-----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, LDkwGwMrJkyX6ID54A3PJvqgp0atJm700K3tSDsHlYELnOQLV0Y3ZiXDcKd9vXa1 Gj4qFVepqtXgVcU76ZcXRQ== 0000927016-98-001318.txt : 19980401 0000927016-98-001318.hdr.sgml : 19980401 ACCESSION NUMBER: 0000927016-98-001318 CONFORMED SUBMISSION TYPE: 10-K405/A PUBLIC DOCUMENT COUNT: 7 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19980331 SROS: NYSE FILER: COMPANY DATA: COMPANY CONFORMED NAME: EMC CORP CENTRAL INDEX KEY: 0000790070 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 042680009 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K405/A SEC ACT: SEC FILE NUMBER: 001-09853 FILM NUMBER: 98582304 BUSINESS ADDRESS: STREET 1: 171 SOUTH STREET CITY: HOPKINTON STATE: MA ZIP: 01748-9103 BUSINESS PHONE: 5084351000 MAIL ADDRESS: STREET 1: 171 SOUTH STREET CITY: HOPKINTON STATE: MA ZIP: 01748-9103 10-K405/A 1 AMENDMENT NO. 1 TO FORM 10-K - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A AMENDMENT NO. 1 TO FORM 10-K ANNUAL REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED: DECEMBER 31, 1997 COMMISSION FILE NUMBER 1-9853 EMC CORPORATION (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) MASSACHUSETTS 04-2680009 (STATE OR OTHER JURISDICTION (I.R.S. EMPLOYER OF ORGANIZATION OR INCORPORATION) IDENTIFICATION NUMBER) 35 PARKWOOD DRIVE HOPKINTON, MASSACHUSETTS 01748 (ADDRESS OF PRINCIPAL EXECUTIVE OFFICES, INCLUDING ZIP CODE) (508) 435-1000 (REGISTRANT'S TELEPHONE NUMBER, INCLUDING AREA CODE) SECURITIES REGISTERED PURSUANT TO SECTION 12(B) OF THE ACT: TITLE OF EACH CLASS: NAME OF EACH EXCHANGE ON WHICH REGISTERED: ------------------- ----------------------------------------- Common Stock, $.01 par value New York Stock Exchange 3 1/4% Convertible Subordinated New York Stock Exchange Notes due 2002 SECURITIES REGISTERED PURSUANT TO SECTION 12(G) OF THE ACT: None 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 ----- ----- 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 definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. [X] The aggregate market value of voting stock held by nonaffiliates of the registrant was $15,839,114,391 as of January 31, 1998. The number of shares of Common Stock, $.01 par value, outstanding as of January 31, 1998 was 497,058,098. DOCUMENTS INCORPORATED BY REFERENCE The information required in response to Part III of Form 10-K is hereby incorporated by reference to the specified portions of the registrant's Proxy Statement for the Annual Meeting of Stockholders to be held on May 6, 1998. - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- SIGNATURES PURSUANT TO THE REQUIREMENTS OF SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934, EMC CORPORATION HAS DULY CAUSED THIS REPORT TO BE SIGNED ON ITS BEHALF BY THE UNDERSIGNED, THEREUNTO DULY AUTHORIZED ON MARCH 30, 1998. EMC CORPORATION /s/ William J. Teuber, Jr. By: _________________________________ WILLIAM J. TEUBER, JR. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (PRINCIPAL ACCOUNTING OFFICER) 47 The exhibits listed below are filed with or incorporated by reference in this report. 27.1 Restated Financial Data Schedule (filed herewith). 27.2 Restated Financial Data Schedule (filed herewith). 27.3 Restated Financial Data Schedule (filed herewith). 27.4 Restated Financial Data Schedule (filed herewith). 27.5 Restated Financial Data Schedule (filed herewith).
