10-K405/A 1 d10k405a.txt FORM 10-K/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------------------------------------------ FORM 10-K/A (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, 2000 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 NUMBER 0-21040 CAMBRIDGE TECHNOLOGY PARTNERS (MASSACHUSETTS), INC. (Exact name of registrant as specified in its charter) DELAWARE 06-132-0610 (State or other jurisdiction of (IRS Employer Identification No.) incorporation or organization) EIGHT CAMBRIDGE CENTER CAMBRIDGE, MASSACHUSETTS 02142 (Address of principal executive offices) (Zip Code) REGISTRANT'S TELEPHONE NUMBER, INCLUDING AREA CODE: (617) 374-9800 SECURITIES REGISTERED PURSUANT TO SECTION 12(B) OF THE ACT: NONE SECURITIES REGISTERED PURSUANT TO SECTION 12(G) OF THE ACT: Common Stock, $.01 Par Value SERIES A JUNIOR PARTICIPATING PREFERRED STOCK 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__ Indicate by check mark 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. [X] The aggregate market value of Common Stock held by non-affiliates of the registrant was approximately $204,497,674 based on the last reported sale price of $3.2188 on The Nasdaq National Market on March 28, 2001, as reported by Nasdaq. As of March 28, 2001, there were 63,532,271 shares of Common Stock outstanding. EXPLANATORY NOTE. Cambridge Technology Partners (Massachusetts), Inc., the registrant, hereby amends Item 14 of its Annual Report on Form 10-K for the fiscal year ended December 31, 2000 as filed with the Securities and Exchange Commission on April 2, 2001 to include exhibits 10.24 through 10.27, copies of which are attached hereto. ITEM 14. EXHIBITS, FINANCIAL STATEMENT SCHEDULES, AND REPORTS ON FORM 8-K (a) 3. List of Exhibits.
EXHIBIT NO. DESCRIPTION ----------- --------------------------------------------------------------------------------------------------- 3.1(i)(1) Amended and Restated Certificate of Incorporation of the Company, as amended. 3.1(ii)(2) Amended and Restated By-laws of the Company. 4.1(3) Rights Agreement dated June 23, 1997 by and between the Company and ChaseMellon Shareholders Services, LLC (the "Rights Agreement"). 4.2(3) Amendment No. 1 to the Rights Agreement, dated September 30, 1998, by and between the Company and ChaseMellon Shareholder Services, LLC. 4.3(4) Amendment No. 2 to the Rights Agreement, dated March 11, 2001, by and between the Company and ChaseMellon Shareholder Services, LLC. 4.4(4) Agreement and Plan of Reorganization by and among Novell, Inc., Ceres Neptune Acquisition Corp. and the Company, dated March 11, 2001. 10.1(2) Lease dated June 4, 1992, as amended, between 304 Vassar Street Realty Trust and the Company, for 304 Vassar Street, Cambridge, Massachusetts. 10.2(5)* Amended and Restated 1991 Stock Option Plan as amended. 10.3(6) Credit Agreement, dated as of September 10, 1998, by and among the Company, certain of its Subsidiaries, The Chase Manhattan Bank and Fleet National Bank. 10.4(6) Guaranty dated September 10, 1998 by certain subsidiaries of the Company in favor of The Chase Manhattan Bank and Fleet National Bank. 10.5 First Amendment to Credit Agreement, dated as of February 7, 2001, by and among the Company, Certain of its subsidiaries, The Chase Manhattan Bank and Fleet National Bank. 10.6(5)* Description of 1997 Executive Bonus Plan. 10.7(5)* Form of Split-Dollar Life Insurance Agreement for Executive Officers and Vice Presidents. 10.8(7)* Employment Agreement between the Company and Jack L. Messman, dated as of August 27, 1999. 10.9(7)* Restricted Stock Award Agreement between the Company and Jack L. Messman, dated as of August 27, 1999. 10.10(7)* Form of non-qualified stock agreement awarded to Jack L. Messman, dated August 27, 1999. 10.11 Promissory Note, dated August 27, 1999, from Jack L. Messman to the Company. 10.12(8)* Amended and Restated Service Agreement between the Company and Gerard Van Kemmel, dated July 12, 1999. 10.13* Service Agreement between CMC and Quentin Baer, dated January, 2001. 10.14* Service Agreement between CMC and Ian Clarkson, dated January, 2001.
