-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QfgIoWKwfZ7Eq7OvKN8YL1674gDVGjZdoSAA/wsusmkzoLnIcP/xGxFc2zzwn7/a /Y98iN3srU44ChonQc5jXQ== 0000317771-98-000031.txt : 19980401 0000317771-98-000031.hdr.sgml : 19980401 ACCESSION NUMBER: 0000317771-98-000031 CONFORMED SUBMISSION TYPE: 10-K405/A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 19980102 FILED AS OF DATE: 19980331 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: TELLABS INC CENTRAL INDEX KEY: 0000317771 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 363831568 STATE OF INCORPORATION: DE FISCAL YEAR END: 1227 FILING VALUES: FORM TYPE: 10-K405/A SEC ACT: SEC FILE NUMBER: 000-09692 FILM NUMBER: 98582776 BUSINESS ADDRESS: STREET 1: 4951 INDIANA AVE CITY: LISLE STATE: IL ZIP: 60532 BUSINESS PHONE: 6303788800 MAIL ADDRESS: STREET 1: 4951 INDIANA AVE CITY: LISLE STATE: IL ZIP: 60532 10-K405/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A [X] AMENDMENT TO ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended January 2, 1998 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from N/A to N/A Commission file number 0-9692 TELLABS, INC. (Exact name of registrant as specified in its charter) Delaware 36-3831568 (State or other jurisdiction of (I.R.S. Employer Identification No.) incorporation or organization) 4951 Indiana Avenue, Lisle, Illinois 60532-1698 (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code (630) 378-8800 1 Note: This amended Form 10-K is being filed in order to present restated Financial Data Schedules for years 1997, 1996 and 1995 to the Company's adoption of FAS 128, Earnings Per Share. PART IV ITEM 14. EXHIBITS, FINANCIAL STATEMENT SCHEDULES, AND REPORTS ON FORM 8-K (a) 1. Financial Statements: The following Consolidated Financial Statements of Tellabs, Inc., and Subsidiaries, included in registrant's Annual Report to Stockholders for the year ended January 2, 1998, were previously incorporated by reference in Item 8: Report of Independent Auditors Consolidated Balance Sheets: January 2, 1998 and December 27, 1996 Consolidated Statements of Earnings: Years ended January 2, 1998, December 27, 1996 and December 29, 1995 Consolidated Statements of Stockholders' Equity: Years ended January 2, 1998, December 27, 1996, and December 29, 1995 Consolidated Statements of Cash Flows: Years ended January 2, 1998, December 27, 1996 and December 29, 1995 Notes to Consolidated Financial Statements 2. Financial Statement Schedules: The following Consolidated Financial Statement Schedules of Tellabs, Inc., and Subsidiaries are included herein pursuant to Item 14(d): Report of Independent Auditors on Financial Statement Schedule Schedule II Valuation and Qualifying Accounts and Reserves Schedules not included have been omitted because they are not applicable or the required information is shown in the Consolidated Financial Statements or Notes thereto. (b) The Registrant filed a report on Form 8-K on February 20, 1998, with respect to the agreement and plan of merger entered into among Tellabs, Inc., Cardinal Merger Co., and Coherent Communications Systems Corporation. (c) Exhibits: 2.1 Agreement and Plan of Merger Among Tellabs, Inc., Cardinal Merger Co. and Coherent Communications Systems Corporation 11/ 3.1 Restated Certificate of Incorporation 5/ 3.2 Amended and Restated By-Laws, as amended 3/ 3.3 Certificate of Amendment to Restated Certificate of Incorporation 9/ 2 Exhibits: (Continued) 4. Upon request of the Securities and Exchange Commission, registrant hereby agrees to furnish to the Commission copies of instruments (not filed) defining the rights of holders of long-term debt of the Company. (This undertaking is in lieu of a separate exhibit.) 10.1 Tellabs, Inc. Deferred Compensation Plan, as amended and its related trust, as amended 6/ 10.2 1981 Incentive Stock Option Plan, as amended and restated 1/ 10.3 1984 Incentive Stock Option Plan, as amended and restated 1/ 10.4 1986 Non-Qualified Stock Option Plan, as amended and restated 1/ 10.5 1987 Stock Option Plan for Non-Employee Corporate Directors, as amended and restated 1/ 10.6 1989 Stock Option Plan, as amended and restated 1/ 10.7 Employee Quality Stock Award Program 2/ 10.8 Form of Employment Agreement 3/ 10.9 1991 Stock Option Plan, as amended and restated 1/ 10.10 Description of Split-Dollar Insurance Arrangement with the Michael J. Birck Irrevocable Trust 3/ 10.11 1994 Stock Option Plan 4/ 10.12 Tellabs, Inc. Stock Bonus Plan for Former Employees of Steinbrecher Corporation 8/ 10.13 Tellabs, Inc. Stock Bonus Plan for Former Employees of TRANSYS Networks Inc. 10/ 10.14 Tellabs, Inc. Stock Bonus Plan for Former Employees of International Business Machines Corporation 10/ 10.15 Severance Arrangement for John E. Vaughan 9/ 10.16 Restricted Stock Award for John E. Vaughan 9/ 13. Annual Report to Stockholders 16. Letter Re: Change in Certifying Accountant 7/ 21. Subsidiaries of the Registrant 23. Consent of Independent Auditors - Ernst & Young LLP 23.1 Consent of Independent Auditors - Grant Thornton LLP 27. Financial Data Schedule, As Restated - 1997 27.1 Financial Data Schedule, As Restated - 1996 27.2 Financial Data Schedule, As Restated - 1995 Exhibits 10.1 through 10.16 are management contracts or compensatory plans or arrangements required to be filed as an Exhibit to this Form 10-K pursuant to Item 14(c) hereof. (d) Schedules: See Item 14(a)2 above. 