Attached files
file | filename |
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EX-10.2 - SYPRIS SOLUTIONS INC | v167179_ex10-2.htm |
EX-31.I.3 - SYPRIS SOLUTIONS INC | v167179_ex31i3.htm |
EX-31.I.4 - SYPRIS SOLUTIONS INC | v167179_ex31i4.htm |
EX-10.1 - SYPRIS SOLUTIONS INC | v167179_ex10-1.htm |
EX-32.1 - SYPRIS SOLUTIONS INC | v167179_ex32-1.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 April 5, 2009
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: 0-24020
SYPRIS
SOLUTIONS, INC.
(Exact
name of registrant as specified in its charter)
Delaware
|
61-1321992
|
(State
or other jurisdiction
|
(I.R.S.
Employer
|
of
incorporation or organization)
|
Identification
No.)
|
101
Bullitt Lane, Suite 450
|
|
Louisville,
Kentucky 40222
|
(502)
329-2000
|
(Address
of principal executive
|
(Registrant’s
telephone number,
|
offices)
(Zip code)
|
including
area code)
|
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. x Yes o 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 reports). o Yes o 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):
o Large
accelerated filer
|
o Accelerated
filer
|
o Non-accelerated
filer
|
x Smaller
reporting company
|
Indicate
by check mark whether the registrant is a shell company (as defined in
Rule 12b-2 of the Exchange Act). o Yes x No
As of
November 10, 2009 the Registrant had 19,472,499 shares of common stock
outstanding.
EXPLANATORY
NOTE
The sole
purpose of this Amendment No. 1 to the Quarterly Report on Form 10-Q of Sypris
Solutions, Inc. (the “Company”) for the quarterly period ended April 5, 2009 as
filed with the Securities and Exchange Commission on May 20, 2009 (“Original
Filing”) is to furnish revised Exhibits 10.1 and 10.2 (in full text, rather than
as redacted, pursuant to a confidential treatment request) to the Original
Filing. Exhibits 10.1 and 10.2 furnished with the Original Filing
consisted of a redacted form of the 2009A Amendment to Loan Documents and a
redacted form of the Fourth Amendment to the Note Purchase Agreement for Sypris
Solutions, Inc. (the “Agreements”). In light of the Company’s more
recently announced amendments to each of those Agreements, the Company is
withdrawing its outstanding request for confidential treatment with respect to
the redacted portions of those Agreements.
This
Amendment No. 1 does not amend or update any other information set forth in the
Original Filing. This Amendment No. 1 does not reflect events occurring after
the date of filing of the Original Filing or modify or update any disclosures in
that filing, whether or not affected by subsequent events. With the
exception of the matters described above, the Original Filing is unchanged and
reflects the disclosures made as of its filing.
Part
II. Other Information
Exhibit
|
||
Number
|
Description
|
|
10.1
|
2009A
Amendment to Loan Documents between JP Morgan Chase Bank, NA, Sypris
Solutions, Inc., Sypris Test & Measurement, Inc., Sypris Technologies,
Inc., Sypris Electronics, LLC, Sypris Data Systems, Inc., Sypris
Technologies Marion, LLC and Sypris Technologies Kenton, Inc. dated April
1, 2009.
|
|
10.2
|
Fourth
Amendment to the Note Purchase Agreement dated as of April 1, 2009 between
Sypris Solutions, Inc., Sypris Test & Measurement, Inc., Sypris
Technologies, Inc., Sypris Electronics, LLC, Sypris Data Systems, Inc.,
Sypris Technologies Marion, LLC, Sypris Technologies Kenton, Inc., Sypris
Technologies Mexican Holdings, LLC; and The Guardian Life Insurance
Company Of America, Connecticut General Life Insurance Company , Life
Insurance Company of North America, Jefferson Pilot Financial Insurance
Company, Lincoln National Life Insurance Company, Lincoln Life &
Annuity Company of New York.
|
|
31(i).1*
|
Section
302 certification of CEO.
|
|
31(i).2*
|
Section
302 certification of CFO.
|
|
31(i).3
|
Section
302 certification of CEO.
|
|
31(i).4
|
Section
302 certification of CFO.
|
|
32*
|
Section
906 certifications of CEO and CFO.
|
|
32.1 |
Section
906 certifications of CEO and
CFO.
|
* Previously
filed or furnished, as applicable, as exhibit to Quarterly Report on
Form 10-Q for the quarter ended April 5, 2009, as filed with the Securities
and Exchange Commission on May 20, 2009.
1
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.
SYPRIS
SOLUTIONS, INC.
|
||||
(Registrant)
|
||||
Date:
|
November 20, 2009
|
By:
|
/s/ Brian A. Lutes
|
|
(Brian
A. Lutes)
|
||||
Vice
President & Chief Financial Officer
|
||||
Date:
|
November 20, 2009
|
By:
|
/s/ Rebecca R. Eckert
|
|
(Rebecca
R. Eckert)
|
||||
Controller
(Principal Accounting
Officer)
|
2