EXHIBIT NO. DESCRIPTION ----------- --------------------------------------------------------------------------------------------------- 10.15(9) Promissory Note, dated November 13, 1998, from H. Carvel Moore to the Company. 10.16(9) Promissory Note, dated December 21, 1998, from Theo Schnitfink to the Company. 10.17(9) Promissory Note, dated November 2, 1998, from Theo Schnitfink to the Company. 10.18(7) Secured Recourse Promissory Note, dated February 24, 2000, from Theo Schnitfink to the Company. 10.19(7) Pledge Agreement, dated February 24, 2000, between Theo Schnitfink and the Company. 10.20(7)* H. Carvel Moore Letter of Understanding, dated March 3, 2000. 10.21* Engagement Letter between Cambridge and RRE Advisors, LLC, dated December 15, 1995. 10.22* Letter of Understanding between the Company and MADIAN S.A., dated February 8, 2001. 10.23(4) Voting Agreement between Jack L. Messman and Novell, Inc., dated March 12, 2001. 10.24* Severance Agreement between the Company and Gerard Van Kemmel, dated October 19, 2000. 10.25* Severance Agreement between the Company and Herbert C. Moore, Jr., dated October 19, 2000. 10.26* Severance Agreement between the Company and Maurice Olivier, dated October 19, 2000. 10.27* Severance Agreement between the Company and Jack L. Messman, dated October 19, 2000. 11 Statement Regarding Computation of Per Share Earnings. 21 Subsidiaries of the Company. 23 Consent of PricewaterhouseCoopers LLP. 24 Power of Attorney (included on Signature Page to this report). 99.1 Cambridge Technology Capital Fund I L.P. Financial Statements.
---------------- (1) Incorporated herein by reference to the exhibits to the Company's Quarterly Report on Form 10-Q for the three-month period ended June 30, 1998 (2) Incorporated herein by reference to the exhibits to the Company's Registration Statement on Form S-1 (File No. 33-56338). (3) Incorporated herein by reference to the exhibits to the Company's Registration Statement on Form 8-A/A filed on September 30, 1998. (4) Incorporated herein by reference to the exhibits to the Company's Current Report on Form 8-K dated March 13, 2001. (5) Incorporated herein by reference to the exhibits to the Company's Annual Report on Form 10-K for the twelve-month period ended December 31, 1997. (6) Incorporated herein by reference to the exhibits to the Company's Quarterly Report on Form 10-Q for the three-month period ended September 30, 1998. (7) Incorporated herein by reference to the exhibits to the Company's Annual Report on Form 10-K for the twelve-month period ended December 31, 1999. (8) Incorporated herein by reference to the exhibits to the Company's Quarterly Report on Form 10-Q/A for the three-month period ended September 30, 1999. (9) Incorporated herein by reference to the exhibits to the Company's Annual Report on Form 10-K for the twelve-month period ended December 31, 1998. * Indicates a management contract or any compensatory plan, contract or arrangement. 2 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, in the City of Cambridge, Commonwealth of Massachusetts, on the 26th day of April, 2001. Cambridge Technology Partners (Massachusetts), Inc. By: /s/ Joseph A. LaSala, Jr. ------------------------- Joseph A. LaSala, Jr. Senior Vice President, General Counsel and Secretary 3 INDEX TO EXHIBITS
EXHIBIT NO. Description ----------- --------------------------------------------------------------------------------------------------- 3.1(i)(1) Amended and Restated Certificate of Incorporation of the Company, as amended. 3.1(ii)(2) Amended and Restated By-laws of the Company. 4.1(3) Rights Agreement, dated June 23, 1997, by and between the Company and ChaseMellon Shareholders Services, LLC (the "Rights Agreement"). 4.2(3) Amendment No. 1 to the Rights Agreement, dated September 30, 1998, by and between the Company and ChaseMellon Shareholder Services, LLC. 4.3(4) Amendment No. 2 to the Rights Agreement, dated March 11, 2001, by and between the Company and ChaseMellon Shareholder Services, LLC. 4.4(4) Agreement and Plan of Reorganization by and among Novell, Inc., Ceres Neptune Acquisition Corp. and the Company, dated March 11, 2001. 10.1(2) Lease dated June 4, 1992, as amended, between 304 Vassar Street Realty Trust and the Company, for 304 Vassar Street, Cambridge, Massachusetts. 10.2(5)* Amended and Restated 1991 Stock Option Plan as amended. 