10-Q/A 1 form10qa.htm 10-Q/A
 
UNITED STATES
 SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-Q/A
(Amendment No. 1 to Form 10-Q)
(MARK ONE)
x
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2013
 
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 NO. 0-28218
AFFYMETRIX, INC.
(Exact name of Registrant as specified in its charter)
DELAWARE
 
77-0319159
(State or other jurisdiction of
 
(I.R.S. Employer
incorporation or organization)
 
Identification Number)
 
 
 
3420 CENTRAL EXPRESSWAY
SANTA CLARA, CALIFORNIA 95051
(Address of principal executive offices and Zip Code)

Registrant's telephone number, including area code: (408) 731-5000
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 whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). 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 x
 
 
 
Non-accelerated filer o
 
Smaller reporting company o
(Do not check if a smaller reporting company)
 
 

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
COMMON SHARES OUTSTANDING ON APRIL 25, 2013: 71,098,356


EXPLANATORY NOTE
The sole purpose of this Amendment No. 1 on Form 10-Q/A (the "Amendment") to the Quarterly Report on Form 10-Q for the period ended March 31, 2013 (the "Form 10-Q"), filed by Affymetrix, Inc. (the "Company") with the Securities and Exchange Commission on May 1, 2013, is to correct a typographical error in Exhibit 32. In the Form 10-Q, Exhibit 32 stated that the Certification of Chief Executive Officer and Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 (the "906 Certification"), was in connection with the period ended March 31, 2012 instead of the correct date, March 31, 2013. As such, the Amendment revises the date to be for the period ended March 31, 2013 in the 906 Certification.
This Amendment does not otherwise change or update the disclosures set forth in the Form 10-Q as originally filed and does not otherwise reflect events occurring after the original filing of the Form 10-Q.



ITEM 6. EXHIBITS
Exhibit
 Number
 
Description of Document
 
 
 
10.47‡
 
Offer Letter from the Company to David Weber dated December 2, 2011.
10.48‡
 
Consulting Agreement between the Company and John F. Runkel, Jr. dated March 21, 2013.
10.49‡
 
Separation Agreement between the Company and John F. Runkel, Jr. dated March 29, 2013.
10.50‡
 
Third Amendment and Limited Waiver to Credit Agreement dated April 8, 2013.
31.1
 
Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002.
31.2
 
Certification of Chief Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002.
32
 
Certification of Chief Executive Officer and Chief Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002.

‡ Previously filed as part of our Quarterly Report on Form 10-Q for the period ended March 31, 2013 with the Securities and Exchange Commission on May 1, 2013, which this Amendment No. 1 on Form 10-Q/A amends.


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.
 
By:
/s/ TIMOTHY C. BARABE
 
Name:
Timothy C. Barabe
 
Title:
Executive Vice President and Chief Financial Officer
 
 
 
May 3, 2013
 
 
 
 
 
 
 
Duly Authorized Officer and Principal Financial
 
 
And Accounting Officer