-----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, VmeW8h5IAO8mWkKgu6rfZ74orW/tVMRKYBsECRSL8U72HwAICGe9/lLac2kabFhh oJnBF76R/W5Px5mybxYjPg== 0000950135-98-002800.txt : 19980430 0000950135-98-002800.hdr.sgml : 19980430 ACCESSION NUMBER: 0000950135-98-002800 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19980429 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: BROOKTROUT TECHNOLOGY INC CENTRAL INDEX KEY: 0000754516 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 042814792 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: SEC FILE NUMBER: 000-20698 FILM NUMBER: 98604557 BUSINESS ADDRESS: STREET 1: 410 FIRST AVE CITY: NEEDHAM STATE: MA ZIP: 02194 BUSINESS PHONE: 6174494100 MAIL ADDRESS: STREET 1: 410 FIRST STREET 2: 410 FIRST CITY: NEEDHAM STATE: MA ZIP: 02194 10-K/A 1 BROOKTROUT TECHNOLOGY, INC. 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Mark one) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 [NO FEE REQUIRED] For the fiscal year ended December 31, 1997 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 [NO FEE REQUIRED] For the transition period from __ to__. Commission File No. 0-20698 BROOKTROUT TECHNOLOGY, INC. (Exact name of registrant as specified in its charter) MASSACHUSETTS 04-2184792 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No.) 410 FIRST AVENUE, NEEDHAM, MASSACHUSETTS 02194 (Address of principal executive offices)(Zip Code) Registrant's telephone number, including area code: (781) 449-4100 Securities registered pursuant to Section 12(b) of the Act: None NAME OF EXCHANGE TITLE OF EACH CLASS ON WHICH REGISTERED --------- ---------- Securities registered pursuant to Section 12(g) of the Act: Common Stock (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 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 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 Form 10-K or any amendment to this Form 10-K. [X] As of March 20, 1998, the aggregate market value of the voting stock held by non-affiliates of the registrant was approximately $164 million, based on the closing price on such date of the Company's Common Stock on the Nasdaq National Market ("Nasdaq"). As of March 20, 1998, 10,753,834 shares of Common Stock, $.01 par value per share, were outstanding. 2 Item 14 of the Annual Report on Form 10-K for the year ended December 31, 1997, filed by Brooktrout Technology, Inc. is hereby amended to include restated financial data schedules as set forth below: ITEM 14. EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K (a)(3) Exhibits The following exhibits are filed as part of this report. Exhibit No. Title - ---------------------------------------------------------------------------- 23.1 Independent Auditors' Consent 27.2 Restated Financial Data Schedules for Fiscal Year ended 1996 and for Quarters 1, 2 and 3 of 1996 27.3 Restated Financial Data Schedules for Quarters 1, 2 and 3 of 1997 3 Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. BROOKTROUT TECHNOLOGY, INC. By: /s/ Eric R. Giler --------------------------- Eric R. Giler President Date: April 29, 1998 SIGNATURE 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 in the capacities and on the dates indicated. Signatures Title Date - ---------- ----- ---- /s/ Eric R. Giler President and Director (Principal April 29, 1998 - --------------------- Executive