Attached files
| file | filename |
|---|---|
| EX-10.5 - EXHIBIT - DOT HILL SYSTEMS CORP | hill-2014630xex10510xqa.htm |
| EX-31.1 - EXHIBIT - DOT HILL SYSTEMS CORP | hill-2014630xex31110xqa.htm |
| EX-31.2 - EXHIBIT - DOT HILL SYSTEMS CORP | hill-2014630xex31210xqa.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
_______________________________
FORM 10-Q/A (Amendment No. 1)
_______________________________
(Mark One)
x | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the Quarterly Period Ended June 30, 2014
OR
¨ | 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 1-13317
_______________________________
DOT HILL SYSTEMS CORP.
(Exact name of registrant as specified in its charter)
_______________________________
Delaware | 13-3460176 | |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) | |
1351 S. Sunset Street, Longmont, CO | 80501 | |
(Address of principal executive offices) | (Zip Code) | |
(303) 845-3200
(Registrant’s telephone number, including area code)
(Former name, former address and former fiscal year, if changed since last report)
_______________________________
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 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 x No ¨
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 | x | |||
Non-accelerated filer | o (Do not check if a smaller reporting company) | Smaller reporting company | o | |||
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ¨ No x
The registrant had 60,377,412 shares of common stock, $0.001 par value, outstanding as of July 31, 2014.
Explanatory Note
Dot Hill Systems Corp. (“Dot Hill” or the “Company”) is filing this amendment to its quarterly report on Form 10-Q (the “Form 10-Q”), originally filed with the Securities and Exchange Commission (the “SEC”) on August 8, 2014, as an exhibit-only filing solely for the purpose of amending Exhibit 10.5 filed with the Form 10-Q to reflect changes made to portions of Exhibit 10.5. No other information included in the Form 10-Q is amended by this Form 10-Q/A.
In connection with the filing of this Amendment and pursuant to the rules of the Securities and Exchange Commission, we are including with this Amendment new certifications by our principal executive and principal financial officer.
Except as described above, no other changes have been made to the Original Filing. The Original Filing continues to speak as of the date of the Original Filing, and we have not updated the disclosures contained therein to reflect any events which occurred at a date subsequent to the filing of the Original Filing other than as expressly indicated in this Amendment.
Part II. Other Information
Item 6. Exhibits
The following exhibits are included as part of this quarterly report on Form 10-Q:
2.1 | Agreement and Plan of Merger and Reorganization dated as of January 4, 2010, among Dot Hill Systems Corp., Telluride Acquisition Sub, Inc., Cloverleaf Communications Inc., Cloverleaf Communications (Israel) Ltd., Cloverleaf Communications Corporation (BVI) and E. Shalev Management 2000 (1999) Ltd. (1) |
3.1 | Certificate of Incorporation of Dot Hill Systems Corp. (2) |
3.2 | Amended and Restated Bylaws of Dot Hill Systems Corp. (3) |
4.1 | Form of Common Stock Certificate. (4) |
4.2 | Certificate of Designation of Series A Junior Participating Preferred Stock, as filed with the Secretary of State of Delaware on May 19, 2003. (5) |
4.3 | Form of Rights Certificate. (5) |
4.4 | Warrant to Purchase Shares of Common Stock dated January 4, 2008. (6) |
10.1† | Addendum Two to Product Purchase Agreement dated September 10, 2007 by and between Dot Hill Systems Corp. and Hewlett-Packard Company. (7) |
10.2 | Amendment Three to Product Purchase Agreement dated September 10, 2007 by and between Dot Hill Systems Corp. and Hewlett-Packard Company. (7) |
10.3 | Amendment Four to Product Purchase Agreement dated September 10, 2007 by and between Dot Hill Systems Corp. and Hewlett-Packard Company. (7) |
10.4† | Amendment Five to Product Purchase Agreement dated September 10, 2007 by and between Dot Hill Systems Corp. and Hewlett-Packard Company. (7) |
10.5† | Amendment Six to Product Purchase Agreement dated September 10, 2007 by and between Dot Hill Systems Corp. and Hewlett-Packard Company. |
