-----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, RUJXMoKpNuDvdsViO9jOH/9ogRpSyqUZD2o0MLxsIkNLV2d1HnlTn360sUBCdKnd lyTb+Pl9CTLlif3RnF6YzA== 0001012870-98-000506.txt : 19980219 0001012870-98-000506.hdr.sgml : 19980219 ACCESSION NUMBER: 0001012870-98-000506 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19980218 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED MICRO CIRCUITS CORP CENTRAL INDEX KEY: 0000711065 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 942586591 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: SEC FILE NUMBER: 000-23193 FILM NUMBER: 98544880 BUSINESS ADDRESS: STREET 1: 6290 SEQUENCE DR CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 6194509333 MAIL ADDRESS: STREET 1: 6290 SEQUENCE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 10-Q/A 1 FORM 10-Q/A APPLIED MICRO CIRCUITS CORPORATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ___________ FORM 10-Q/A [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL QUARTER ENDED DECEMBER 31, 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: 000-23193 ___________ APPLIED MICRO CIRCUITS CORPORATION (Exact name of Registrant as specified in its charter) DELAWARE 94-2586591 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No.) 6290 SEQUENCE DRIVE SAN DIEGO, CA 92121 (Address of principal executive offices) Registrant's telephone number, including area code: (619) 450-9333 ___________ 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, as amended (the "Exchange Act") 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 ___ ----- As of February 18, 1998, 20,995,781 shares of the Registrant's Common Stock were issued and outstanding. * The Registrant has been subject to such filing requirements since November 24, 1997, the effective date of the Registrant's Registration Statement on Form 8-A. APPLIED MICRO CIRCUITS CORPORATION INDEX PAGE ---- Part II. OTHER INFORMATION Item 2. Changes in Securities and Use of Proceeds......................... 3 ================================================================================ The Registrant hereby amends the following item of its Form 10-Q for the quarterly period ended December 31, 1997 previously filed with the Securities and Exchange Commission. APPLIED MICRO CIRCUITS CORPORATION PART II. OTHER INFORMATION ITEM 2. CHANGES IN SECURITIES AND USE OF PROCEEDS Use of Proceeds (1) The Company filed a Registration Statement on Form S-1 (the "Registration Statement"), File No. 333-37609, which was declared effective by the Securities and Exchange Commission on November 24, 1997. (2) The offering pursuant to the Registration Statement commenced on November 25, 1997. (3) (i) The offering has terminated but did not do so before the sale of all securities registered pursuant to the Registration Statement. (ii) The managing underwriters of the offering were BancAmerica Robertson Stephens, NationsBanc Montgomery Securities LLC, and Cowen & Company. (iii) Pursuant to the Registration Statement, the Company registered its Common Stock. (iv) Pursuant to the Registration Statement, the Company registered 6,385,950 shares of Common Stock. Of such shares of Common Stock, 3,538,448 shares were sold by the Company and 2,847,502 shares were sold by certain stockholders of the Company. (v) From November 24, 1997 to December 31, 1997, the Company incurred $3,196,718 of total expenses in connection with the offering as follows: (1) $1,981,531 in underwriting discounts and commissions; and (2) $1,215,187 in other expenses (not including finders' fees or expenses paid to or for the underwriters). All of such expenses were direct or indirect payments to others. (vi) The net offering proceeds to the Company after deducting total expenses in clause (v) above were $25,110,866. (vii) The Company has invested the net offering proceeds of $25,110,866 in short-term investments consisting of United States Treasury Notes, obligations of United States government agencies and corporate bonds with maturities ranging from January 2, 1998 to December 19, 2000. (viii) The use of proceeds in clause (vii) does not represent a material change in the use of proceeds described in the prospectus of the Registration Statement. -3- 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. Date: February 18, 1998 Applied Micro Circuits Corporation By: /s/ Joel O. Holliday ----------------------------------- Joel O. Holliday Vice President, Finance and Administration And Chief Financial Officer (Duly Authorized Signatory and Principal Financial and Accounting Officer) -4- -----END PRIVACY-ENHANCED MESSAGE-----