-----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, S/tbWVnuoVWGNV1bkqlxQ2t9otVSewjh4JYwOdWnNiqpgYfrEXAbzGb+ppbqjeew L+uel9+yaJz7UKt+LZP7pw== 0000891618-96-001878.txt : 19960928 0000891618-96-001878.hdr.sgml : 19960928 ACCESSION NUMBER: 0000891618-96-001878 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19960630 FILED AS OF DATE: 19960821 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: ABAXIS INC CENTRAL INDEX KEY: 0000881890 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 770213001 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-19720 FILM NUMBER: 96618684 BUSINESS ADDRESS: STREET 1: 1320 CHESAPEAKE TERRACE CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4087340200 MAIL ADDRESS: STREET 2: 1320 CHESAPEAKE TERRACE CITY: SUNNYVALE STATE: CA ZIP: 94089 10-Q/A 1 FORM 10-Q/A AMENDMENT NO.1 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ------------------------------------ FORM 10-Q/A Amendment No. 1 to: (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 30, 1996. / / 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 000-19720 ABAXIS, INC. (Exact name of registrant as specified in its charter) CALIFORNIA 77-0213001 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No.) 1320 CHESAPEAKE TERRACE SUNNYVALE, CALIFORNIA 94089 (Address of principal executive offices) TELEPHONE: (408) 734-0200 (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 X No ----- ----- At August 5, 1996, 9,878,553 shares of common stock, no par value, of the registrant were outstanding. This report on Form 10-Q/A, including all exhibits, contains 7 pages. The exhibit index commences on page 4. 1 2 FORM 10-Q/A Amendment No. 1 The undersigned registrant hereby amends the following items of its Quarterly Report on Form 10-Q for the quarter ended June 30, 1996: 1. Part II, Item 6(a) is hereby amended to read in its entirety as follows: (a) Exhibits The following documents are exhibits to this Form 10-Q Exhibit Number Description of Document - ------ ----------------------- 3.1 Restated Articles of Incorporation dated January 30, 1992. (5) 3.2 By-laws of the Company. (1) 10.1 Registration Rights Agreement dated January 8, 1992 as amended. (1) 10.2 Stock Purchase Agreement related to the sale of Series A Preferred Stock dated April 28, 1989. (1) 10.3 Stock Purchase Agreement related to the sale of Series B Preferred Stock dated July 20, 1990. (1) 10.4 Stock Purchase Agreement related to the sale of Series C Preferred Stock dated December 4, 1991. (1) 10.5 1989 Stock Option Plan as amended and forms of agreement. (3) 10.6 1992 Outside Directors Stock Option Plan and forms of agreement. (4) 10.7 401(k) Plan. (1) 10.8 Lease Agreement between Company and South Bay/Caribbean dated March 11, 1992. (3) 10.9 Secured Loan Agreement between the Company and Silicon Valley Bank dated September 11, 1992. (4) 10.10 Amendment to Line of Credit Agreement between the Company and Silicon Valley Bank dated September 28, 1993. (7) 10.11 Exclusive License Agreement dated July 28, 1989 between the Company and Martin Marietta Energy Systems, Inc. (1) (2) 10.12 Extension through June 29, 1995 to the Exclusive License Agreement dated July 28, 1989 between the Company and Martin Marietta Energy Systems, Inc. (5) 10.13 Exclusive Distribution Agreement dated September 20, 1991 between the Company and Teramecs. (1) (2) 10.14 Sponsored Research Agreement dated as of September 20, 1991 between the Company and Teramecs. (1) (2) 10.15 Development Agreement between the Company and Becton Dickinson and Company (through its Becton Dickinson Immunocytometry Systems Division) dated April 9, 1993. (5) (6) 10.16 Distribution Agreement between the Company and VedCo., Inc. dated June 20, 1994. (2) (8) 10.17 Supply Agreement between the Company and Becton Dickinson and Company (through its Becton Dickinson Immunocytometry Systems Division) dated September 16, 1994. (6) (9) 10.18 License Agreement between the Company and Pharmacia Biotech, Inc. dated October 1, 1994 (6) (9) 2 3 10.19 Employment Agreement with Mr. Gary H. Stroy dated May 11, 1995. (10) 27.1 Financial Data Schedule - ---------------------- (1) Incorporated by reference from Registration Statement No. 33-44326 filed December 11, 1991. (2) Confidential treatment of certain portions of the agreements has been granted. (3) Incorporated by reference from the Company's Annual Report on Form 10-K for the fiscal year ended March 31, 1992. (4) Incorporated by reference from the Company's Quarterly Report on Form 10-Q for the quarter ended September 30, 1992. (5) Incorporated by reference from the Company's Annual Report on Form 10-K for the Fiscal year ended March 31, 1993. (6) Confidential treatment of certain portions of these agreements has been granted. (7) Incorporated by reference from the Company's Quarterly Report on Form 10-Q for the fiscal year ended March 31, 1993. (8) Incorporated by reference from the Company's Annual Report on Form 10-K for the fiscal year ended March 31, 1994. (9) Incorporated by reference from the Company's Quarterly Report on Form 10-Q for the quarter ended September 30, 1994. (10) Incorporated by reference from the Company's Annual Report on Form 10-K for the fiscal year ended March 31, 1995. 