UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington D.C. 20549
FORM 10-K/A
Amendment No. 1 to
[X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
For the fiscal year ended September 27, 1996
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 0-16255
JOHNSON WORLDWIDE ASSOCIATES, INC.
(Exact name of Registrant as specified in its charter)
Wisconsin 39-1536083
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
1326 Willow Road, Sturtevant, Wisconsin 53177
(Address of principal executive offices)
(414) 884-1500
(Registrant's telephone number, including area code)
Securities registered pursuant to Section 12(b) of the Act: None
Securities registered pursuant to Section 12(g) of the Act:
Class A Common Stock, $.05 par value
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. [ ]
As of November 15, 1996, 6,901,885 shares of Class A and 1,228,053
shares of Class B common stock of the Registrant were outstanding. The
aggregate market value of voting stock of the Registrant held by
non-affiliates of the Registrant was approximately $50,902,000 on
November 15, 1996.
DOCUMENTS INCORPORATED BY REFERENCE
Part and Item Number of Form 10-K
Document into which Incorporated
1. Johnson Worldwide Associates, Part I, Items 1 and 2, and Part
Inc. 1996 Annual Report II, Items 5, 6, 7 and 8
2. Johnson Worldwide Associates, Inc. Part III, Items 10, 11, 12 and 13
Notice of Annual Meeting of
Shareholders and Proxy Statement
for the Annual Meeting of
Shareholders on January 22, 1997
The undersigned Registrant hereby amends Exhibit 13 to its Annual
Report on Form 10-K for the fiscal year ended September 27, 1996 to provide
in its entirety as filed herewith.
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 to be
signed on its behalf by the undersigned, thereunto duly authorized, in the
Town of Mount Pleasant and State of Wisconsin, on the 2nd day of
January, 1997.
JOHNSON WORLDWIDE ASSOCIATES, INC.
(Registrant)
/s/ Carl G. Schmidt
(Carl G. Schmidt)
Senior Vice President and
Chief Financial Officer,
Secretary and Treasurer
(Principal Financial and
Accounting Officer)
JOHNSON WORLDWIDE ASSOCIATES, INC.
EXHIBIT INDEX
Exhibits Title Page No.
3.1 Articles of Incorporation of the Company. (Filed as
Exhibit 3.1 to the Company's Form S-1 Registration
Statement No. 33-16998, and incorporated herein by
reference.) *
3.2 Amendments to Bylaws of the Company, dated June 24,
1996. #
3.3 Bylaws of the Company as amended through June 24,
1996. #
4.1 Note Agreement dated May 1, 1991. (Filed as Exhibit 4
to the Company's Form 10-Q for the quarter ended
June 28, 1991 and incorporated herein by reference). *
4.2 Letter Amendment No. 1 dated September 30, 1993 to
Note Agreement dated May 1, 1991. (Filed as
Exhibit 4.5 to the Company's Form 10-K for the year
ended October 1, 1993 and incorporated herein by
reference). *
4.3 Note Agreement dated May 1, 1993. (Filed as Exhibit 4
to the Company's Form 10-Q for the quarter ended
July 2, 1993 and incorporated herein by reference.) *
4.4 Letter Amendment dated September 30, 1993 to Note
Agreement dated May 1, 1993. (Filed as Exhibit 4.8 to
the Company's Form 10-K for the year ended October 1,
1993 and incorporated herein by reference). *
4.5 Note Agreement dated October 1, 1995. (Filed as
Exhibit 4.1 to the Company's Form 10-Q for the quarter
ended December 29, 1995 and incorporated herein by
reference.) *
4.6 Credit Agreement dated November 29, 1995. (Filed as
Exhibit 4.2 to the Company's Form 10-Q for the quarter
ended December 29, 1995 and incorporated herein by
reference.) *
4.7 Amendment No. 1 dated July 1, 1996 to Credit Agreement
dated November 29, 1995. #
9. Johnson Worldwide Associates, Inc. Class B Common
Stock Voting Trust Agreement, dated December 30, 1993
(Filed as Exhibit 9 to the Company's Form 10-Q for the
quarter ended December 31, 1993 and incorporated
herein by reference.) *
10.1 Asset Purchase Agreement between Johnson Worldwide
Associates, Inc. and Safari Land Ltd., Inc. dated as
of March 31, 1995 (Filed as Exhibit 2 to the Company's
Form 10-Q for the quarter ended March 31, 1995 and
incorporated herein by reference.) *
10.2+ Discretionary Bonus Option Plan. (Filed as
Exhibit 10-2 to the Company's Form S-1 Registration
Statement No. 33-16998, and incorporated herein by
reference.) *
10.3+ Johnson Worldwide Associates, Inc. Amended and
Restated 1986 Stock Option Plan. (Filed as Exhibit 10
to the Company's Form 10-Q for the quarter ended
July 2, 1993 and incorporated herein by reference.) *
10.4 Registration Rights Agreement regarding Johnson
Worldwide Associates, Inc. Common Stock issued to the
Johnson family prior to the acquisition of Johnson
Diversified, Inc. (Filed as Exhibit 10.6 to the
Company's Form S-1 Registration Statement No.