Officer) Eric R. Giler /s/ Robert C. Leahy Vice President of Finance and April 29, 1998 - ---------------------- Operations and Treasurer Robert C. Leahy (Principal Financial and Accounting Officer) /s/ David W. Duehren Vice President and Director April 29, 1998 - ---------------------- David W. Duehren /s/ Patrick T. Hynes Vice President and Director April 29, 1998 - ---------------------- Patrick T. Hynes /s/ Robert G. Barrett Director April 29, 1998 - ---------------------- Robert G. Barrett /s/ David L. Chapman Director April 29, 1998 - ---------------------- David L. Chapman /s/ W. Brooke Tunstall Director April 29, 1998 - ---------------------- W. Brooke Tunstall EX-23.1 2 INDEPENDENT AUDITORS CONSENT 1 EXHIBIT 23.1 INDEPENDENT AUDITORS' CONSENT We consent to the incorporation by reference in Registration Statement No. 33-55708 on Form S-8, and in Registration Statement No. 33-55900 on Form S-8 of our reports dated February 11, 1998, appearing in and incorporated by reference in the Annual Report on Form 10-A of Brooktrout Technology, Inc. for the year ended December 31, 1997. DELOITTE & TOUCHE LLP Boston, Massachusetts April 29, 1998 EX-27.2 3 RESTTATED FINANCIAL DATA SCHEDULE
5 Exhibit 27.2 THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM BROOKTROUT TECHNOLOGY, INC.'S CONDENSED CONSOLIDATED BALANCE SHEET AND STATEMENTS OF INCOME FOR THE PERIOD ENDED DECEMBER 31, 1996 AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH BROOKTRUST TECHNOLOGY, INC.'S 10-K FOR THE PERIOD ENDED DECEMBER 31, 1996. 1,000 12-MOS 3-MOS 3-MOS 3-MOS DEC-31-1996 DEC-31-1996 DEC-31-1996 DEC-31-1996 JAN-01-1996 JAN-01-1996 APR-01-1996 JUL-01-1996 DEC-31-1996 MAR-31-1996 JUN-30-1996 SEP-30-1996 30,738 14,794 16,683 28,060 8,976 7,585 7,262 7,261 7,107 5,718 6,599 7,374 524 504 483 497 5,504 4,346 5,836 5,272 53,950 33,421 36,886 48,623 5,298 3,695 4,030 4,537 1,438 951 1,059 1,239 58,366 36,739 40,453 52,482 10,542 8,902 11,963 10,714 0 0 0 0 0 0 0 0 0 0 0 0 107 97 98 105 0 0 0 0 58,366 36,739 40,453 52,482 58,827 11,300 13,445 15,874 58,827 11,300 13,445 15,874 26,059 5,097 5,708 7,148 26,059 5,097 5,708 7,148 22,077 2,984 4,490 5,357 0 0 0 0 0 0 0 0 11,973 1,926 1,801 3,697 5,108 760 1,107 1,479 6,865 1,166 694 2,218 0 0 0 0 0 0 0 0 0 0 0 0 6,865 1,166 694 2,218 .69 .12 .07 .22 .63 .11 .07 .20
EX-27.3 4 RESTATED FINANCIAL DATA SCHEDULE
5 Exhibit 27.3 THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM BROOKTROUT TECHNOLOGY, INC.'S CONDENSED CONSOLIDATED BALANCE SHEET AND STATEMENTS OF INCOME FOR THE PERIOD ENDED MARCH 31, 1997 AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH BROOKTROUT TECHNOLOGY, INC.'S 10-Q FOR THE PERIOD ENDED MARCH 31, 1997. 1,000 3-MOS 3-MOS 3-MOS DEC-31-1997 DEC-31-1997 DEC-31-1997 JAN-01-1997 APR-01-1997 JUL-01-1997 MAR-31-1997 JUN-30-1997 SEP-30-1997 32,549 20,865 23,313 7,788 8,309 8,267 7,613 11,162 10,673 572 1,100 1,270 5,873 8,511 8,690 55,163 51,867 54,606 6,190 8,440 9,190 1,681 1,972 2,553 60,221 60,831 62,504 10,823 12,843 13,720 0 0 0 0 107 0 0 0 0 107 0 107 0 0 0 60,221 60,831 62,504 15,070 14,725 19,493 15,070 14,725 19,493 6,522 6,543 8,804 6,522 6,543 8,804 6,431 11,118 9,669 0 0 0 0 0 0 2,558 (2,455) 1,347 998 (980) 531 1,560 (1,475) 816 0 0 0 0 0 0 0 0 0 1,560 (1,475) 816 .15 (.14) .08 .14 (.13) .07
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