-----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, HP+eHVjT1Y5do3pk8gWd1WEK2K7dJTWroxjGGvZJGTI8B7WVcM+LgS9Iqif+TaeH qU4eU6LY8N5V/IeZOvpwcQ== 0000895755-98-000038.txt : 19980324 0000895755-98-000038.hdr.sgml : 19980324 ACCESSION NUMBER: 0000895755-98-000038 CONFORMED SUBMISSION TYPE: 10KSB/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19980323 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: VARI L CO INC CENTRAL INDEX KEY: 0000917173 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669] IRS NUMBER: 060678347 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10KSB/A SEC ACT: SEC FILE NUMBER: 000-23866 FILM NUMBER: 98571219 BUSINESS ADDRESS: STREET 1: 4895 PEORIA STREET CITY: DENVER STATE: CO ZIP: 80239 BUSINESS PHONE: 303/371-1560 MAIL ADDRESS: STREET 1: 11101 EAST 51ST AVENUE CITY: DENVER STATE: CO ZIP: 80239 10KSB/A 1 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-KSB/A AMENDMENT NO. 1 TO FORM 10-KSB [X] ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 1997 Commission File No. 0-23866 VARI-L COMPANY, INC. (Name of Small Business Issuer in its Charter) Colorado 06-0679347 (State or other jurisdiction (I.R.S. Employer Identification No.) of incorporation) 4895 Peoria Street Denver, Colorado 80239 (303) 371-1560 (Address and Telephone Number of Principal Executive Offices) Securities registered under Section 12(b) of the Exchange Act: None Securities registered under Section 12(g) of the Exchange Act: Title of Class Common Stock, $.01 Par Value Check whether the issuer (1) filed all reports required to be filed by Section 13 or 15(d) of the Exchange Act during the past 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. [X] Yes [ ] No Check if there is no disclosure of delinquent filers in response to Item 405 of Regulation S-B contained in this form, and no disclosure will be contained, to the best of issuer's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-KSB or any amendment to this Form 10-KSB. [ ] State issuer's revenues for the fiscal year ended December 31, 1997: $17,385,364. At March 9, 1998, 5,310,018 shares of Common Stock were outstanding. The aggregate market value of the Common Stock held by non-affiliates on March 9, 1998 was approximately $45,846,588 based on the closing price on the Nasdaq National Market System on that date. DOCUMENTS INCORPORATED BY REFERENCE Portions of the issuer's definitive proxy statement to be filed pursuant to Regulation 14A not later than 120 days after the end of the fiscal year are incorporated by reference in Part III. SIGNATURES In accordance with Section 13 or 15(d) of the Exchange Act, the Registrant caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. VARI-L COMPANY, INC. By:/s/ David G. Sherman David G. Sherman, President In accordance with the Exchange Act, this report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated. /s/ Joseph H. Kiser Date: March 20, 1998 Joseph H. Kiser, Chairman of the Board, Chief Scientific Officer and Director /s/ David G. Sherman Date: March 20, 1998 David G. Sherman, President, Chief Executive Officer, Principal Executive Officer, Principal Financial Officer and Director /s/Jon L. Clark Date: March 20, 1998 Jon L. Clark, Vice President of Finance and Principal Accounting Officer /s/ Sarah L. Booher Date: March 20, 1998 Sarah L. Booher, Director Date: March ___, 1998 David A. Lisowski, Director /s/ Anthony B. Petrelli Date: March 20, 1998 Anthony B. Petrelli, Director EXHIBIT INDEX Exhibit No. Description Method of Filing 10.19 Business Loan Agreement between the Company and Bank One, Colorado, N.A., dated August 13, 1997 with a maturity date of August 13, 1998 Previously Filed 10.20 Business Loan Agreement between the Company and Bank One, Colorado, N.A., dated August 13, 1997 with a maturity date of February 13, 2001 Previously Filed 23.1 Consent of Haugen, Springer & Co. to the incorporation by reference of their financial statements in the Registrant's Form S-8 Registration Statements (No. 33-88666), (No. 33-81045) and (No. 333-45137) and the Registrant's Form S-3 Registration Statement (No. 333-25173) Previously Filed 27 Financial Data Schedule Previously Filed -----END PRIVACY-ENHANCED MESSAGE-----