20-F/A 1 a19-8510_120fa.htm 20-F/A

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 


 

FORM 20-F/A

(Amendment No. 1)

 

o

REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934

 

 

OR

 

 

x

ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2018

 

 

OR

 

 

o

TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from              to

 

 

OR

 

 

o

SHELL COMPANY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

Date of event requiring this shell company report:

 

Commission file number: 1-14832

 


 

CELESTICA INC.

(Exact name of Registrant as specified in its charter)

 

Ontario, Canada

(Jurisdiction of incorporation or organization)

 

5140 Yonge Street, Suite 1900

Toronto, Canada M2N 6L7

(Address of principal executive offices)

 

Curtis Cheam

5140 Yonge Street, Suite 1900

Toronto, Canada M2N 6L7

416-448-2211

clsir@celestica.com

(Name, Telephone, E-mail and/or Facsimile number and Address of Company Contact Person)

 

Securities registered or to be registered pursuant to Section 12(b) of the Act:

 

Title of each class:

 

Name of each exchange on which registered:

Subordinate Voting Shares

 

The Toronto Stock Exchange

 

 

New York Stock Exchange

 

Securities registered or to be registered pursuant to Section 12(g) of the Act:

 

N/A

 


 

Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act:

 

N/A

 

Indicate the number of outstanding shares of each of the issuer’s classes of capital or common stock as of the close of the period covered by the annual report.

117,692,169 Subordinate Voting Shares

0 Preference Shares

18,600,193 Multiple Voting Shares

 

 

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.

Yes x   No o

 

If this report is an annual or transition report, indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934.

Yes o   No x

 

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 every Interactive Data File required to be submitted 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 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 an emerging growth company. See definition of "large accelerated filer," "accelerated filer," and "emerging growth company" in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer x

 

Accelerated filer o

 

Non-accelerated filer o

 

Emerging growth company o

 

If an emerging growth company that prepares its financial statements in accordance with U.S. GAAP, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards† provided pursuant to Section 13(a) of the Exchange Act. o

 

†The term “new or revised financial accounting standard” refers to any update issued by the Financial Accounting Standards Board to its Accounting Standards Codification after April 5, 2012.

 

Indicate by check mark which basis of accounting the registrant has used to prepare the statements included in this filing:

 

U.S. GAAP o

 

International Financial Reporting Standards as issued
by the International Accounting Standards Board
x

 

Other o

 

If “Other” has been checked in response to the previous question, indicate by check mark which financial statement item the registrant has elected to follow.

Item 17 o   Item 18 o

 

If this is an annual report, 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

 


 

Explanatory Note

 

This Amendment No. 1 (this “Amendment”) to the Annual Report on Form 20-F for the year ended December 31, 2018 (the “Original Filing”), filed on March 11, 2019 (the “Original Filing Date”) by Celestica Inc. (“we,” “our,” or the “Company”), is being filed solely: (i) to update the address of each of our principal executive office and company contact person set forth on the cover page of the Original Filing; (ii) to correct a transposed File No. in the Exhibit Index; and (iii) to replace Exhibits 4.24, 4.31 and 4.32 with the attached Exhibits 4.24, 4.31 and 4.32 (and amend the corresponding footnote in the Exhibit Index) to reflect amendments to paragraph 4(a) of Instructions as to Exhibits of Form 20-F governing the redaction of confidential information in material contracts, which became effective as of April 2, 2019.

 

Additionally, in connection with the filing of this Amendment, we are including certifications of our Chief Executive Officer and Chief Financial Officer pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended (“Exchange Act”).

 

Except as described above, this Amendment: does not amend any other information set forth in the Original Filing; speaks as of the Original Filing Date; does not reflect any events that may have occurred subsequent to the Original Filing Date; and does not modify or update any disclosures made in the Original Filing.

 

1


 

Item 19.    Exhibits

 

The following exhibits have been filed as part of this Annual Report:

 

 

 

 

 

Incorporated by Reference

Exhibit
Number

 

Description

 

Form

 

File No.

 

Filing Date

 

Exhibit
No.

