10-Q/A

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 10-Q/A
(Amendment No.1)

(Mark One)

þ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

For the quarterly period ended June 30, 2003

o 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 0-10120

FAFCO, Inc.
(Exact name of Registrant as specified in its charter)

California
(State or other jurisdiction of incorporation or organization) 94-2159547
(I.R.S. Employer Identification No.)

435 Otterson Drive, Chico, California 95928
(Address, including zip code, of Registrant’s principal executive offices)

(530) 332-2100
(Company’s telephone number, including area code)

Indicate by check mark whether the Company (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 Company was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.

Yes                      þ                      No

Indicate by check mark whether the registrant is on accelerated filer (as defined in Rule 12b-2 of the Exchange Act).

Yes                      No                      þ

At July 31,2003, 3,891,529 shares of the Company’s Common Stock, $.125 par value were issued and outstanding.

TABLE OF CONTENTS

EXPLANATORY NOTE
PART II — OTHER INFORMATION
	Item 6 — Exhibits and Reports on Form 8-K
SIGNATURE
EXHIBIT 31.1
EXHIBIT 31.2

EXPLANATORY NOTE

The Registrant hereby files this Amendment No. 1 to its Quarterly Report on Form 10-Q for the period ended June 30, 2003 to revise the certifications of our president and chief executive officer and of our chief financial officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. All other information contained in our original Form 10-Q remains unchanged.

PART II – OTHER INFORMATION

Item 6 – Exhibits and Reports on Form 8-K

a. Exhibits

31.1	CEO Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
31.2	CFO Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
99.3	Certification by CEO and CFO pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (previously filed)

b. Reports on Form 8-K

No reports on Form 8-K were filed during the quarter ended June 30, 2003.

SIGNATURE

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.

		FAFCO, Inc. (Registrant)
DATE:	August 15, 2003	BY:	/s/ Freeman A. Ford
			Chairman of the Board, President and Chief Executive Officer (Principal Executive Officer)
DATE:	August 15, 2003	BY:	/s/ Nancy I. Garvin
			Nancy I. Garvin, Vice President — Finance (Principal Financial and Accounting Officer)

Exhibit Index

31.1	CEO Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
31.2	CFO Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
99.3	Certification by CEO and CFO pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (previously filed)

EX-31.1

Exhibit 31.1

CERTIFICATION FOR QUARTERLY REPORTS ON FORM 10-Q

I, Freeman A. Ford, certify that:

1.     I have reviewed this quarterly report on Form 10-Q of FAFCO, Inc. (“Registrant”);

2.     Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3.     Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the Registrant as of, and for, the periods presented in this report;

4.     The Registrant’s other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) for the Registrant and have:

a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the Registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

b) Evaluated the effectiveness of the Registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and

c) Disclosed in this report any change in the Registrant’s internal control over financial reporting that occurred during the Registrant’s most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the Registrant’s internal control over financial reporting; and

5.     The Registrant’s other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the Registrant’s auditors and the audit committee of Registrant’s board of directors (or persons performing the equivalent function):

a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the Registrant’s ability to record, process, summarize and report financial information; and,

b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the Registrant’s internal controls over financial reporting.

Date: August 15, 2003

BY:	/s/ Freeman A. Ford
	Chairman of the Board, President and Chief Executive Officer (Principal Executive Officer)

EX-31.2 4 f92556a1exv31w2.htm EXHIBIT 31.2

Exhibit 31.2

CERTIFICATION FOR QUARTERLY REPORTS ON FORM 10-Q

I, Nancy I. Garvin, certify that:

1.     I have reviewed this quarterly report on Form 10-Q of FAFCO, Inc. (“Registrant”);

2.     Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3.     Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the Registrant as of, and for, the periods presented in this report;

4.     The Registrant’s other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-14 and 15d-14) for the Registrant and have:

a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the Registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

b) Evaluated the effectiveness of the Registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and

c) Disclosed in this report any change in the Registrant’s internal control over financial reporting that occurred during the Registrant’s most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the Registrant’s internal control over financial reporting; and

5.     The Registrant’s other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the Registrant’s auditors and the audit committee of Registrant’s board of directors (or persons performing the equivalent function):

a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the Registrant’s ability to record, process, summarize and report financial information; and

b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the Registrant’s internal controls over financial reporting.

Date: August 15, 2003

BY:	/s/ Nancy I. Garvin
	Nancy I. Garvin, Vice President — Finance (Principal Financial and Accounting Officer)

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EX-31.2

Exhibit 31.2