10-K/A 1 previo_10ka-093001.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 FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2001 -------------------------------------------------------------------------------- [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM _________ TO _________ -------------------------------------------------------------------------------- COMMISSION FILE NO. 0-20095 PREVIO, INC. (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) DELAWARE 95-3825313 (STATE OR OTHER JURISDICTION OF (I.R.S. EMPLOYER INCORPORATION OR ORGANIZATION) IDENTIFICATION NO.) 12636 HIGH BLUFF DRIVE, 4TH FLOOR, SAN DIEGO, CALIFORNIA 92130-2093 (ADDRESS OF PRINCIPAL EXECUTIVE OFFICES) (ZIP CODE) REGISTRANT'S TELEPHONE NUMBER, INCLUDING AREA CODE: (858) 794-3789 SECURITIES REGISTERED PURSUANT TO SECTION 12(b) OF THE ACT: NONE 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 (Section 229.405 of this chapter) 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 of any amendment to this Form 10-K. [X] The aggregate market value of the voting stock held by non-affiliates of the Registrant as of December 31, 2001 was $7,033,503.* The number of shares outstanding of the Registrant's Common Stock was 6,881,062 as of December 31, 2001. DOCUMENTS INCORPORATED BY REFERENCE Registrant's Definitive Proxy Statement to be filed with the Securities and Exchange Commission (the "Commission") pursuant to Regulation 14A in connection with the 2002 Annual Meeting of Stockholders to be held on March 6, 2002 (the "2002 Annual Meeting") is incorporated herein by reference into Part III of this Report. ------------ * Excludes the Common Stock held by executive officers, directors and stockholders whose ownership exceeds 5% of the Common Stock outstanding at December 31, 2001. Exclusion of such shares should not be construed to indicate that any such person possesses the power, direct or indirect, to direct or cause the direction of the management or policies of the Registrant or that such person is controlled by or under common control with the Registrant. ================================================================================ SIGNATURES 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. PREVIO, INC. By: /s/ Tom Dilatush --------------------------------- Tom Dilatush Chief Executive Officer Date: January 4, 2002 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.
SIGNATURE TITLE DATE --------- ----- ---- /s/ Corey M. Smith* Chairman of the Board January 4, 2002 ------------------------------------- (Corey M. Smith) /s/ Tom Dilatush Chief Executive Officer January 4, 2002 ------------------------------------- (Tom Dilatush) /s/ Clifford L. Flowers* Vice President of Finance, January 4, 2002 ------------------------------------- Chief Financial Officer and (Clifford L. Flowers) Secretary (Principal Financial and Accounting Officer) /s/ Antonio Perez* Director January 4, 2002 ------------------------------------- (Antonio Perez) /s/ Peter D. Schleider* Director January 4, 2002 ------------------------------------- (Peter D. Schleider) /s/ Robert W. Johnson* Director January 4, 2002 ------------------------------------- (Robert W. Johnson) /s/ Gary W. Clow* Director January 4, 2002 ------------------------------------- (Gary W. Clow)
*By /s/Tom Dilatush ------------------- Tom Dilatush Attorney-in-fact 1