Attached files
file | filename |
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EX-31.1 - EXHIBIT 31.1 - BURLINGTON NORTHERN SANTA FE, LLC | c00146exv31w1.htm |
EX-31.2 - EXHIBIT 31.2 - BURLINGTON NORTHERN SANTA FE, LLC | c00146exv31w2.htm |
Table of Contents
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-K/A
(Amendment No. 1)
þ | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
FOR THE FISCAL YEAR ENDED DECEMBER 31, 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: 1-11535
Exact name of registrant as specified in its charter
Burlington Northern Santa Fe, LLC
(Formerly, Burlington Northern Santa Fe Corporation)
State of Incorporation or Organization | I.R.S. Employer Identification No. | |
Delaware | 27-1754839 |
Address of principal executive offices, including zip code
2650 Lou Menk Drive, Fort Worth, Texas 76131-2830
Registrants telephone number, including area code
(800) 795-2673
2650 Lou Menk Drive, Fort Worth, Texas 76131-2830
Registrants telephone number, including area code
(800) 795-2673
Securities registered pursuant to Section 12(b) of the Act:
Title of each class | Name of each exchange on which registered | |
None |
Securities registered pursuant to Section 12(g) of the Act:
None
None
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes þ No o
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes o No þ
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 requirement 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 (§ 232.405 of this chapter) during the preceding 12 months
(or for such shorter period that the registrant was required to submit and post such files).
Yes þ No o
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§
229.405) is not contained herein, and will not be contained, to the best of registrants 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. þ
Indicate by check mark whether the registrant is a large accelerated filer, accelerated filer,
non-accelerated filer, or smaller reporting company (as defined in Rule 12b-2 of the Act).
Large accelerated filer þ | Accelerated filer o | Non-accelerated filer o | Smaller reporting company o |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the
Act). Yes o No þ
The aggregate market value of the voting stock held by non-affiliates of the registrant was
approximately $24.794 billion on June 30, 2009. For purposes of this calculation only, the
registrant has excluded stock beneficially owned by directors and officers. By doing so, the
registrant does not admit that such persons are affiliates within the meaning of Rule 405 under the
Securities Act of 1933 or for any other purpose.
Indicate the number of shares outstanding of each of the registrants classes of common stock, as
of the latest practicable date:
100% of the membership interests of Burlington Northern Santa Fe, LLC are outstanding as of May 3,
2010, and held by National Indemnity Company, an indirect, wholly owned subsidiary of Berkshire
Hathaway Inc.
Registrant meets the conditions set forth in General Instruction I (1) (a) and (b) of Form 10-K and
is therefore filing this Form 10-K with the reduced disclosure format permitted by General
Instruction I (2).
DOCUMENTS INCORPORATED BY REFERENCE
None
None
Table of Contents
Explanatory Note
This Amendment No. 1 on Form 10-K/A (Form 10-K/A) to our Annual Report on Form 10-K for the
fiscal year ended December 31, 2009, which was filed with the U.S. Securities and Exchange
Commission (SEC) on February 11, 2010 (Original Filing), is being filed for the sole purpose of
including the information required in Part III, Item 14, because we did not file a definitive proxy
statement within 120 days after the end of our 2009 fiscal year and to add the statement on the
cover page of this Form 10-K/A that Burlington Northern Santa Fe, LLC (BNSF) meets the conditions set
forth in General Instructions
(I)(1)(a) and (b) of Form 10-K and is therefore filing this form with the reduced disclosure
format. All of the membership interests of BNSF are held by
National Indemnity Company, an indirect, wholly owned subsidiary of Berkshire Hathaway Inc. As a
wholly owned subsidiary of a publicly traded company, BNSF is not required to file a definitive
proxy statement with the SEC. Accordingly, the information required by Item 14 of Part III is set
forth in this Form 10-K/A. The reference on the cover of the Original Filing to the incorporation
by reference of our definitive proxy statement into Part III of the Original Filing is hereby
deleted. In addition, Item 15 of Part IV is being amended solely to include currently dated
certifications from BNSFs principal executive officer and principal financial officer, as required
by Rule 13a-14(a) under the Securities Exchange Act of 1934. This Form 10-K/A is not intended to
amend or otherwise update other information in the Original Filing. Accordingly, this Form 10-K/A
should be read in conjunction with the Original Filing and with our filings made with the
SEC subsequent to the filing of the Original Filing.
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Table of Contents
Part III
Item 14. Principal Accountant Fees and Services
Independent Auditor Fees
The following table presents the fees
incurred by Burlington Northern Santa Fe Corporation, including its majority-owned subsidiaries,
for services provided by PricewaterhouseCoopers LLP, the independent auditor, for the twelve months
ended December 31 (in thousands):
2009 | 2008 | |||||||
Audit fees |
$ | 2,790 | $ | 2,507 | ||||
Tax fees |
79 | 151 | ||||||
All other fees |
78 | 23 | ||||||
Total |
$ | 2,947 | $ | 2,681 | ||||
Tax Fees
Tax fees consist of professional services for tax compliance, tax audit and tax planning for
specific transactions or potential transactions of the Company.
All Other Fees
All other fees consist of professional services for a benchmarking study and a limited design
review of certain aspects of an ERP system implemented in 2009.
Pre-Approval Policies and Procedures
During 2009 and 2008, the Audit Committee of Burlington Northern Santa Fe Corporation or its
Chairman pre-approved all fees and services provided by the independent auditor, subject to the
exceptions for non-audit services described in the Securities Exchange Act of 1934 and rules and
regulations thereunder.
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Part IV
Item 15. Exhibits and Financial Statement Schedules
(a) The following documents are filed as part of this report:
2. Exhibits:
See Index to Exhibits beginning on page E-1 for a description of the exhibits filed as a
part of this Report on Form 10-K/A.
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Signatures
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934,
Burlington Northern Santa Fe, LLC has duly caused this Amendment No. 1 to be signed on its behalf
by the undersigned, thereunto duly authorized.
Burlington Northern Santa Fe, LLC | ||||||
Dated: May 3, 2010
|
By: | /s/ Matthew K. Rose
|
||||
Chairman, President and | ||||||
Chief Executive Officer |
S-1
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Burlington Northern Santa Fe, LLC and Subsidiaries
Exhibit Index
Incorporated by Reference | ||||||||||||
(if applicable) | ||||||||||||
Exhibit Number and Description | Form | File Date | File No. | Exhibit | ||||||||
(31) | Rule 13a-14(a)/15d-14(a) Certifications |
|||||||||||
31.1 | Principal Executive Officers
Certifications Pursuant to Rule
13a-14(a) (Section 302 of the
Sarbanes-Oxley Act of 2002).
|
|||||||||||
31.2 | Principal Financial Officers
Certifications Pursuant to Rule
13a-14(a) (Section 302 of the
Sarbanes-Oxley Act of 2002).
|
| Filed herewith |
E-1