-----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, KK8s0P+F4Hef528dAShdp8UYErPpfqwWODbVJYcVqdvcQvShPUKsOrxDq8dXDP04 bkUWtXevGcyf8G7Ct9RfBw== 0000891618-96-002985.txt : 19961209 0000891618-96-002985.hdr.sgml : 19961209 ACCESSION NUMBER: 0000891618-96-002985 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19960628 FILED AS OF DATE: 19961206 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARMONIC LIGHTWAVES INC CENTRAL INDEX KEY: 0000851310 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 770201147 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 96676540 BUSINESS ADDRESS: STREET 1: 3005 BUNKER HILL LANE CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4089709880 10-Q/A 1 AMENDMENT #1 TO FORM 10-Q PERIOD JUNE 28, 1996 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A AMENDMENT NO. 1 (Mark One) [ X ] Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 28, 1996 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 No. 0-25826 HARMONIC LIGHTWAVES, INC. (Exact name of Registrant as specified in its charter) DELAWARE 77-0201147 (State of incorporation) (I.R.S. Employer Identification No.) 549 Baltic Way Sunnyvale, CA 94089 408-542-2500 (Address, including zip code, and telephone number, including area code, of Registrant's principal executive offices) -------------- 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 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 June 28, 1996 there were 10,120,161 shares of the Registrant's Common Stock outstanding. 1 2 The undersigned Registrant hereby amends its Quarterly Report on Form 10-Q, originally filed with the Securities and Exchange Commission on August 7, 1996 to include disclosure under Item 4 of Part II as set forth below. PART II OTHER INFORMATION ITEM 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS The following matters were approved at the Registrant's Annual Meeting of Stockholders held on May 15, 1996. (a) The following directors were elected:
Directors Votes For Votes Withheld - -------------------------------------------------------------------------------- Anthony J. Ley 7,184,927 - Josef Berger 7,184,927 - Moshe Nazarathy 7,107,132 77,795 Gill Cogan 7,183,770 1,157 E. Floyd Kvamme 7,184,927 - David A. Lane 7,184,727 200 Barry D. Lemieux 7,184,827 100
(b) The stockholders also approved the following proposal:
Number of Common Shares Voted Independent Accountants For Against Abstain - -------------------------------------------------------------------------------- (1) Ratification of Price Waterhouse LLP as independent accountants 7,202,691 2,825 35,036
2 3 SIGNATURE 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. Dated: December 2, 1996 HARMONIC LIGHTWAVES, INC. (Registrant) By: /s/ Robin N. Dickson -------------------------------------------- Robin N. Dickson Chief Financial Officer (Principal Financial and Accounting Officer) 3 -----END PRIVACY-ENHANCED MESSAGE-----