10-Q/A 1 j2124_10qa.htm 10-Q/A

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

Form 10-Q/A

(Amendment No. 1)

 

(Mark One)

ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the quarterly period ended April 30, 2003

 

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 000-28540

 

VERSANT CORPORATION

(Exact name of Registrant as specified in its charter)

 

California

 

94-3079392

(State or other jurisdiction of incorporation or organization)

 

(I.R.S. Employer Identification No.)

 

 

 

6539 Dumbarton Circle, Fremont, California 94555

(Address of principal executive offices) (Zip code)

 

 

 

(510) 789-1500

(Registrant’s telephone number, including area code):

 

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 ý No o

 

Indicate by check mark whether the Registrant is an accelerated filer (as defined in Rule 12b-2 of the Exchange Act).  Yes o No ý

 

As of June 4, 2003, there were outstanding 14,899,011 shares of the Registrant’s common stock, no par value.

 

EXPLANATORY NOTE

 

This Amendment No. 1 to the Registrant's Quarterly Report on Form 10-Q for the period ending April 30, 2003 is being filed solely to amend item 6 and include Exhibit 99.01 and Exhibit 99.02, the certifications required pursuant to 18 U.S.C. section 1350, as adopted pursuant to section 906 of The Sarbanes-Oxley Act of 2002, which the Company inadvertently did not include. No revisions have been made to the Registrant's financial statement or any other disclosure contained in such Quarterly report.

 

 

 



 

PART II.  OTHER INFORMATION

Item  6.  Exhibits and Reports on Form 8-K

 

(a)          Exhibits

 

The following exhibits are filed herewith:

 

Number

 

Title

 

 

 

99.01

 

Chief Executive Officer’s Certification Pursuant To 18 U.S.C. Section 1350, As Adopted Pursuant To Section 906 of The Sarbanes-Oxley Act of 2002

 

 

 

99.02

 

Chief Financial Officer’s Certification Pursuant To 18 U.S.C. Section 1350, As Adopted Pursuant To Section 906 of The Sarbanes-Oxley Act of 2002

 

 

(b)         Reports on Form 8-K

 

On May 28, 2003, we filed a report on Form 8-K regarding our results for the second quarter of fiscal 2003.

 

 

SIGNATURES

 

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.

 

 

 

VERSANT CORPORATION

 

 

 

Dated: June 17, 2003

 

 

/s/ Lee McGrath

 

 

 

Lee McGrath

 

 

Vice President Finance and Administration.

 

 

Chief Financial Officer, Treasurer and Secretary

 

 

(Duly Authorized Officer and Principal

 

 

Financial Officer)

 

2



 

Certification Pursuant To 15 U.S.C. Section 7241,
As Adopted Pursuant To
Section 302 of The Sarbanes-Oxley Act of 2002

 

I, Nick Ordon, certify that:

 

1.                                       I have reviewed this quarterly report on Form 10-Q/A of Versant Corporation (the “registrant”);

 

2.                                       Based on my knowledge, this quarterly report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this quarterly report;

 

3.                                       Based on my knowledge, the financial statements, and other financial information included in this quarterly report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this quarterly report;

 

4.                                       The registrant’s other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-14 and 15d-14) for the registrant and we have:

 

a)                                      Designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this quarterly report is being prepared;

 

b)                                     Evaluated the effectiveness of the registrant’s disclosure controls and procedures as of a date within 90 days prior to the filing date of this quarterly report (the “Evaluation Date”); and

 

c)                                      Presented in this quarterly report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date;

 

5.                                       The registrant’s other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant’s auditors and the audit committee of registrant’s board of directors (or persons performing the equivalent functions):

 

a)                                      All significant deficiencies in the design or operation of internal controls which could adversely affect the registrant’s ability to record, process, summarize and report financial data and have identified for the registrant’s auditors any material weaknesses in internal controls; and

 

b)                                     Any fraud, whether or not material, involving management personnel or other employees who have a

significant role in the registrant’s internal controls; and

 

6.                                       The registrant’s other certifying officers and I have indicated in this quarterly report whether there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses.

 

 

Date: June 17, 2003

 

 

 

By

 /s/ Nick Ordon

 

 

 

Nick Ordon

 

 

Chief Executive Officer

 

 

3



 

 

Certification Pursuant To 15 U.S.C. Section 7241,
As Adopted Pursuant To
Section 302 of The Sarbanes-Oxley Act of 2002

 

I, Lee McGrath, certify that:

 

1.                                       I have reviewed this quarterly report on Form 10-Q/A of Versant Corporation (the “registrant”);

 

2.                                       Based on my knowledge, this quarterly report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this quarterly report;

 

3.                                       Based on my knowledge, the financial statements, and other financial information included in this quarterly report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this quarterly report;

 

4.                                       The registrant’s other certifying officers and I are responsible for establishing and maintaining “disclosure controls and procedures” (as defined in Exchange Act Rules 13a-14 and 15d-14) for the registrant and we have:

 

a)                            Designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this quarterly report is being prepared;

 

b)                           Evaluated the effectiveness of the registrant’s disclosure controls and procedures as of a date within 90 days prior to the filing date of this quarterly report (the “Evaluation Date”); and

 

c)                            Presented in this quarterly report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date;

 

5.                                       The registrant’s other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant’s auditors and the audit committee of registrant’s board of directors (or persons performing the equivalent functions):

 

a)                            All significant deficiencies in the design or operation of internal controls which could adversely affect the registrant’s ability to record, process, summarize and report financial data and have identified for the registrant’s auditors any material weaknesses in internal controls; and

 

b)                            Any fraud, whether or not material, involving management personnel or other employees who have a significant role in the registrant’s internal controls; and

 

6.                                       The registrant’s other certifying officers and I have indicated in this quarterly report whether there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses.

 

 

Date: June 17, 2003

 

 

 

/s/ Lee McGrath

 

 

Lee McGrath

 

Chief Financial Officer

 

 

4



 

EXHIBIT INDEX

 

Exhibit
Number

 

Exhibit Description

 

Filed
Herewith

 

 

 

 

 

99.01

 

Chief Executive Officer’s Certification Pursuant To 18 U.S.C. Section 1350, As Adopted Pursuant To Section 906 of The Sarbanes-Oxley Act of 2002

 

X

 

 

 

 

 

99.02

 

Chief Financial Officer’s Certification Pursuant To 18 U.S.C. Section 1350, As Adopted Pursuant To Section 906 of The Sarbanes-Oxley Act of 2002

 

X

 

5