- -------- 50 EX-27 2 RESTATED FINANCIAL DATA SCHEDULE
5 THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM BALANCE SHEET AND STATEMENT OF OPERATIONS AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH FINANCIAL STATEMENTS. 1,000 YEAR DEC-31-1997 DEC-31-1996 DEC-31-1997 954,595 686,038 788,869 6,773 404,660 2,627,026 396,511 89,632 3,490,109 505,870 517,500 0 0 4,968 2,371,333 3,490,109 2,862,646 2,937,860 1,571,012 1,571,012 704,936 0 15,463 718,037 179,509 538,528 0 0 0 538,528 1.09 1.04
EX-27.1 3 RESTATED FINANCIAL DATA SCHEDULE
5 THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM STATEMENT OF OPERATIONS AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH FINANCIAL STATEMENTS. YEAR YEAR DEC-31-1994 DEC-30-1995 JAN-02-1994 JAN-01-1995 DEC-31-1994 DEC-30-1995 240,506 379,628 0 0 367,463 557,535 6,272 7,062 251,096 330,160 901,805 1,318,955 253,405 346,596 80,389 127,695 1,317,500 1,745,729 301,464 359,360 286,106 245,845 0 0 0 0 4,035 4,650 721,589 1,135,651 1,317,500 1,745,729 1,377,492 1,921,275 1,377,492 1,921,275 660,034 1,002,876 660,034 1,002,876 366,926 482,620 0 0 15,311 12,857 355,384 450,821 104,716 123,976 250,668 326,845 0 0 0 0 0 0 250,668 326,845 0.65 0.73 0.55 0.67
EX-27.2 4 RESTATED FINANCIAL DATA SCHEDULE
5 THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM STATEMENT OF OPERATIONS AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH FINANCIAL STATEMENTS. 3-MOS 6-MOS DEC-31-1996 DEC-31-1996 JAN-01-1996 JAN-01-1996 MAR-30-1996 JUN-29-1996 478,759 500,162 127,382 0 507,876 531,530 7,415 7,750 316,995 282,435 1,358,148 1,372,276 234,244 244,215 13,639 36,275 1,852,460 1,937,816 356,099 350,557 229,598 229,498 0 0 0 0 4,671 4,671 1,215,867 1,303,065 1,852,460 1,937,816 509,184 1,042,419 521,487 1,066,504 293,164 598,105 293,164 841,977 117,081 3 0 0 3,059 6,056 114,715 232,834 30,170 61,235 84,545 171,599 0 0 0 0 0 0 84,545 171,599 0.18 0.37 0.17 0.35
EX-27.3 5 RESTATED FINANCIAL DATA SCHEDULE
5 THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM STATEMENT OF OPERATIONS AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH FINANCIAL STATEMENTS. 9-MOS DEC-31-1996 JAN-01-1996 SEP-30-1996 593,407 0 564,412 6,866 303,290 1,521,094 256,210 63,204 2,088,551 390,168 229,498 0 0 4,671 1,395,027 2,088,551 1,578,698 1,617,258 904,543 1,279,834 0 0 9,101 352,315 90,369 261,946 0 0 0 261,946 0.57 0.54
EX-27.4 6 RESTATED FINANCIAL DATA SCHEDULE
5 THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM STATEMENT OF OPERATIONS AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH FINANCIAL STATEMENTS. YEAR 3-MOS DEC-31-1996 DEC-31-1997 JAN-01-1996 JAN-01-1997 DEC-31-1996 MAR-30-1997 496,377 700,526 344,481 515,069 627,409 644,269 7,368 7,517 336,581 442,328 1,754,136 2,363,252 276,387 294,459 52,899 26,241 2,293,546 2,948,809 417,502 456,363 142,720 517,500 0 0 0 0 4,765 4,923 1,632,024 1,887,211 2,293,546 2,948,809 2,218,292 600,900 2,273,652 618,437 1,248,950 335,985 1,248,950 481,700 528,161 0 0 0 11,967 1,402 519,474 149,116 133,245 38,248 386,229 110,868 0 0 0 0 0 0 386,229 110,868 0.83 0.23 0.79 0.22
EX-27.5 7 RESTATED FINANCIAL DATA SCHEDULE
5 THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM STATEMENTS OF OPERATIONS AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH FINANCIAL STATEMENTS. 6-MOS 9-MOS DEC-31-1997 DEC-31-1997 JAN-01-1997 JAN-01-1997 JUN-30-1997 SEP-30-1997 759,126 971,241 409,424 361,607 701,608 663,114 7,612 7,519 446,985 449,024 2,384,667 2,509,146 318,769 338,583 59,635 95,499 3,041,625 3,175,496 408,526 383,456 517,500 517,500 0 0 0 0 4,934 4,959 2,029,751 2,187,562 3,041,625 3,175,496 1,295,411 2,009,360 1,331,898 2,064,468 720,530 1,111,808 1,034,331 1,604,233 0 0 0 0 6,042 10,748 322,349 500,725 82,682 128,436 239,667 372,289 0 0 0 0 0 0 239,667 372,289 0.49 0.76 0.47 0.72
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