10-K/A 1 form10k.txt SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A Amendment No.1 (Mark One) |X| Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended September 30, 2003 or |_| Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission file number 0-15235 MITEK SYSTEMS, INC. (Exact name of registrant as specified in its charter) Delaware 87-0418827 (State or other jurisdiction of (I.R.S Employer Identification No.) incorporation or organization) 14145 Danielson St., Suite B, Poway, CA 92064 (Address of principal executive offices) (Zip Code) (858) 513-4600 Registrant's telephone number, including area code None Securities registered pursuant to Section 12(b) of the Act Common Stock, par value $.001 per share Securities registered pursuant to Section 12(g) of the Act 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. Indicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act) Yes |_| No |X|. The aggregate market value of voting stock held by non-affiliates of the registrant was $8,632,803 as of March 31, 2003 (computed by reference to the last sale price of a share of the registrant's Common Stock on that date as reported by NASDAQ). There were 11,308,537 shares outstanding of the registrant's Common Stock as of December 3, 2003. Documents incorporated by reference in this report: Part II incorporates certain information by reference from the Annual Report to Stockholders for the year ended September 30, 2003. Part III incorporates certain information by reference from the Proxy Statement for the 2004 Annual Meeting of Stockholders. MITEK SYSTEMS, INC. FORM 10-K For The Fiscal Year Ended September 30, 2003 Part IV Item 15 Exhibits, Financial Statement Schedules and Reports on Form 8-K..... 3 Signatures.......................................................... 5 Page 2 EXPLANATORY NOTE On December 30, 2003, Mitek Systems, Inc. ("Mitek") filed its Annual Report on Form 10-K for the fiscal year ended September 30, 2003 (the "2003 10-K"). Mitek hereby amends the 2003 10-K to show the original auditor's consent as executed which was inadvertently originally filed without showing it was executed. The auditor's consent was not reissued for this amendment. No other amendments are or were made to the 2003 10-K. PART IV ITEM 15. EXHIBITS, FINANCIAL STATEMENTS, SCHEDULES, AND REPORTS ON FORM 8-K (a) (1) The following documents are included in the Company's Annual Report to Stockholders for the year ended September 30, 2003: Independent Auditors' Report Balance Sheets - As of September 30, 2003 and 2002 Statements of Operations - For the Years Ended September 30, 2003, 2002, and 2001 Statements of Stockholders' Equity - For the Years Ended September 30, 2003, 2002, and 2001 Statements of Cash Flows - For the Years Ended September 30, 2003, 2002, and 2001 Page 3 Notes to Financial Statements - For the years Ended September 30, 2003, 2002, and 2001 With the exception of the financial statements listed above and the other information incorporated by reference herein, the Annual Report to Stockholders for the fiscal year ended September 30, 2003, is not to be deemed to be filed as part of this report. (a) (2) Exhibits: 3.1 Certificate of Incorporation of Mitek Systems of Delaware Inc. (now Mitek Systems, Inc.), a Delaware corporation, as amended (1) 3.2 Bylaws of Mitek Systems, Inc. as Amended and Restated (1) 10.1 1986 Stock Option Plan (2) 10.2 1988 Non Qualified Stock Option Plan (2) 10.3 1996 Stock Option Plan(3) 10.4 1999 Stock Option Plan (4) 10.5 401(k) Plan (2) 13. Annual Report to Stockholders for the year ended September 30, 2003 (5) 23. Independent Auditors' Consent 31.1 Certification by Chief Executive Officer Pursuant to Section 13a-14(a) of the Sarbanes-Oxley Act of 2002 31.2 Certification by Chief Financial Officer Pursuant to Section 13a-14(a) of the Sarbanes-Oxley Act of 2002 32.1 Certification by Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 32.2 Certification by Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 Page 4 ---------- (1) Incorporated by reference from the exhibits to the Company' Annual Report on Form 10-K for the fiscal year ended September 30, 1985 (2) Incorporated by reference from the exhibits to the Company's Registration Statement on Form SB-2 originally filed with the SEC on July 9, 1996. (3) Incorporated by reference from the exhibits to the Company's Registration Statement on Form 10-K for the fiscal year ended September 30, 2001. (4) Incorporated by reference to the exhibits to the Company's Registration Statement on Form S-8 originally filed with the SEC on June 10, 1999. (5) Incorporated by reference from the Company's Annual Report on Form 10-K for the fiscal year ended September 30, 2003. Upon request, the Registrant will furnish a copy of any of the listed exhibits for $0.50 per page. (b) The following is a list of Current Reports on Form 8-K filed by the Company during the last quarter of the fiscal year ended September 30, 2003: Form 8-K filed with the Securities and Exchange Commission on July 23, 2003, under Item 7 and Item 9 announced Mitek Systems, Inc's preliminary financial results for the third fiscal quarter ended June 30, 2003. Form 8-K filed with the Securities and Exchange Commission on July 29, 2003, under Item 7 and Item 9 announced Mitek Systems, Inc.'s financial results for the third fiscal quarter ended June 30, 2003. SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. Dated: February 3, 2005 MITEK SYSTEMS, INC. By: /s/ James B. DeBello ------------------------------------- James B. DeBello, President, Chief Executive Officer Page 5