-----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, Fa2HJqTdo0eJQYzLs2GZEHPj18BQQbzIFgOQc7+VntEubN0cRTNsc2nt8pA0LbzN /tN9WVJoVXFvp+sIPuC5gw== 0000703360-97-000006.txt : 19970513 0000703360-97-000006.hdr.sgml : 19970513 ACCESSION NUMBER: 0000703360-97-000006 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19970512 SROS: NYSE FILER: COMPANY DATA: COMPANY CONFORMED NAME: LSI LOGIC CORP CENTRAL INDEX KEY: 0000703360 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 942712976 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-10317 FILM NUMBER: 97601279 BUSINESS ADDRESS: STREET 1: 1551 MCCARTHY BLVD STREET 2: MS D 106 CITY: MILPITAS STATE: CA ZIP: 95035 BUSINESS PHONE: 4084334039 MAIL ADDRESS: STREET 1: 1551 MCCARTHY BLVD STREET 2: MS D 106 CITY: MILPITAS STATE: CA ZIP: 95035 10-K/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A AMENDMENT NO.1 ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 1996 Commission File Number: 0-11674 LSI LOGIC CORPORATION (Exact name of registrant as specified in its charter) Delaware 94-2712976 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No.) 1551 McCarthy Boulevard Milpitas, California 95035 (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: (408) 433-8000 Securities registered pursuant to Section 12(b) of the Act: Name of each Exchange Title of each class on which registered Common Stock, $0.01 par value New York Stock Exchange Preferred Share Purchase Rights New York Stock Exchange Securities registered pursuant to Section 12(g) of the Act: NONE (Title of Class) 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 requirement 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 the definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to this Form 10-K. [X] The aggregate market value of the voting stock held by non-affiliates of the registrant, based upon the closing price of the Common Stock on March 14, 1997 as reported on the New York Stock Exchange, was approximately $4,274,366,613. Shares of Common Stock held by each executive officer and director and by each person who owns 5% or more of the outstanding Common Stock have been excluded in that such persons may be deemed to be affiliates. This determination of affiliate status is not necessarily a conclusive determination for other purposes. As of March 14, 1997, registrant had 129,390,793 shares of Common Stock outstanding. This Form 10-K/A is being filed in order to restate Part III, Item 10 of the Registrant's Annual Report on Form 10-K for the year ended December 31, 1996, previously filed with the Commission. PART III Item 10. Directors and Executive Officers of the Registrant The information concerning the Company's directors required by this Item is incorporated by reference to "ELECTION OF DIRECTORS--Nominees" in the Company's Proxy Statement. The executive officers of the Company, who are elected by and serve at the discretion of the Board of Directors, are as follows: Name Age Position Employed Since Wilfred J. Corrigan 59 Chairman and 1981 Chief Executive Officer Moshe N. Gavrielov 42 Executive Vice President, 1988 LSI Logic Products Cyril F. Hannon 58 Executive Vice President, 1984 Worldwide Operations W. Richard Marz 53 Executive Vice President, 1995 Geographic Markets R. Douglas Norby 61 Executive Vice President and 1996 Chief Financial Officer David E. Sanders 49 Vice President, General 1986 Counsel and Secretary Lewis C. Wallbridge 53 Vice President, 1984 Human Resources Except as set forth below, all of the officers have been associated with the Company in their present position for more than the past five years. Moshe N. Gavrielov has been employed with the Company since November 1988. In May 1996, Mr. Gavrielov was named Executive Vice President, LSI Logic Products. From February 1996 until May 1996, Mr. Gavrielov served as Senior Vice President and General Manager of International Marketing and Sales. From November 1994 until February 1996, Mr. Gavrielov held the position of Senior Vice President, General Manager, for the Company's European subsidiary, LSI Logic Europe plc. Mr. Gavrielov was named Vice President, ASIC Engineering, in January 1991. From January 1991 until December 1991, Mr. Gavrielov was Director, MIPS Engineering. In September 1995, W. Richard Marz was named Senior Vice President, North American Marketing and Sales. From June 1986 until September 1995, Mr. Marz was Vice President, Sales & Marketing/The Americas, at Advanced Micro Devices, Inc., a semiconductor manufacturer. Mr. Norby has served as Executive Vice President and Chief Financial Officer of the Company since November 1996. From September 1993 until November 1996, Mr. Norby served as Senior Vice President and Chief Financial Officer of Mentor Graphics Corporation. From July 1992 until September 1993, Mr. Norby served as President and Chief Executive Officer of Pharmetrix Corporation, a health care company located in Menlo Park, California. Mr. Norby served as President and Chief Operating Officer of Lucasfilm, Ltd. from February 1985 until May 1992. Additionally, from 1989 until May 1992, Mr. Norby served as Chairman, President and Chief Executive Officer of LucasArts Entertainment Company, a subsidiary of Lucasfilm, Ltd. Mr. Norby has served as a member of the Board of Directors of the Company since 1993. He also sits on the Board of Directors of Epitope, Inc. SIGNATURES 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. LSI LOGIC CORPORATION Dated: May 8, 1997 By: ___/s/ DAVID E. SANDERS___________ David E. Sanders, Esq. Vice President, General Counsel and Secretary Pursuant to the requirements of the Securities Exchange Act of 1934, this Report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated. Signature Title Date /s/ WILFRED J. CORRIGAN (Wilfred J. Corrigan) Chairman of the Board and Chief Executive Officer (Principal Executive Officer) May 8, 1997 /s/ R. DOUGLAS NORBY (R. Douglas Norby) Executive Vice President and Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer); Director May 8, 1997 /s/ T.Z. CHU (T.Z. Chu) Director May 8, 1997 /s/ MALCOLM R. CURRIE (Malcolm R. Currie) Director May 8, 1997 /s/ JAMES H. KEYES (James H. Keyes) Director May 8, 1997 By __/s/ DAVID E. SANDERS___________________ David E. Sanders, Attorney in Fact 4 3 -----END PRIVACY-ENHANCED MESSAGE-----