 

Filed
Herewith

1.1

 

Certificate and Restated Articles of Incorporation effective June 25, 2004

 

20-F

 

001-14832

 

March 23, 2010

 

1.10

 

 

1.2

 

Bylaw No. 1

 

20-F

 

001-14832

 

March 23, 2010

 

1.11

 

 

2

 

Instruments defining rights of holders of equity securities or long-term debt:

 

 

 

 

 

 

 

 

 

 

2.1

 

See Certificate and Restated Articles of Incorporation identified above

 

 

 

 

 

 

 

 

 

 

2.2

 

Form of Subordinate Voting Share Certificate

 

F-3ASR

 

333-221144

 

October 26, 2017

 

4.1

 

 

4

 

Certain Contracts:

 

 

 

 

 

 

 

 

 

 

4.1

 

Services Agreement, dated as of January 1, 2009, between Celestica Inc. and Onex Corporation (“Services Agreement”)

 

20-F

 

001-14832

 

March 23, 2010

 

4.1

 

 

4.2

 

Amending Agreement to Services Agreement made as of January 1, 2017

 

20-F

 

001-14832

 

March 13, 2017

 

4.2

 

 

4.3

 

Executive Employment Agreement, dated as of January 1, 2008, between Celestica Inc., Celestica International Inc. and Elizabeth L. DelBianco

 

20-F

 

001-14832

 

March 25, 2008

 

4.6

 

 

4.4

 

Amended and Restated Celestica Inc. Long-Term Incentive Plan as of January 29, 2014

 

6-K

 

001-14832

 

July 9, 2014

 

99.1

 

 

4.5

 

Amended and Restated Celestica Inc. Long-Term Incentive Plan as of July 22, 2015

 

6-K

 

001-14832

 

July 29, 2015

 

99.1

 

 

4.6

 

Amended and Restated Celestica Inc. Long-Term Incentive Plan as of October 19, 2015

 

20-F

 

001-14832

 

March 7, 2016

 

4.5

 

 

4.7

 

Amended and Restated Celestica Inc. Long-Term Incentive Plan as of October 19, 2016

 

20-F

 

001-14832

 

March 13, 2017

 

4.7

 

 

4.8

 

Amended and Restated Celestica Share Unit Plan as of January 29, 2014

 

6-K

 

001-14832

 

July 9, 2014

 

99.2

 

 

4.9

 

Amended and Restated Celestica Share Unit Plan as of July 22, 2015

 

6-K

 

001-14832

 

July 29, 2015

 

99.2

 

 

4.10

 

Amended and Restated Celestica Share Unit Plan as of October 19, 2015

 

20-F

 

001-14832

 

March 7, 2016

 

4.8

 

 

4.11

 

Coattail Agreement, dated June 29, 1998, between Onex Corporation, Celestica Inc. and Montreal Trust Company of Canada.

 

SC TO-I

 

005-55523

 

October 29,
2012

 

(d)(1)

 

 

4.12

 

Directors’ Share Compensation Plan (2008)

 

SC TO-I

 

005-55523

 

October 29,
2012

 

(d)(3)

 

 

 

2


 

 

 

 

 

Incorporated by Reference

Exhibit
Number

 

Description

 

Form

 

File No.

 

Filing Date

 

Exhibit
No.

 

Filed
Herewith

4.13

 

Amended and Restated Revolving Trade Receivables Purchase Agreement, dated as of November 4, 2011, among the Celestica Inc., Celestica LLC, Celestica Czech Republic s.r.o., Celestica Holdings Pte Ltd., Celestica Valencia S.A., Celestica Hong Kong Ltd., Celestica (Romania) s.r.l., Celestica Japan KK, Celestica Oregon LLC, each of the financial institutions named on Schedule I thereto and Deutsche Bank AG New York Branch

 

20-F

 

001-14832

 

March 13, 2015

 

4.12

 

 

4.14

 

First Amendment to Amended and Restated Revolving Trade Receivables Purchase Agreement

 

20-F

 

001-14832

 

March 13, 2017

 

4.18

 

 

4.15

 

Second Amendment to Amended and Restated Revolving Trade Receivables Purchase Agreement

 

