-----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, QgmpxFo3/MTBr6B4uiGQU1pN2WpOFbI/4rlSTWNN+Gnbvabefog6pwLyGKPtY15P FHGvXs0l8SxQV9mul9aaSQ== 0000892569-99-000045.txt : 19990112 0000892569-99-000045.hdr.sgml : 19990112 ACCESSION NUMBER: 0000892569-99-000045 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19990111 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MODTECH INC CENTRAL INDEX KEY: 0000864601 STANDARD INDUSTRIAL CLASSIFICATION: PREFABRICATED WOOD BLDGS & COMPONENTS [2452] IRS NUMBER: 330044888 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: SEC FILE NUMBER: 000-18680 FILM NUMBER: 99503961 BUSINESS ADDRESS: STREET 1: 2830 BARRETT AVE STREET 2: PO BOX 1240 CITY: PERRIS STATE: CA ZIP: 92370 BUSINESS PHONE: 9099434014 MAIL ADDRESS: STREET 1: 2830 BARRETT AVENUE STREET 2: P O BOX 1240 CITY: PERRIS STATE: CA ZIP: 92370 10-K/A 1 FORM 10-K AMENDMENT #2 DATED DECEMBER 31, 1997 1 Securities and Exchange Commission Washington, D.C. 20549 FORM 10-K/A-2 (Mark One) [X] Annual report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended DECEMBER 31, 1997 -------------------- [ ] 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. 000-18680 MODTECH, INC. (Name of registrant as specified in its charter) CALIFORNIA 33-0044888 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification Number) 2830 Barrett Avenue, Perris, California 92572 (Address of principal executive offices, including Zip Code) Registrant's telephone number, including area code: (909) 943-4014 Securities registered under Section 12(b) of the Exchange Act: NONE Securities registered under Section 12(g) of the Exchange Act: COMMON STOCK, $.01 PAR VALUE (Title of Class) Indicate by checkmark whether the registrant (1) 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 checkmark 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. [ ] The aggregate market value of the voting stock held by non-affiliates as of March 27, 1998, was $98,036,818. As of March 27, 1998, shares entitled to cast an aggregate of 9,856,169 votes were outstanding, including 9,856,169 shares of registrant's Common Stock. The documents incorporated by reference into this Form 10-K and the Parts hereof into which said documents are incorporated are: The information required by Part IV of Form 10-K is incorporated herein by reference to registrant's definitive proxy statement to be filed not later than 120 days after the end of the fiscal year covered hereby. 2 ITEM 14. EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K. (a) The following documents are filed as part of this report: 3. Exhibits. Exhibit Number Name of Exhibit ------- --------------- 3.1* Articles of Incorporation 3.2* Bylaws 10.1** Modtech, Inc.'s 1996 Stock Option Plan 10.3* Employment Agreement between the Company and Evan M. Gruber. 10.5*** Amendment to Loan and Security Agreement 10.10* Industrial Development Bond agreements 10.12* Lease between the Company and Pacific Continental Modular Enterprises, relating to the Barrett Street property in Perris, California. 10.13* Lease between the Company and Gerald Bashaw, relating to the Morgan Street Property in Perris, California. 10.14* Lease between the Company and BMG, relating to the property in Lathrop, California 10.15* Form of Indemnity Agreement between the Company and its executive officers and directors. - --------------- * Incorporated by reference from the Company's Registration Statement on Form S-1 filed with the Commission on June 5, 1990 (Commission File No. 33-35239). ** Incorporated by reference from the Company's Registration Statement on Form S-8 filed with the Commission on December 11, 1996 (Commission File No. 333-17623). *** Incorporated by reference from the Company's Registration Statement on Form S-1 filed with the Commission on October 9, 1997 (Commission File No. 333-37473). 2 3 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. Date: January 11, 1999. MODTECH, INC., a California corporation By: /s/ Evan M. Gruber --------------------------------------- Evan M. Gruber, Chief Executive Officer Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
Signature Title Date --------- ----- ---- /s/ Gerald B. Bashaw Director, Chairman of the Board January 11, 1999 - ---------------------------------- Gerald B. Bashaw /s/ Robert W. Campbell Director January 11, 1999 - ---------------------------------- Robert W. Campbell /s/ Daniel J. Donahoe Director January 11, 1999 - ---------------------------------- Daniel J. Donahoe /s/ James D. Goldenetz Director January 11, 1999 - ---------------------------------- James D. Goldenetz /s/ Evan M. Gruber Director, Chief Executive Officer January 11, 1999 - ---------------------------------- Evan M. Gruber /s/ Charles C. McGettigan Director January 11, 1999 - ---------------------------------- Charles C. McGettigan /s/ Myron A. Wick III Director January 11, 1999 - ---------------------------------- Myron A. Wick III
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