33-16998, and incorporated herein by reference.) *
10.5 Registration Rights Agreement regarding Johnson
Worldwide Associate, Inc. Class A Common Stock held by
Mr. Samuel C. Johnson. (Filed as Exhibit 28 to the
Company's Form 10-Q for the quarter ended March 29,
1991 and incorporated herein by reference.) *
10.6+ Form of Restricted Stock Agreement. (Filed as Exhibit
10.8 to the Company's Form S-1 Registration Statement
No. 33-23299, and incorporated herein by reference.) *
10.7+ Form of Supplemental Retirement Agreement of Johnson
Diversified, Inc. (Filed as Exhibit 10.9 to the
Company's Form S-1 Registration Statement No.
33-16998, and incorporated herein by reference.) *
10.8+ Johnson Worldwide Associates Retirement and Savings
Plan. (Filed as Exhibit 10.9 to the Company's
Form 10-K for the year ended September 29, 1989 and
incorporated herein by reference.) *
10.9+ Form of Agreement of Indemnity and Exoneration with
Directors and Officers. (Filed as Exhibit 10.11 to
the Company's Form S-1 Registration Statement No.
33-16998, and incorporated herein by reference.) *
10.10 Consulting and administrative agreements with
S. C. Johnson & Son, Inc. (Filed as Exhibit 10.12 to
the Company's Form S-1 Registration Statement No.
33-16998, and incorporated herein by reference.) *
10.11+ Johnson Worldwide Associates, Inc. Stock Option Plan
for Non-Employee Directors. (Filed as Exhibit 4.2 to
the Company's Form S-8 Registration Statement No.
33-19805 and incorporated herein by reference.) *
10.12+ Johnson Worldwide Associates, Inc. 1994 Long-Term
Stock Incentive Plan (Filed as Exhibit 4 to the
Company's S-8 Registration Statement No. 33-52073 and
incorporated herein by reference.) *
10.13+ Separation agreement, dated July 18, 1996, between the
Company and John D. Crabb. #
11. Statement regarding computation of per share earnings.
(Incorporated by reference to Note 14 to the
Consolidated Financial Statements on page 30 of the
Company's 1996 Annual Report.) *
13. Portions of the Johnson Worldwide Associates, Inc.
1996 Annual Report that are incorporated herein by
reference. --
21. Subsidiaries of the Company as of September 27, 1996. #
23. Consent of KPMG Peat Marwick LLP. #
27. Financial Data Schedule #
99. Definitive Proxy Statement for the 1996 Annual Meeting
of Shareholders (Previously filed via the EDGAR system
and incorporated herein by reference). Except to the
extent incorporated herein by reference, the Proxy
Statement for the 1996 Annual Meeting of Shareholders
shall not be deemed to be filed with the Securities
and Exchange Commission as part of this Annual Report
on Form 10-K. *
___________
* Incorporated herein by reference.
+ A management contract or compensatory plan or arrangement.
# Previously filed with this Annual Report on Form 10-K.