-----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, Q/5Be7yJ8Igxu5TvDgHsoHeQ9t3XnBtzbmEclenzsBqcJnwALGl0We8u1av8l6Ms TdRmNxSUQL4Lnppi/eDsJw== 0001104659-08-031550.txt : 20080509 0001104659-08-031550.hdr.sgml : 20080509 20080509083410 ACCESSION NUMBER: 0001104659-08-031550 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 20071231 FILED AS OF DATE: 20080509 DATE AS OF CHANGE: 20080509 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALPHA PRO TECH LTD CENTRAL INDEX KEY: 0000884269 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 631030494 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-15725 FILM NUMBER: 08816091 BUSINESS ADDRESS: STREET 1: 60 CENTURIAN DR STREET 2: SUITE 112 CITY: MARKHAM ONTARIO CANA STATE: A6 BUSINESS PHONE: 9054790654 MAIL ADDRESS: STREET 1: 60 CENTURION DR STREET 2: STE 112 CITY: MARKHAM ON STATE: A6 FORMER COMPANY: FORMER CONFORMED NAME: BFD INDUSTRIES INC DATE OF NAME CHANGE: 19930328 10-K/A 1 a08-13901_110ka.htm AMENDMENT TO ANNUAL REPORT PURSUANT TO SECTION 13 AND 15(D)

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 10549

 

FORM 10-K/A

 

(Mark One)

x

 

ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

 

 

For the fiscal year ended December 31, 2007

 

 

 

o

 

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

 

Commission file number: 01-15725

 


 

ALPHA PRO TECH, LTD.

(exact name of registrant as specified in its charter)

 

Delaware

 

63-1009183

(State or other jurisdiction of

 

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

incorporation or organization)

 

 

 

60 Centurian Drive, Suite 112,

 

 

Markham, Ontario

 

L3R 9R2

Address of principal offices

 

Zip Code

 

Registrant’s telephone number including area code: 905-479-0654

 

Securities registered pursuant to Section 12(g) of the Act:

 

Common Shares Par Value $.01 Per Share

(Title of Class)

 

Indicate by check mark whether the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.
Yes
o  No x

 

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 x  No o

 

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 o

 

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 or Regulation S-K (Sec. 229.405 of this chapter) 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. Yes x No o

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See definitions of “large accelerated filer,” “accelerated filer,” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):

 

Large accelerated filer o

 

Accelerated filer o

 

 

 

Non-accelerated filer x

 

Smaller reporting company o

(Do not check if a smaller reporting company)

 

 

 

Indicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2). Yeso No x

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act.) Yes o No x

 

The aggregate market value of the voting stock held by non-affiliates of the registrant as of March 17, 2008 was $27,355,309 based on the average bid and asked price on that date.  The number of registrant’s Common Shares outstanding as of March 17, 2008 was 25,164,653.

 

Documents incorporated by reference and the Part of the Form 10-K into which the document is incorporated are as follows:  Registrant’s definitive proxy statement for its Annual Meeting of Stockholders, to be held on June 9, 2008, which will be filed with the Securities and Exchange Commission on or before April 30, 2008 (incorporated by reference under Part III).

 

 



 

Explanatory Note

 

This Amendment No. 1 on Form 10-K/A( the “amended Form 10-K”) amends Alpha Pro Tech, Ltd. Annual Report on Form 10-K for the fiscal year ended  December 31, 20047 that was filed with the Securities and Exchange Commission on March 20, 2008 ( the “original Form 10-K”).  this amended Form 10-K is being filed solely to revise the year date under Part IV  signatures and exhibits.  Said report inadvertently failed to indicate the correct year of 2008, on the signatures, exhibit 31.1, 31.2, 32.1 and 32.2 Certification Under Exchange Act Rules 13a – 14(b) and 15d – 14(b).

 

For the convenience for the reader, this amended Form 10-K included the revised signatures , exhibit 31.1, 31.2, 32.1 and 32.2 Certification Under Exchange Act Rules 13a – 14(b) and 15d – 14(b) pages.  This amended Form 10-K is not intended to, nor does it, reflect events occurring after the filing of the original Form 10-K, and does not modify or update the disclosures therein in any way other than as required to reflect the changes described above.

 

2



 

SIGNATURES

 

Pursuant to the requirements of Section 13 or 15 (d) of the Securities Exchange Act of 1934, the Registrant has fully caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

ALPHA PRO TECH, LTD.

 

 

DATE:

March 20, 2008

 

BY:

  /s/ Sheldon Hoffman

 

 

 

 

 

 

 

 

 

  Sheldon Hoffman

 

 

 

 

  Chief Executive Officer and Director

 

 

 

 

 

 

 

 

 

 

DATE:

March 20, 2008

 

BY:

  /s/ Lloyd Hoffman

 

 

 

 

 

 

 

 

 

  Lloyd Hoffman

 

 

 

 

  Chief Financial 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 Registration and in the capacities indicated on March 20, 2007.