1/ Incorporated by reference from Tellabs, Inc. Post-effective Amendment No. 1 on Form S-8 to Form S-4 filed on or about June 29, 1992 (File No. 33-45788). 2/ Incorporated by reference from Tellabs, Inc. Form 10-Q Quarterly Report for the quarter ended April 1, 1988 (File No. 0-9692). 3/ Incorporated by reference from Tellabs, Inc. Form 10-K Annual Report for the year ended January 1, 1993 (File No. 0-9692). 4/ Incorporated by reference from Tellabs, Inc. Form 10-K Annual Report for the year ended December 31, 1993 (File No. 0-9692). 5/ Incorporated by reference from Tellabs, Inc. Form 10-Q Quarterly Report for the quarter ended June 30, 1995 (File No. 0-9692). 3 (d) Schedules: (Continued) 6/ Incorporated by reference from Tellabs, Inc. Form 10-K Annual Report for the year ended December 29, 1995 and Form 10-Q Quarterly Report for the quarter ended September 26, 1997. 7/ Incorporated by reference from Tellabs, Inc. Form 8-K Current Report filed on or about August 21, 1996 (File No. 0-9692). 8/ Incorporated by reference from Tellabs, Inc. Form 10-Q Quarterly Report for the quarter ended June 28, 1996 (File No. 0-9692). 9/ Incorporated by reference from Tellabs, Inc. Form 10-Q Quarterly Report for the quarter ended June 27, 1997 (File No. 0-9692). 10/ Incorporated by reference from Tellabs, Inc. Form 10-K Annual Report for the year ended December 27, 1996 (File No. 0-9692). 11/ Incorporated by reference from Tellabs, Inc. Form 8-K Current Report filed on or about February 20, 1998 (File No. 0-9692). SIGNATURE 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. TELLABS, INC. March 31, 1998 By /s/ J. Peter Johnson Date Vice President/Controller & Chief Accounting Officer 4 EX-27 2
5 This schedule contains restated financial data schedule information from the Company's 1997 Income Statements and Balance Sheets. The restatement is being made to reflect adoption of FAS 128, Earnings Per Share. 3-MOS 6-MOS 9-MOS YEAR JAN-02-1998 JAN-02-1998 JAN-02-1998 JAN-02-1998 MAR-28-1997 JUN-27-1997 SEP-26-1997 JAN-02-1998 110796000 86157000 127853000 109048000 218656000 341138000 375701000 377986000 166623000 176221000 208644000 287524000 4753000 5095000 5868000 3440000 80926000 85665000 84649000 89614000 573251000 686332000 792736000 862934000 277033000 294840000 319972000 338296000 109069000 114278000 120475000 128967000 845500000 974041000 1101974000 1183379000 142920000 168037000 201222000 225820000 4115000 4083000 3949000 2850000 0 0 0 0 0 0 0 0 1804000 1810000 1815000 1816000 677651000 781501000 875819000 931293000 845500000 974041000 1101974000 1183379000 247123000 539824000 849232000 1203546000 247123000 539824000 849232000 1203546000 95420000 206865000 322694000 445543000 95420000 206865000 322694000 445543000 80316000 175215000 275481000 394539000 1167000 1545000 2419000 1494000 (2267000) (5117000) 8134000 (12063000) 94725000 184619000 282053000 399529000 31638000 62771000 95898000 135840000 63087000 121848000 186155000 263689000 0 0 0 0 0 0 0 0 0 0 0 0 63087000 121848000 186155000 263689000 .35 .68 1.03 1.46 .34 .66 1.00 1.42
EX-27.1 3
5 This schedule contains restated financial data schedule information from the Company's 1996 Income Statements and Balance Sheets. The restatement is being made to reflect adoption of FAS 128, Earnings Per Share. 3-MOS 6-MOS 9-MOS YEAR DEC-27-1996 DEC-27-1996 DEC-27-1996 DEC-27-1996 MAR-29-1996 JUN-28-1996 SEP-27-1996 DEC-27-1996 99812000 88934000 82173000 90446000 75721000 53268000 60115000 136421000 128538000 124536000 161844000 171610000 2699000 3270000 4262000 3682000 65943000 74322000 84900000 78519000 376748000 348039000 394621000 475464000 207205000 229822000 248885000 258239000 87592000 95785000 98680000 104254000 560810000 587349000 649640000 743823000 81157000 120126000 122418000 131624000 2850000 2850000 2850000 2850000 0 0 0 0 0 0 0 0 889000 891000 1793000 1797000 457599000 442489000 503274000 589479000 560810000 587349000 649640000 743823000 172256000 361729000 596069000 868975000 172256000 361729000 596069000 868975000 74482000 151640000 246451000 349732000 74482000 151640000 246451000 349732000 55826000 195344000 267156000 350300000 390000 955000 1937000 2157000 (1947000) (3333000) (4591000) (6198000) 44467000 18498000 87022000 175282000 13340000 6049000 28456000 57317000 31127000 12449000 58566000 117965000 0 0 0 0 0 0 0 0 0 0 0 0 31127000 12449000 58566000 117965000 .18 .07 .33 .66 .17 .06 .31 .64
EX-27.2 4
5 This schedule contains restated financial data schedule information extracted from the December 29, 1995, Income Statement and Balance Sheet. The restatement is being made to reflect adoption of FAS 128, Earnings Per Share. YEAR DEC-29-1995 DEC-29-1995 92485000 69751000 129882000 2317000 67715000 366370000 194969000 84419000 552051000 98564000 2850000 0 0 888000 432345000 552051000 635229000 635229000 271394000 271394000 207182000 1396000 (5731000) 162825000 47219000 115606000 0 0 0 115606000 .66 .63
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