20-F

 

001-14832

 

March 14, 2014

 

4.14

 

 

4.16

 

Third Amendment to Amended and Restated Revolving Trade Receivables Purchase Agreement

 

20-F

 

001-14832

 

March 11, 2019

 

4.16

 

 

4.17

 

Fourth Amendment to Amended and Restated Revolving Trade Receivables Purchase Agreement*

 

20-F

 

001-14832

 

March 13, 2015

 

4.16

 

 

4.18

 

Fifth Amendment to Amended and Restated Revolving Trade Receivables Purchase Agreement and Accession Agreement*

 

20-F

 

001-14832

 

March 7, 2016

 

4.20

 

 

4.19

 

Sixth Amendment to Amended and Restated Revolving Trade Receivables Agreement*

 

20-F

 

001-14832

 

March 13, 2017

 

4.23

 

 

4.20

 

Letter Agreement pertaining to Amended and Restated Revolving Trade Receivables Agreement*

 

20-F

 

001-14832

 

March 12, 2018

 

4.20

 

 

4.21

 

Seventh Amendment to Amended and Restated Revolving Trade Receivables Agreement*

 

20-F

 

001-14832

 

March 12, 2018

 

4.21

 

 

4.22

 

Eighth Amendment to Amended and Restated Revolving Trade Receivables Agreement

 

20-F

 

001-14832

 

March 12, 2018

 

4.22

 

 

4.23

 

Ninth Amendment to Amended and Restated Revolving Trade Receivables Purchase Agreement and Accession Agreement

 

20-F

 

001-14832

 

March 11, 2019

 

4.23

 

 

4.24

 

Tenth Amendment to the Amended and Restated Revolving Trade Receivables Purchase Agreement†

 

 

 

 

 

 

 

 

 

X

4.25

 

Directors’ Share Compensation Plan, amended and restated as of July 25, 2013

 

20-F

 

001-14832

 

March 14, 2014

 

4.16

 

 

4.26

 

Directors’ Share Compensation Plan, amended and restated as of January 1, 2016

 

20-F

 

001-14832

 

March 7, 2016

 

4.22

 

 

4.27

 

Directors’ Share Compensation Plan, amended and restated as of January 1, 2019

 

20-F

 

001-14832

 

March 11, 2019

 

4.27

 

 

 

3


 

 

 

 

 

Incorporated by Reference

Exhibit
Number

 

Description

 

Form

 

File No.

 

Filing Date

 

Exhibit
No.

 

Filed
Herewith

4.28

 

Credit Agreement, dated as of June 27, 2018, among Celestica Inc, and the subsidiaries identified therein as Borrowers, Celestica Inc, and specified subsidiaries identified therein as Guarantors, Bank of America, N.A. as Administrative Agent, Swing Line Lender and an L/C Issuer, and the financial institutions named therein as Lenders

 

20-F

 

001-14832

 

March 11, 2019

 

4.28

 

 

4.29

 

First Incremental Facility Amendment, dated as of November 14, 2018, by and among Celestica Inc., Celestica International LP, Celestica (USA) Inc., the guarantors party thereto, the Incremental Term B-2 Lender (as defined therein), and Bank of America, N.A., as Administrative Agent

 

20-F

 

001-14832

 

March 11, 2019

 

4.29

 

 

4.30

 

Second Amendment to Credit Agreement, dated as of December 21, 2018, by and among Celestica Inc., Celestica International LP, Celestica (USA) Inc., the Guarantors party thereto, and Bank of America, N.A., as Administrative Agent.