 

 

/s/ David B. Anderson

 

 

David B. Anderson, Director

 

 

 

 

 

/s/ Sheldon Hoffman

 

 

Sheldon Hoffman, Director

 

 

 

 

 

/s/ Robert H. Isaly

 

 

Robert H. Isaly, Director

 

 

 

 

 

/s/ Russ Manock

 

 

Russ Manock, Director

 

 

 

 

 

/s/ Alexander W. Millar

 

 

Alexander W. Millar, Director

 

 

 

 

 

/s/ Danny Montgomery

 

 

Danny Montgomery, Director

 

 

 

 

 

/s/ Dr. John Ritota

 

 

Dr. John Ritota, Director

 

 

3


EX-31.1 2 a08-13901_1ex31d1.htm EX-31.1

EXHIBIT 31.1

 

Certification Under Exchange Act Rules 13a – 14(b) and 15d – 14(b)

 

I, Sheldon Hoffman, certify that:

 

1.             I have reviewed this annual report on Form 10-K of Alpha Pro Tech, Ltd;

 

2.             Based on my knowledge, this  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 report;

 

3.             Based on my knowledge, the financial statements, and other financial information included in this  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 report;

 

4.             The registrant’s other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)  for the registrant and have:

 

a)                                      Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision 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 report is being prepared;

 

b)                                     Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purpose in accordance with generally accepted accounting principles;

 

c)                                      Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and

 

d)                                     Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

 

5.             The registrant’s other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, 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 and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and

 

b)             Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

 

 

 

 

 

DATE:

 March 20, 2008

 

BY:

    /s/ Sheldon Hoffman

 

 

 

 

 

 

 

 

 

  Sheldon Hoffman

 

 

 

 

  Chief Executive Officer and Director

 


EX-31.2 3 a08-13901_1ex31d2.htm EX-31.2

EXHIBIT 31.2

 

I, Lloyd Hoffman, certify that:

 

1.             I have reviewed this annual report on Form 10-K of Alpha Pro Tech, Ltd;

 

2.             Based on my knowledge, this  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 report;

 

3.             Based on my knowledge, the financial statements, and other financial information included in this  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 report;

 

4.             The registrant’s other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)  for the registrant and have:

 

a)                                      Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision 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 report is being prepared;

 

b)                                     Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purpose in accordance with generally accepted accounting principles;

 

c)                                      Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and

 

d)                                     Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

 

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

 

b)             All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and

 

b)             Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

DATE:

 March 20, 2008

 

BY:

   /s/ Lloyd Hoffman

 

 

 

 

 

 

 

 

 

  Lloyd Hoffman

 

 

 

 

  Chief Financial Officer

 


EX-32.1 4 a08-13901_1ex32d1.htm EX-32.1

EXHIBIT 32.1

 

Alpha Pro Tech, Ltd

CERTIFICATION PURSUANT TO

18 U.S.C.SECTION 1350,

AS ADOPTED PURSUANT TO

SECTION 906 OF THE SARBANES-OXLEY ACTS OF 2002

 

In connection with the Annual Report of Alpha Pro Tech, Ltd on Form 10-K for the year ending December 31, 2007 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Sheldon Hoffman, Chief Executive Officer of the Company, certify, pursuant to 10 U.S.C. ss. 1350, as adopted pursuant to ss.906 of the Sarbanes-Oxley Act of 2002, that:

 

(1)The Report fully complies with the requirements of section 13(a) or 15(d) of the Securities Exchange Act of 1934: and

 

(2) The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company.

 

 

DATE:

March 20, 2008

 

BY:

    /s/ Sheldon Hoffman

 

 

 

 

 

 

 

 

 

  Sheldon Hoffman

 

 

 

 

  Chief Executive Officer and Director

 


EX-32.2 5 a08-13901_1ex32d2.htm EX-32.2
EXHIBIT 32.2
 

Alpha Pro Tech, Ltd

CERTIFICATION PURSUANT TO

18 U.S.C.SECTION 1350,

AS ADOPTED PURSUANT TO

SECTION 906 OF THE SARBANES-OXLEY ACTS OF 2002

 

In connection with the Annual Report of Alpha Pro Tech, Ltd on Form 10-K for the year ending December 31, 2007 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Lloyd Hoffman, Chief Financial Officer of the Company, certify, pursuant to 10 U.S.C. ss. 1350, as adopted pursuant to ss.906 of the Sarbanes-Oxley Act of 2002, that:

 

(1)The Report fully complies with the requirements of section 13(a) or 15(d) of the Securities Exchange Act of 1934: and

 

(2) The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company.

 

 

DATE:

March 20, 2008

 

BY:

    /s/ Lloyd Hoffman

 

 

 

 

 

 

 

 

 

  Lloyd Hoffman

 

 

 

 

  Chief Financial Officer

 


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