-----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, GWk9/24u1kkkUte68u5EZZP3XxQ1ARk2EM1zMjUJvPooj/fMXZBR8zr8pNb7B4MQ FV2rJSA83u03CMdWd7s0tw== 0000950152-97-004047.txt : 19970520 0000950152-97-004047.hdr.sgml : 19970520 ACCESSION NUMBER: 0000950152-97-004047 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19970516 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: LSI INDUSTRIES INC CENTRAL INDEX KEY: 0000763532 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC LIGHTING & WIRING EQUIPMENT [3640] IRS NUMBER: 310888951 STATE OF INCORPORATION: OH FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-13375 FILM NUMBER: 97610554 BUSINESS ADDRESS: STREET 1: 10000 ALLIANCE RD STREET 2: P O BOX 42728 CITY: CINCINNATI STATE: OH ZIP: 45242 BUSINESS PHONE: 5135796411 MAIL ADDRESS: STREET 1: 10000 ALLIANCE RD STREET 2: P O BOX 42728 CITY: CINCINNATI STATE: OH ZIP: 45242 FORMER COMPANY: FORMER CONFORMED NAME: LSI LIGHTING SYSTEMS INC DATE OF NAME CHANGE: 19891121 10-Q/A 1 LSI INDUSTRIES 1 FORM 10-Q/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 X QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES - ----- EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED DECEMBER 31, 1996. TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES - ----- EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM _______ TO _______. Commission File No. 0-13375 LSI Industries Inc. State of Incorporation - Ohio IRS Employer I.D. No. 31-0888951 10000 Alliance Road Cincinnati, Ohio 45242 (513) 793-3200 Indicate by checkmark 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, and (2) has been subject to such filing requirements for the past 90 days. YES __X__ NO _______ Common Shares, no par value. Shares Outstanding at January 30, 1997: 9,014,972. Page 1 2 This Form 10-Q for the period ended December 31, 1996 is being amended to correct some of the data originally filed in the Exhibit 27 Financial Data Schedule. PART II. OTHER INFORMATION ITEM 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITYHOLDERS At the Company's Annual Meeting of Shareholders held November 14, 1996, the following actions were taken by shareholders: 4.1 All persons nominated as Class B Directors were elected with the votes for each person being:
------------------------------------------------------------------------------------------------ Shares - Withheld Shares Name Shares For Authority Abstained ------------------------------------------------------------------------------------------------ Allen L. Davis 7,687,369 41,160 n/a ------------------------------------------------------------------------------------------------ James P. Sferra 7,684,434 44,095 n/a ------------------------------------------------------------------------------------------------ Donald E. Whipple 7,684,199 44,330 n/a ------------------------------------------------------------------------------------------------
4.2 The selection of Arthur Andersen LLP as independent public accountants for fiscal year 1997 was ratified by the following vote:
---------------------------------------------------------------------------------------- Shares For Shares Against Shares Abstained Broker Non-Votes ---------------------------------------------------------------------------------------- 7,699,268 21,301 7,960 n/a ----------------------------------------------------------------------------------------
ITEM 6. EXHIBITS AND REPORTS ON FORM 8-K a) Exhibits 11 Statement Re Computation of Earnings Per Share 27 Financial Data Schedule (b) Reports on Form 8-K No reports on Form 8-K have been filed during the quarter for which this Report is filed. [All other items required in Part II have been omitted because they are not applicable or are not required.] Page 2 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. LSI Industries Inc. BY: /s/ Robert J. Ready -------------------------------------- Robert J. Ready President and Chief Executive Officer (Principal Executive Officer) BY: /s/ Ronald S. Stowell -------------------------------------- Ronald S. Stowell Chief Financial Officer and Treasurer (Principal Financial and Accounting Officer) May 13, 1997 Page 3 EX-11 2 EXHIBIT 11 1 Exhibit 11 LSI INDUSTRIES INC. STATEMENT RE COMPUTATION OF EARNINGS PER SHARE (IN THOUSANDS, EXCEPT PER SHARE)
Three Months Ended Six Months Ended December 31 December 31 ------------------- ------------------- 1996 1995 1996 1995 ---- ---- ---- ---- NET INCOME Continuing operations $2,718 $2,693 $4,854 $4,887 Discontinued operations -- (1,500) -- (1,500) ------ ------ ------ ------ Net income $2,718 $1,193 $4,854 $3,387 ====== ====== ====== ====== AVERAGE SHARES OUTSTANDING Weighted average shares outstanding during the period 9,017 7,622 9,006 7,602 Common Share Equivalents Common Shares to be issued under Stock Option Plan 132 384 187 378 ------- ------ ------- ------ Average Shares Outstanding 9,149 8,006 9,193 7,980 ======= ====== ======= ====== NET INCOME PER SHARE Continuing operations $ .30 $ .34 $ .53 $ .61 Discontinued operations -- (.19) -- (.19) ------- ------ ------- ------ Net income per share $ .30 $ .15 $ .53 $ .48 ======= ====== ======= ======
Note: Calculated using the "Treasury Stock" method as if options were exercised and the funds were used to purchase Common Shares at the average market price during the period. Page 4 EX-27 3 EXHIBIT 27
5 THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM FORM 10-Q FOR THE PERIOD ENDED DECEMBER 31, 1996 AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH FINANCIAL STATEMENTS. 0000763532 LSI INDUSTRIES INC. 6-MOS JUN-30-1997 JUL-01-1996 DEC-31-1996 12,317 0 24,943 449 19,427 58,007 32,859 (12,605) 79,560 17,890 1,322 0 0 28,279 30,336 79,560 74,424 74,424 49,026 17,827 26 0 (247) 7,792 2,938 4,854 0 0 0 4,854 .53 .53
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