10-K/A 1 c14610e10vkza.htm AMENDMENT TO ANNUAL REPORT e10vkza
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U.S. Securities and Exchange Commission
Washington, D.C. 20549
Form 10-K/A
(Amendment No. 1 to Form 10-K)
     
þ   Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
For the fiscal year ended December 31, 2006
Or
     
o   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 0-19467
Enpath Medical, Inc.
(Exact name of registrant as specified in its charter)
     
Minnesota
State or other jurisdiction of incorporation or
organization)
  41-1533300
(IRS Employer Identification No.)
2300 Berkshire Lane North, Plymouth, Minnesota 55441
(Address of principal executive office, including zip code)
(763) 951-8181
(Registrant’s telephone number, including area code)
Securities Registered Pursuant to Section 12(b) of the Act:
Common Stock, $.01 Par Value
Securities Registered Pursuant to Section 12(g) of the Act:
None
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.
Yes o    No þ.
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act.
Yes o    No þ.
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 þ    No o
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 o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer. See definition of “accelerated filer and large accelerated filer” in Rule 12b-2 of the Exchange Act. (Check one)
Large accelerated filer o     Accelerated filer o    Non-accelerated filer þ
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).
Yes o     No þ
The aggregate market value of the common stock held by non-affiliates of the issuer as of June 30, 2006, the last day of the second quarter of the past fiscal year, was approximately $67,769,000.
Shares of Common Stock outstanding at March 14, 2007: 6,369,117 shares
Documents incorporated by reference:
Portions of the issuer’s Proxy Statement for the Annual Meeting of Shareholders scheduled for May 3, 2007 are incorporated by reference into Part III of this Form 10-K.
 
 

 


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SIGNATURES
Employment Agreement with John C. Hertig
Employment Agreement with Scott P. Younstrom
Employment Agreement with Steven D. Mogensen
Employment Agreement with Michael P. Winegar
Employment Agreement with Michael D. Erdmann
Employment Agreement with Mark C. Kraus
302 Certification of Principal Executive Officer
302 Certification of Principal Financial Officer
Section 906 Certification


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Enpath Medical, Inc. is filing this Amendment No. 1 on Form 10-K/A (Amendment No. 1”) to include in our Annual Report on Form 10-K for the year ended December 31, 2006 filed with the Securities and Exchange Commission (the “SEC”) on March 19, 2007 (the “Original Filing”), Exhibits 10.2, 10.3, 10.4, 10.5 and 10.6. The Original Filing incorrectly indicated that these exhibits were incorporated by reference. In addition, we are filing a new Exhibit 10.23, Employment Agreement dated December 12, 2006 between the Company and Mark C. Kraus.
Other than the filing of these Exhbits, no changes have been made to the Original Filing. This Amendment No. 1 does not reflect events occurring after the Original Filing or modify or update those disclosures affected by subsequent events.
     
Exhibit #   Description
*10.2
  Employment agreement dated December 12, 2006 between the Company and John C. Hertig.
 
   
*10.3
  Employment agreement dated December 12, 2006 between the Company and Scott P. Youngstrom.
 
   
*10.4
  Employment agreement dated December 12, 2006 between the Company and Steven D. Mogensen.
 
   
*10.5
  Employment agreement dated December 12, 2006 between the Company and Michael P. Winegar.
 
   
*10.6
  Employment agreement dated December 12, 2006 between the Company and Michael D. Erdmann.
 
   
*10.23
  Employment agreement dated December 12, 2006 between the Company and Mark C. Kraus
     
31.1
  Certification of principal executive officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (Rules 13a-14 and 15d-14 of the Securities Exchange Act of 1934).
 
   
31.2
  Certification of principal financial officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (Rules 13a-14 and 15d-14 of the Securities Exchange Act of 1934).
 
   
32
  Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (18 U.S.C. § 1350).
 
    *Indicates a management contract or compensatory plan or arrangement

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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:
     
 
  Enpath Medical, Inc.
 
   
Date: April 27, 2007
  By: /s/ John C. Hertig
 
  Chief Executive Officer

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