-----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, NasElQU9TCxXObMG08Sokp6X4VTRM8z81eDBjwNd84Za/UdHRLphmPozwNa1g/ta K2ugtzr1xzaELxBkKoJPww== 0000913355-97-000092.txt : 19971219 0000913355-97-000092.hdr.sgml : 19971219 ACCESSION NUMBER: 0000913355-97-000092 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970928 FILED AS OF DATE: 19971218 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: FARREL CORP CENTRAL INDEX KEY: 0000034645 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 222689245 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: SEC FILE NUMBER: 000-19703 FILM NUMBER: 97740281 BUSINESS ADDRESS: STREET 1: 25 MAIN STREET CITY: ANSONIA STATE: CT ZIP: 06401 BUSINESS PHONE: 2037365500 10-Q/A 1 AMENDMENT TO QUARTERLY REPORT ON FORM 10-Q SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 1 TO FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 28,1997 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 -19703 ---------------- FARREL CORPORATION ----------------------------------------------------------- (Exact name of registrant as specified in its charter) DELAWARE 22-2689245 -------- ---------- (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No.) 25 Main Street, Ansonia, Connecticut, 06401 ------------------------------------------- (Address of principal executive offices) (Zip Code) (203) 736-5500 (Registrant's telephone number, including area code) 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 ----- ----- APPLICABLE ONLY TO CORPORATE ISSUERS: ------------------------------------ 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 November 5, 1997 - ------------------------------------------------------------------------------ Common Stock (Voting), $.01 par value 5,942,482 EXPLANATORY NOTE This amendment to the Quarterly Report on Form 10-Q of Farrel Corporation for the quarter ended September 28, 1997 is being filed to correct a typographical error in a caption in Exhibit 11. Page 2 of 5 Exhibit 11 FARREL CORPORATION ------------------ STATEMENT RE COMPUTATION OF PER SHARE EARNINGS ----------------------------------------------- (In thousands, except per share and share data) -----------------------------------------------
Three Months Ended Nine Months Ended ------------------ ----------------- September 28, September 29, September 28, September 29, 1997 1996 1997 1996 ---- ---- ---- ---- Primary - ------- Net income/(loss) applicable to common stock $712 ($25) $1,476 ($1,014) ============ ============ ============ ============= Weighted average number of common shares outstanding during the period 5,949,457 5,962,876 5,952,973 5,971,312 Stock option and purchase plans 5,412 0 5,412 0 ------------ ------------ ------------ ------------- Total common and common equivalent shares outstanding 5,954,869 5,962,876 5,958,385 5,971,312 Net income/(loss) per common and common equivalent share - primary $0.12 ($0.00) (0.25) ($0.17) ============ ============ ============ ============= Fully Diluted - ------------- Net income/(loss) applicable to common stock $712 ($25) $1,476 ($1,014) ============ ============ ============ ============= Weighted average number of common shares outstanding during the period 5,949,457 5,962,876 5,952,973 5,971,312 Stock option and purchase plans 5,412 0 5,412 0 ------------ ------------ ------------ ------------- Total common and common equivalent shares outstanding 5,954,869 5,962,876 5,958,385 5,971,312 ============ ============ ============ ============= Net income/(loss) per common and common equivalent share - fully diluted $0.12 ($0.00) $0.25 ($0.17) ============ ============ ============ =============
Page 3 of 5 PART II - OTHER INFORMATION ITEM 2 - SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS ITEM 6 - EXHIBITS AND REPORTS ON FORM 8-K Exhibit 11 - (Regulation S-K) Computation of Earnings Per Share. See Page 3. Reports on Form 8-K No such reports were filed by the Company during the third quarter of 1997. Page 4 of 5 SIGNATURES PURSUANT TO THE REQUIREMENTS OF THE SECURITIES EXCHANGE ACT OF 1934, THE REGISTRANT HAS DULY CAUSED THIS AMENDMENT TO ITS REPORT TO BE SIGNED ON ITS BEHALF BY THE UNDERSIGNED THEREUNTO DULY AUTHORIZED. FARREL CORPORATION ------------------ REGISTRANT DATE: NOVEMBER 13, 1997 /S/ ROLF. K LIEBERGESELL ---------------- ---------------------------------------- ROLF K. LIEBERGESELL CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD DATE: NOVEMBER 13, 1997 /S/ CATHERINE M. BOISVERT ---------------- ---------------------------------------- CATHERINE M. BOISVERT VICE PRESIDENT AND CONTROLLER (CHIEF ACCOUNTING OFFICER) Page 5 of 5
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