Attached files
| file | filename |
|---|---|
| EX-31.1 - EX-31.1 - FINISAR CORP | f54478exv31w1.htm |
| EX-31.2 - EX-31.2 - FINISAR CORP | f54478exv31w2.htm |
| EX-32.1 - EX-32.1 - FINISAR CORP | f54478exv32w1.htm |
| EX-10.1 - EX-10.1 - FINISAR CORP | f54478exv10w1.htm |
| EX-31.3 - EX-31.3 - FINISAR CORP | f54478exv31w3.htm |
| EX-32.2 - EX-32.2 - FINISAR CORP | f54478exv32w2.htm |
| EX-32.3 - EX-32.3 - FINISAR CORP | f54478exv32w3.htm |
Table of Contents
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Amendment No. 1
Form 10-Q/A
(Mark One)
| þ | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the Quarterly Period Ended November 1, 2009
or
| o | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to
Commission file number 000-27999
Finisar Corporation
(Exact name of Registrant as specified in its charter)
| Delaware | 94-3038428 | |
| (State or other jurisdiction of
incorporation or organization) |
(I.R.S. Employer Identification No.) |
|
| 1389 Moffett Park Drive | ||
| Sunnyvale, California | 94089 | |
| (Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number, including area code:
408-548-1000
408-548-1000
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 þ No o
Indicate by check mark whether the registrant has submitted electronically and posted on its
corporate Web site, if any, every Interactive Data File required to be submitted and posted
pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period
that the registrant was required to submit and post such files). Yes o No o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated
filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large
accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the
Exchange Act. (Check one):
| Large accelerated filer o | Accelerated filer þ | Non-accelerated filer o | Smaller reporting company o | |||
| (Do not check if a smaller reporting company) |
||||||
Indicate by check mark whether the registrant is a shell company (as defined in Rule
12b-2 of the Exchange Act). Yes o No þ
At November 30, 2009, there were 64,808,071 shares of the registrant’s common stock, $.001 par
value, issued and outstanding.
TABLE OF CONTENTS
Table of Contents
FINISAR CORPORATION
AMENDMENT NO. 1 TO QUARTERLY REPORT ON FORM 10-Q/A
Explanatory Note
This Amendment No. 1 to the Quarterly Report on Form 10-Q/A for Finisar Corporation is being
filed solely for the purpose of filing a complete version of Exhibit 10.1, including the schedules
and exhibits thereto. Portions of Exhibit 10.1 have been redacted pursuant to a request for
confidential treatment that has been filed with the Securities and Exchange Commission. No
additions or changes have been or are otherwise being made to the information contained in the Form
10-Q that was filed with the Securities and Exchange Commission on December 10, 2009. Accordingly,
this Form 10-Q/A should be read in conjunction with the other filings made with the Securities and
Exchange Commission subsequent to the filing of the original Form 10-Q.
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Table of Contents
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.
| FINISAR CORPORATION |
||||
| By: | /s/ JERRY S. RAWLS | |||
| Jerry S. Rawls | ||||
| Chairman of the Board (Co-Principal Executive Officer) | ||||
| By: | /s/ EITAN GERTEL | |||
| Eitan Gertel | ||||
| Chief Executive Officer (Co-Principal Executive Officer) | ||||
| By: | /s/ STEPHEN K. WORKMAN | |||
| Stephen K. Workman | ||||
| Senior Vice President, Finance and Chief Financial Officer | ||||
Dated: January 11, 2010
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Table of Contents
EXHIBIT INDEX
| Exhibit | ||
| Number | Description | |
3.1*
|
Certificate of Amendment of the Restated Certificate of Incorporation of Finisar Corporation | |
4.1*
|
Specimen certificate representing the common stock | |
10.1**
|
Credit Agreement dated October 2, 2009 by and among Finisar Corporation, Optium Corporation and Wells Fargo Foothill, LLC | |
10.2*
|
Security Agreement dated October 2, 2009, among Finisar Corporation, Optium Corporation, AZNA LLC, Finisar Sales, Inc., Kailight Photonics, Inc. and Wells Fargo Foothill, LLC | |
10.3*
|
Purchase Agreement dated October 8, 2009, by and between Finisar Corporation and Piper Jaffrey & Co., as amended by a letter agreement dated October 12, 2009 | |
31.1
|
Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | |
31.2
|
Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | |
31.3
|
Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | |
32.1
|
Certification of Chief Executive Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | |
32.2
|
Certification of Chief Executive Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | |
32.3
|
Certification of Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
| * | Previously filed. | |
| ** | Portions of this agreement have been redacted pursuant to a request for confidential treatment that has been filed with the Securities and Exchange Commission. |
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