10.6† | Amendment Nine to Product Purchase Agreement dated September 10, 2007 by and between Dot Hill Systems Corp. and Hewlett-Packard Company. (7) |
10.7† | Amendment Ten to Product Purchase Agreement dated September 10, 2007 by and between Dot Hill Systems Corp. and Hewlett-Packard Company. (7) |
10.8† | Amendment Thirteen to Product Purchase Agreement dated September 10, 2007 by and between Dot Hill Systems Corp. and Hewlett-Packard Company. (7) |
10.9 | First Amendment to Loan and Security Agreement dated July 30,2009 by and between Dot Hill Systems Corp. and Silicon Valley Bank. (7) |
10.10 | Second Amendment to Loan and Security Agreement dated February 3, 2011 by and between Dot Hill Systems Corp. and Silicon Valley Bank. (7) |
10.11 | Non-Employee Director Compensation Policy. (7) |
31.1 | Certification pursuant to 17 CFR 240.13a-14(a) or 17 CFR 240.15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
31.2 | Certification pursuant to 17 CFR 240.13a-14(a) or 17 CFR 240.15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
32.1* | Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. (7) |
101.INS** | XBRL Instance Document (7) |
101.SCH** | XBRL Taxonomy Extension Schema Document (7) |
101.CAL** | XBRL Taxonomy Extension Calculation Linkbase Document (7) |
101.LAB** | XBRL Taxonomy Extension Label Linkbase Document (7) |
101.PRE** | XBRL Taxonomy Extension Presentation Linkbase Document (7) |
* | These certifications are being furnished solely to accompany this annual report pursuant to 18 U.S.C. Section 1350, and are not being filed for purposes of Section 18 of the Securities Exchange Act of 1934 and are not to be incorporated by reference into any filing of the registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing. |
** | Pursuant to applicable securities laws and regulations, we are deemed to have complied with the reporting obligation relating to the submission of interactive data files in such exhibits and are not subject to liability under any anti-fraud |
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provisions of the federal securities laws as long as we have made a good faith attempt to comply with the submission requirements and promptly amend the interactive data files after becoming aware that the interactive data files fail to comply with the submission requirements. Users of this data are advised that, pursuant to Rule 460T, these interactive data files are deemed not filed and otherwise are not subject to liability.
† | Confidential treatment has been granted by, or requested from, the SEC. |
(1) | Filed as an exhibit to our Current Report on Form 8-K filed with the SEC on January 5, 2010 and incorporated herein by reference. |
(2) | Filed as an exhibit to our Current Report on Form 8-K filed with the SEC on September 19, 2001 and incorporated herein by reference. |
(3) | Filed as an exhibit to our Current Report on Form 8-K filed with the SEC on December 26, 2007 and incorporated herein by reference. |
(4) | Filed as an exhibit to our Current Report on Form 8-K filed with the SEC on January 14, 2003 and incorporated herein by reference. |
(5) | Filed as an exhibit to our Current Report on Form 8-K filed with the SEC on May 19, 2003 and incorporated herein by reference. |
(6) | Filed as an exhibit to our Current Report on Form 8-K filed with the SEC on January 7, 2008 and incorporated herein by reference. |
(7) | Filed as an exhibit to our Quarterly Report on Form 10-Q filed with the SEC on August 8, 2014 and incorporated herein by reference. |
Dot Hill’s Current Reports on Form 8-K have a Commission File Number of 001-13317.
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SIGNATURES
Pursuant to the requirements 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.
Dot Hill Systems Corp. | ||||
Date: | December 3, 2014 | |||
By: | /s/ DANA W. KAMMERSGARD | |||
Dana W. Kammersgard | ||||
Chief Executive Officer, President and Director | ||||
(Principal Executive Officer) | ||||
Date: | December 3, 2014 | |||
By: | /s/ HANIF I. JAMAL | |||
Hanif I. Jamal | ||||
Senior Vice President, Chief Financial Officer, Treasurer and Corporate Secretary | ||||
(Principal Financial and Accounting Officer) | ||||
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