2. Exhibit 27.1 (Financial Data Schedule) is hereby filed with this Report. SIGNATURES Pursuant to the requirements of the Securities and Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. ABAXIS, INC. Date: August 22, 1995 By: /s/ Ting W. Lu ------------------- Ting W. Lu Vice President of Finance and Administration and Chief Financial Officer 3 4 EXHIBIT INDEX Exhibit Number Description of Document - ------ ----------------------- 3.1 Restated Articles of Incorporation dated January 30, 1992. (5) 3.2 By-laws of the Company. (1) 10.1 Registration Rights Agreement dated January 8, 1992 as amended. (1) 10.2 Stock Purchase Agreement related to the sale of Series A Preferred Stock dated April 28, 1989. (1) 10.3 Stock Purchase Agreement related to the sale of Series B Preferred Stock dated July 20, 1990. (1) 10.4 Stock Purchase Agreement related to the sale of Series C Preferred Stock dated December 4, 1991. (1) 10.5 1989 Stock Option Plan as amended and forms of agreement. (3) 10.6 1992 Outside Directors Stock Option Plan and forms of agreement. (4) 10.7 401(k) Plan. (1) 10.8 Lease Agreement between Company and South Bay/Caribbean dated March 11, 1992. (3) 10.9 Secured Loan Agreement between the Company and Silicon Valley Bank dated September 11, 1992. (4) 10.10 Amendment to Line of Credit Agreement between the Company and Silicon Valley Bank dated September 28, 1993. (7) 10.11 Exclusive License Agreement dated July 28, 1989 between the Company and Martin Marietta Energy Systems, Inc. (1) (2) 10.12 Extension through June 29, 1995 to the Exclusive License Agreement dated July 28, 1989 between the Company and Martin Marietta Energy Systems, Inc. (5) 10.13 Exclusive Distribution Agreement dated September 20, 1991 between the Company and Teramecs. (1) (2) 10.14 Sponsored Research Agreement dated as of September 20, 1991 between the Company and Teramecs. (1) (2) 10.15 Development Agreement between the Company and Becton Dickinson and Company (through its Becton Dickinson Immunocytometry Systems Division) dated April 9, 1993. (5) (6) 10.16 Distribution Agreement between the Company and VedCo., Inc. dated June 20, 1994. (2) (8) 10.17 Supply Agreement between the Company and Becton Dickinson and Company (through its Becton Dickinson Immunocytometry Systems Division) dated September 16, 1994. (6) (9) 10.18 License Agreement between the Company and Pharmacia Biotech, Inc. dated October 1, 1994 (6) (9) 10.19 Employment Agreement with Mr. Gary H. Stroy dated May 11, 1995. (10) 27.1 Financial Data Schedule - -------------------- (1) Incorporated by reference from Registration Statement No. 33-44326 filed December 11, 1991. (2) Confidential treatment of certain portions of the agreements has been granted. (3) Incorporated by reference from the Company's Annual Report on Form 10-K for the fiscal year ended March 31, 1992. (4) Incorporated by reference from the Company's Quarterly Report on Form 10-Q for the quarter ended September 30, 1992. 4 5 (5) Incorporated by reference from the Company's Annual Report on Form 10-K for the Fiscal year ended March 31, 1993. (6) Confidential treatment of certain portions of these agreements has been granted. (7) Incorporated by reference from the Company's Quarterly Report on Form 10-Q for the fiscal year ended March 31, 1993. (8) Incorporated by reference from the Company's Annual Report on Form 10-K for the fiscal year ended March 31, 1994. (9) Incorporated by reference from the Company's Quarterly Report on Form 10-Q for the quarter ended September 30, 1994. (10) Incorporated by reference from the Company's Annual Report on Form 10-K for the fiscal year ended March 31, 1995. 5 EX-27 2 FINANCIAL DATA SCHEDULE
5 THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM THE CONDENSED STATEMENT OF OPERATIONS AND CONDENSED BALANCE SHEET AND IS QUALIFIED IN ITS ENTIRETY TO SUCH COMPANY'S QUARTERLY REPORT ON FORM 10-Q FOR THE QUARTER ENDED JUNE 30, 1996. 0000881890 ABAXIS INC. 1 US DOLLARS 3-MOS MAR-31-1997 APR-01-1996 JUN-30-1996 1 2,099,000 3,063,000 1,023,000 (27,000) 1,561,000 7,872,000 6,231,000 (3,742,000) 10,928,000 2,135,000 0 0 0 53,624,000 (45,001,000) 10,928,000 1,104,000 1,211,000 1,822,000 1,822,000 1,652,000 9,000 0 (2,171,000) 0 (2,171,000) 0 0 0 (2,171,000) (0.22) (0.22)
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