-----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, LGe1j8DpPHbZNf1JgwsE22Aj2BZefTOwY7ly6mIMuQmKZPBW1Rj1aqFoWbFDPcKG j7EALMZhoSB2Ju996UCxiw== 0001047469-98-013824.txt : 19980407 0001047469-98-013824.hdr.sgml : 19980407 ACCESSION NUMBER: 0001047469-98-013824 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19980406 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: WILLIS LEASE FINANCE CORP CENTRAL INDEX KEY: 0001018164 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-EQUIPMENT RENTAL & LEASING, NEC [7359] IRS NUMBER: 680070656 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: SEC FILE NUMBER: 000-28774 FILM NUMBER: 98587954 BUSINESS ADDRESS: STREET 1: 180 HARBOR DR STREET 2: STE 200 CITY: SAUSALITO STATE: CA ZIP: 94965 BUSINESS PHONE: 4153315281 MAIL ADDRESS: STREET 1: 180 HARBOR DR STREET 2: SUITE 200 CITY: SAUSALITO STATE: CA ZIP: 94965 10-K/A 1 10-K/A - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------------------ FORM 10-K/A AMENDMENT NO. 1 --------------- /X/ Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the fiscal year ended December 31, 1997 / / Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number: ------------------------ WILLIS LEASE FINANCE CORPORATION (Exact name of registrant as specified in its charter) CALIFORNIA 68-0070656 (STATE OR OTHER JURISDICTION OF (IRS EMPLOYER INCORPORATION OR ORGANIZATION) IDENTIFICATION NO.) 180 HARBOR DRIVE 94965 SUITE 200, SAUSALITO, CA (ZIP CODE) (ADDRESS OF PRINCIPAL EXECUTIVE OFFICER) REGISTRANT'S TELEPHONE NUMBER, INCLUDING AREA CODE (415) 331-5281 SECURITIES REGISTERED PURSUANT TO SECTION 12(B) OF THE ACT: NAME OF EACH EXCHANGE ON TITLE OF EACH CLASS WHICH REGISTERED Common Stock NASDAQ SECURITIES REGISTERED PURSUANT TO SECTION 12(G) OF THE ACT: TITLE OF EACH CLASS None 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 Registration S-K is not contained hereto, and will not be contained, to the best of the registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to this Form 10-K. / / The aggregate market value of voting stock held by non-affiliates of the registrant as of March 9, 1998 was approximately $60,099,041 million (based on a closing sale price of $21.125 per share as reported on the NASDAQ National Market). Shares of Common Stock held by each executive officer and director and by each person who owns 5% or more of the outstanding Common Stock have been excluded in that such persons may be deemed to be affiliates. This determination of affiliate status is not necessarily a conclusive determination for other purposes. The number of shares of the registrant's Common Stock outstanding as of March 9, 1998 was 7,210,598. - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- This Amendment No. 1 on Form 10-K/A amends and restates (a) the cover page of the Form 10-K filed with the Securities and Exchange Commission on March 20, 1998, and (b) the table of contents of the Form 10-K filed with the Securities and Exchange Commission on March 20, 1998 for the purpose of correcting typographical errors. WILLIS LEASE FINANCE CORPORATION 1997 FORM 10-K ANNUAL REPORT TABLE OF CONTENTS PART I
PAGE ----- Item 1. Business....................................................................................... 3 Item 2. Properties..................................................................................... 10 Item 3. Legal Proceedings.............................................................................. 11 Item 4. Submission of Matters to a Vote of Security Holders............................................ 11 PART II Item 5. Market for Registrant's Common Equity and Related Stockholder Matters.......................... 12 Item 6. Selected Financial Data........................................................................ 12 Item 7. Management's Discussion and Analysis of Financial Condition and Results of Operations.......... 13 Item 8. Financial Statements and Supplementary Data.................................................... 25 Item 9. Changes in and Disagreements with Accountants on Accounting and Financial Disclosure........... 25 PART III Item 10. Directors and Executives Officers of the Registrant............................................ 25 Item 11. Executive Compensation......................................................................... 25 Item 12. Security Ownership of Certain Beneficial Owners and Management................................. 25 Item 13. Certain Relationships and Related Transactions................................................. 25 PART IV Item 14. Exhibits, Financial Schedules and Reports on Form 8-K.......................................... 25
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. WILLIS LEASE FINANCE CORPORATION Date: April 3, 1998 By: /s/ JAMES D. MCBRIDE ----------------------------------------- James D. McBride CHIEF FINANCIAL OFFICER
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