UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-Q/A
[X] AMENDMENT TO QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE
SECURITIES EXCHANGE ACT OF 1934
FOR THE QUARTERLY PERIOD ENDED DECEMBER 31, 1996.
Commission file number: 0-28448
GENERAL SURGICAL INNOVATIONS, INC.
(Exact name of Registrant as specified in its charter)
CALIFORNIA 97-3170244
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
10460 BUBB ROAD, CUPERTINO, CA 95014
(Address of principal executive offices)
Registrant's telephone number, including area code: (408) 863-2500
Securities registered pursuant to Section 12(b) of the Act: None
Securities registered pursuant to Section 12(g) of the Act:
Common Stock, $.001 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
--- ---
There were approximately 13,199,353 shares of Registrant's Common Stock issued
and outstanding as of December 31, 1996.
-------------------------------------
The undersigned Registrant hereby amends the following exhibit to the
Quarterly Report on Form 10-Q for the quarter ended December 31, 1996, as set
forth below:
At the Commission's request, the Registration is refiling Exhibit 10.21
in accordance with the Commission's granting of an order for confidential
treatment of certain portions of Exhibit 10.21.
ITEM 6. EXHIBITS AND REPORTS ON FORM 8-K
(a) EXHIBITS
Exhibit Description
------- -----------
10.20 (1)(2) OEM Supply Agreement (Expanded Field) dated
December 20, 1996, between Ethicon
Endo-Surgery, Inc. and the Company
("Expanded EES Agreement").
10.21(2) Modification and Termination Agreement and
Mutual Release dated November 12, 1996,
between United States Surgical Corporation and the
Company.
10.22(3) Real Estate Lease between Berg & Berg Developers
and the Company.
11.1 (3) Statement of Computation of Earnings (Net Loss)
Per Share
27.1 (3) Financial Data Schedule
(1) This exhibit supercedes Exhibit 10.19.
(2) Confidential treatment has been granted with regard to
certain portions of this exhibit by the Commission
on April 17, 1997.
(3) Incorporated by reference to identically numbered exhibits
filed in response to Item 6(a), "Exhibits," of the
Registrant's Quarterly Report on Form 10-Q for the
quarter ended December 31, 1996, filed with the Commission
on February 13, 1997.
(b) REPORTS ON FORM 8-K
The Company filed no reports on Form 8-K during the quarter ended
December 31, 1996.
2
SIGNATURES
Pursuant to the requirements 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.
GENERAL SURGICAL INNOVATIONS, INC.
By:/s/ STEPHEN J. BONELLI
------------------------
Stephen J. Bonelli
Vice President, Finance
and Chief Financial Officer
Date: May 28, 1997
3