017 | |
10.13+ | Exhibit 10.1 to Form 10-K filed February 22, 2019 | |
10.14+ | Exhibit 10.2 to Form 10-K filed February 22, 2019 | |
10.15+ | Exhibit 10.1 to Form 8-K filed November 18, 2019 | |
10.16+ | Exhibit 10.16 to Form 10-K filed February 28, 2020 | |
21.1 | Exhibit 21.1 to Form 10-K filed February 28, 2020 | |
23.1 | Exhibit 23.1 to Form 10-K filed February 28, 2020 | |
24.1 | Power of Attorney (included on signature page herein) | |
31.1 | Exhibit 31.1 to Form 10-K filed February 28, 2020 | |
31.2 | Exhibit 31.2 to Form 10-K filed February 28, 2020 | |
31.3 | Filed herewith | |
31.4 | Filed herewith | |
32.1 | Filed herewith | |
32.2 | Filed herewith | |
101++ | The following financial statements from this Annual Report on Form 10-K, formatted in Inline XBRL: (i) Consolidated Balance Sheets, (ii) Consolidated Statements of Income, (iii) Consolidated Statements of Comprehensive Income, (iv) Consolidated Statements of Stockholders' Equity, (v) Consolidated Statements of Cash Flows, and (vi) Notes to Consolidated Financial Statements, tagged as blocks of text and including detailed tags | |
104++ | The cover page from this Amendment No. 1 on Form 10-K/A, formatted in Inline XBRL | |
+ | Indicates management contract or compensatory plan or arrangement required to be filed as an exhibit to this Annual Report on Form 10-K. |
6
++ | Pursuant to applicable securities laws and regulations, the Company is deemed to have complied with the reporting obligation relating to the submission of interactive data files in such exhibits and is not subject to liability under any anti-fraud provisions of the federal securities laws as long as the Company has made a good faith attempt to comply with the submission requirements and promptly amends the interactive data files after becoming aware that the interactive data files fails to comply with the submission requirements. |
** | Portions of this document have been omitted and filed separately with the Securities and Exchange Commission pursuant to a request for confidential treatment under Rule 24b-2. |
7
SIGNATURES
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.
TRIMBLE INC.
By: | /S/ ROBERT G. PAINTER | |
Robert G. Painter, President and Chief Executive Officer | ||
May 22, 2020
8