10.3(6) Credit Agreement, dated as of September 10, 1998, by and among the Company, certain of its subsidiaries, The Chase Manhattan Bank and Fleet National Bank. 10.4(6) Guaranty dated September 10, 1998 by certain subsidiaries of the Company in favor of The Chase Manhattan Bank and Fleet National Bank. 10.5(10) First Amendment to Credit Agreement, dated as of February 7, 2001, by and among the Company certain of its subsidiaries, The Chase Manhattan Bank and Fleet National Bank. 10.6(5)* Description of 1997 Executive Bonus Plan. 10.7(5)* Form of Split-Dollar Life Insurance Agreement for Executive Officers and Vice Presidents. 10.8(7)* Employment Agreement between the Company and Jack L. Messman, dated as of August 27, 1999. 10.9(7)* Restricted Stock Award Agreement between the Company and Jack L. Messman, dated as of August 27, 1999. 10.10(7)* Form of non-qualified stock agreement awarded to Jack L. Messman, dated August 27, 1999. 10.11(10) Promissory Note, dated August 27, 1999, from Jack L. Messman to the Company. 10.12(8)* Amended and Restated Service Agreement between the Company and Gerard Van Kemmel, dated July 12, 1999. 10.13(10)* Service Agreement between CMC and Quentin Baer, dated January, 2001. 10.14(10)* Service Agreement between CMC and Ian Clarkson, dated January, 2001. 10.15(9) Promissory Note, dated November 13, 1998, from H. Carvel Moore to the Company. 10.16(9) Promissory Note, dated December 21, 1998, from Theo Schnitfink to the Company. 10.17(9) Promissory Note, dated November 2, 1998, from Theo Schnitfink to the Company. 10.18(7) Secured Recourse Promissory Note, dated February 24, 2000, from Theo Schnitfink to the Company. 10.19(7) Pledge Agreement, dated February 24, 2000, between Theo Schnitfink and the Company.
EXHIBIT NO. Description ----------- --------------------------------------------------------------------------------------------------- 10.20(7)* H. Carvel Moore Letter of Understanding, dated March 3, 2000. 10.21(10)* Engagement Letter between Cambridge and RRE Advisors, LLC, dated December 15, 1995. 10.22(10)* Letter of Understanding between the Company and MADIAN S.A., dated February 8, 2001. 10.23(4) Voting Agreement between Jack L. Messman and Novell, Inc., dated March 12, 2001. 10.24* Severance Agreement between the Company and Gerard Van Kemmel, dated October 19, 2000. 10.25* Severance Agreement between the Company and Herbert C. Moore, Jr., dated October 19, 2000. 10.26* Severance Agreement between the Company and Maurice Olivier, dated October 19, 2000. 10.27* Severance Agreement between the Company and Jack L. Messman, dated October 19, 2000. 11(10) Statement Regarding Computation of Per Share Earnings. 21(10) Subsidiaries of the Company. 23(10) Consent of PricewaterhouseCoopers LLP. 24(10) Power of Attorney. 99.1(10) Cambridge Technology Capital Fund I L.P. Financial Statements.
---------------- (1) Incorporated herein by reference to the exhibits to the Company's Quarterly Report on Form 10-Q for the three-month period ended June 30, 1998. (2) Incorporated herein by reference to the exhibits to the Company's Registration Statement on Form S-1 (File No. 33-56338). (3) Incorporated herein by reference to the exhibits to the Company's Registration Statement on Form 8-A/A filed on September 30, 1998. (4) Incorporated herein by reference to the exhibits to the Company's Current Report on Form 8-K dated March 13, 2001. (5) Incorporated herein by reference to the exhibits to the Company's Annual Report on Form 10-K for the twelve-month period ended December 31, 1997. (6) Incorporated herein by reference to the exhibits to the Company's Quarterly Report on Form 10-Q for the three-month period ended September 30, 1998 (7) Incorporated herein by reference to the exhibits to the Company's Annual Report on Form 10-K for the twelve-month period ended December 31, 1999. (8) Incorporated herein by reference to the exhibits to the Company's Quarterly Report on Form 10-Q/A for the three-month period ended September 30, 1999. (9) Incorporated herein by reference to the exhibits to the Company's Annual Report on Form 10-K for the twelve-month period ended December 31, 1998. (10) Incorporated herein by reference to the exhibits to the Company's Annual Report on Form 10-K for the twelve-month period ended December 31, 2000. * Indicates a management contract or any compensatory plan, contract or arrangement. 2