 

20-F

 

001-14832

 

March 11, 2019

 

4.30

 

 

4.31

 

Securities Purchase and Merger Agreement, dated as of October 9, 2018, by and among Impakt Holdings, LLC, Graycliff Private Equity Partners III Parallel (A-1 Blocker) LLC, Graycliff Private Equity Partners III Parallel LP, Celestica (USA) Inc., Iron Man Acquisition Inc., Iron Man Merger Sub, LLC, and Fortis Advisors LLC, in its capacity as Holder Representative†

 

 

 

 

 

 

 

 

 

X

4.32

 

First Amendment to the Securities Purchase and Merger Agreement, dated as of November 9, 2018, by and among Graycliff Private Equity Partners III Parallel LP, Iron Man Acquisition Inc., and Impakt Holdings, LLC†

 

 

 

 

 

 

 

 

 

X

8.1

 

Subsidiaries of Registrant

 

20-F

 

001-14832

 

March 11, 2019

 

8.1

 

 

11.1

 

Finance Code of Professional Conduct

 

20-F

 

001-14832

 

March 23, 2010

 

11.1

 

 

11.2

 

Business Conduct Governance Policy

 

20-F

 

001-14832

 

March 12, 2018

 

11.2

 

 

12.1

 

Principal Executive Officer Certification pursuant to Rule 13(a)-14(a)

 

20-F

 

001-14832

 

March 11, 2019

 

12.1

 

 

12.2

 

Principal Financial Officer Certification pursuant to Rule 13(a)-14(a)

 

20-F

 

001-14832

 

March 11, 2019

 

12.2

 

 

12.3

 

Principal Executive Officer Certification pursuant to Rule 13(a)-14(a)

 

 

 

 

 

 

 

 

 

X

12.4

 

Principal Financial Officer Certification pursuant to Rule 13(a)-14(a)

 

 

 

 

 

 

 

 

 

X

 

4


 

 

 

 

 

Incorporated by Reference

Exhibit
Number

 

Description

 

Form

 

File No.

 

Filing Date

 

Exhibit
No.

 

Filed
Herewith

13.1

 

Certification required by Rule 13a-14(b) and Section 1350 of Chapter 63 of Title 18 of the United States Code**

 

20-F

 

001-14832

 

March 11, 2019

 

13.1

 

 

15.1

 

Consent of KPMG LLP, Chartered Professional Accountants

 

20-F

 

001-14832

 

March 11, 2019

 

15.1

 

 

101.INS**

 

XBRL Instance Document

 

20-F

 

001-14832

 

March 11, 2019

 

101.INS

 

 

101.SCH**

 

XBRL Taxonomy Extension Schema Document

 

20-F

 

001-14832

 

March 11, 2019

 

101.SCH

 

 

101.CAL**

 

XBRL Taxonomy Extension Calculation Linkbase Document

 

20-F

 

001-14832

 

March 11, 2019

 

101.CAL

 

 

101.DEF**

 

XBRL Taxonomy Extension Definition Linkbase Document

 

20-F

 

001-14832

 

March 11, 2019

 

101.DEF

 

 

101.LAB**

 

XBRL Taxonomy Extension Label Linkbase Document

 

20-F

 

001-14832

 

March 11, 2019

 

101.LAB

 

 

101.PRE**

 

XBRL Taxonomy Extension Presentation Linkbase Document

 

20-F

 

001-14832

 

March 11, 2019

 

101.PRE

 

 

 


*                                         Certain confidential portions of this exhibit were omitted by means of redacting a portion of the text. This exhibit has been filed separately with the Securities and Exchange Commission without redactions. Confidential treatment has been granted pursuant to our Application for an Order Granting Confidential Treatment Pursuant to Rule 24b-2 of the U.S. Exchange Act.

 

**                                  Will not be deemed “filed” for purposes of Section 18 of the U.S. Exchange Act, or otherwise subject to the liability of Section 18 of the U.S. Exchange Act, and will not be incorporated by reference into any filing under the U.S. Securities Act, or the U.S. Exchange Act, except to the extent that the registrant specifically incorporates it by reference.

 

                                         Certain portions of this exhibit have been omitted because they are both: (i) not material; and (ii) would likely cause competitive harm to the Company if publicly disclosed.

 

5


 

SIGNATURES

 

The registrant hereby certifies that it meets all of the requirements for filing on Form 20-F and that it has duly caused and authorized the undersigned to sign this Amendment No. 1 to annual report on its behalf.

 

 

CELESTICA INC.

 

By:

/s/ ELIZABETH L. DELBIANCO

 

 

Elizabeth L. DelBianco

 

 

Chief Legal and Administrative Officer

 

Date: April 25, 2019

 

6