-----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, WvDwa3KgWfv7nZgdwc2yCWTmv/UQHnkraowGPiBzuHapd+dCpgmNkzwJl6FTutT5 z/elsZGW2nwz1lg3ZJpcnQ== 0001104659-04-026757.txt : 20040902 0001104659-04-026757.hdr.sgml : 20040902 20040902162102 ACCESSION NUMBER: 0001104659-04-026757 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20030930 FILED AS OF DATE: 20040902 DATE AS OF CHANGE: 20040902 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TUT SYSTEMS INC CENTRAL INDEX KEY: 0000878436 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 942958543 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-25291 FILM NUMBER: 041014143 BUSINESS ADDRESS: STREET 1: 6000 SW MEADOWS RD, SUITE #200 CITY: LAKE OSWEGO STATE: OR ZIP: 97035 BUSINESS PHONE: 503-594-1400 MAIL ADDRESS: STREET 1: 6000 SW MEADOWS RD, SUITE #200 CITY: LAKE OSWEGO STATE: OR ZIP: 97035 FORMER COMPANY: FORMER CONFORMED NAME: TUTANKHAMON ELECTRONICS INC DATE OF NAME CHANGE: 19940308 10-Q/A 1 a04-10172_510qa.htm 10-Q/A

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

FORM 10-Q/A

 

(AMENDMENT NO. 2 TO FORM 10-Q)

 

ý

 

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

 

For the quarterly period ended September 30, 2003

 

TUT SYSTEMS, INC.
(Exact name of Registrant as specified in its charter)

 

Delaware

94-2958543

(State or Other Jurisdiction of Incorporation or Organization)

(I.R.S. Employer Identification No.)

 

 

6000 SW Meadows Drive, Suite 200
Lake Oswego, Oregon

97035

(Address of Principal Executive Offices)

(Zip Code)

 

Registrant’s telephone number, including area code: (503) 594-1400

 

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 ý  No o

 

Indicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes o  No ý.

 

As of October 24, 2003, 20,231,366 shares of registrant’s common stock, par value $0.001 per share, were issued and outstanding.

 


 

The undersigned registrant hereby amends the Form 10-Q originally filed on October 30, 2003, as amended on June 11, 2004 (the “Form 10-Q”), solely for the purpose of revising the Company’s disclosure of whether it is an accelerated filer, as set forth herein.  At the time of the filing of the Form 10-Q, the Company incorrectly indicated in its filing that it was an accelerated filer, as that term is defined in Rule 12b-2 of the Act. The Company was not an accelerated filer at the time of filing the Form 10-Q, nor at the time that the Form 10-Q was amended on June 11, 2004.  This Form 10-Q/A does not reflect events occurring after the filing of the original Form 10-Q, as amended, or modify or update the disclosures therein in any way other than as reflected below.

 

Solely with respect to disclosure of whether the Company is an accelerated filer (as defined in Rule 12b-2 of the Act), the cover page to the Form 10-Q is hereby amended and restated as follows:

 

“Indicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes o  No ý.”

2


 

SIGNATURE

 

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.

 

Date:  September 2, 2004

 

 

 

Tut Systems, Inc.

 

 

 

 

 

 

By:

/s/ Randall K. Gausman

 

 

 

Randall K. Gausman,

 

 

 

Vice-President, Finance and Chief Financial Officer (Principal Financial Officer)

 

3


 

INDEX TO EXHIBITS

 

Exhibit Number

 

Exhibit

 

 

 

31.1

 

Certification of Chief Executive Officer pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002.

 

 

 

31.2

 

Certification of Chief Financial Officer pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002.

 

4

 EX-31.1 2 a04-10172_5ex31d1.htm EX-31.1

Exhibit 31.1

CERTIFICATION

I, Salvatore D’Auria, certify that:

 

1.                                       I have reviewed this Form 10-Q/A Amendment No.2 of Tut Systems, Inc.;

 

2.                                       Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report.

 

Date: September 2, 2004

 

 

 

By:

/s/ Salvatore D’Auria

 

 

 

Salvatore D’Auria,

 

 

 

President, Chief Executive Officer and Chairman of the Board (Principal Executive Officer)

 

 EX-31.2 3 a04-10172_5ex31d2.htm EX-31.2

Exhibit 31.2

CERTIFICATION

I, Randall K. Gausman, certify that:

 

1.                                       I have reviewed this Form 10-Q/A Amendment No.2 of Tut Systems, Inc.;

 

2.                                       Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report.

 

Date: September 2, 2004

 

 

 

 

By:

/s/ Randall K. Gausman

 

 

 

Randall K. Gausman,

 

 

 

Vice-President, Finance and Administration, Chief Financial Officer and Secretary (Principal Financial Officer)

 

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