10-K/A 1 amendto2001-10k.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A X ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) --- OF THE SECURITIES EXCHANGE ACT OF 1934 (Fee Required) For the Fiscal Year Ended September 30, 2001 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 0-20757 TRAVIS BOATS & MOTORS, INC. (Exact name of registrant as specified in its charter) TEXAS (State or other jurisdiction of incorporation or organization) 74-2024798 (I.R.S. Employer Identification Number) 5000 Plaza on the Lake, Suite 250, Austin, Texas 78746 (Address of principal executive offices) Registrant's telephone number, including area code: (512) 347-8787 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 (Title of class) 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 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 Report on Form 10-K or any amendment to this Report on Form 10-K. _____ The aggregate market value of the voting stock (which consists solely of shares of Common Stock) held by non-affiliates of the Registrant as of December 28, 2001, (based upon the last reported price of $2.00 per share) was approximately $5,879,410 on such date. The number of shares of the issuer's Common Stock, par value $.01 per share, outstanding as of December 28, 2001 was 4,350,527, of which 2,939,705 shares were held by non-affiliates. PART IV. Item 14. Exhibits, Financial Statement Schedules and Reports on Form 8-K (a) 3. Exhibits - The following Exhibits have been amended and are included in their entirety in the following Index to Exhibits. INDEX TO EXHIBITS (a) Exhibits: 10.57 -- Amended and Restated Loan and Security Agreement between Travis Boats & Motors, Inc. and Deutsche Financial Services Corporation, dated as of December 10, 2001. 10.58 -- Amendment No. 2 to Travis Boats & Motors, Inc. Loan and Security Agreement by and between the Company and Transamerica Commercial Finance Corporation, dated as of December 14, 2001. SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. Travis Boats & Motors, Inc. Date: August 23, 2002 By: /s/ MICHAEL B. PERRINE ------------------------------- Michael B. Perrine Chief Financial Officer, Treasurer and Secretary (Principal Accounting and Financial Officer) 1 POWER OF ATTORNEY TO SIGN AMENDMENTS KNOW ALL BY THESE PRESENTS, that each person whose signature appears below does hereby constitute and appoint Mark T. Walton his true and lawful attorney-in-fact and agent for him and in his name, place and stead, in any and all capacities, to sign any or all amendments to the Travis Boats & Motors, Inc. Annual Report on Form 10-K for the year ending September 30, 2001, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorney-in-fact and agents full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises in order to effectuate the same as fully, to all intents and purposes, as they or he might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agents, or any of them, may lawfully do or cause to be done by virtue hereof. This Power of Attorney has been signed below by the following persons in the capacities and on the dates indicated. 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 registrant and in the capacities and on the dates indicated.
Name Title Date Signed ---- ----- ----------- /s/ MARK T. WALTON Chairman of the Board, President and December 28, 2001 ---------------------------- Director (Principal Executive Officer) Mark T. Walton /s/ MICHAEL B. PERRINE Chief Financial Officer, Secretary and December 28, 2001 ---------------------------- Treasurer (Principal Financial and Michael B. Perrine Accounting Officer) /s/ RONNIE L. SPRADLING Executive Vice President-New Store December 28, 2001 ---------------------------- Development Director Ronnie L. Spradling /s/ STEVEN W. GURASICH, JR Director December 28, 2001 ---------------------------- Steven W. Gurasich, Jr. /s/ ZACH MCCLENDON, JR. Director December 28, 2001 ---------------------------- Zach McClendon, Jr. /s/ ROBERT C. SIDDONS Director December 28, 2001 ---------------------------- Robert C. Siddons /s/ JOSEPH E. SIMPSON Director December 28, 2001 ---------------------------- Joseph E. Simpson /s/ RICHARD BIRNBAUM Director December 28, 2001 ---------------------------- Richard Birnbaum
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