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EXCEL - IDEA: XBRL DOCUMENT - ZYGO CORPFinancial_Report.xls
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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 September 30, 2012

 

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 0-12944

 

 

 

ZYGO CORPORATION


(Exact name of registrant as specified in its charter)

 

Delaware

06-0864500

 




(State or other jurisdiction of incorporation or organization)

(I.R.S. Employer Identification No.)

 

 

 

 

Laurel Brook Road, Middlefield, Connecticut

06455

 




(Address of principal executive offices)

(Zip Code)

 

 

 

 

(860) 347-8506



Registrant’s telephone number, including area code

 

N/A


(Former name, former address, and former fiscal year, if changed from 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.

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 files).

x 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.

 

 

 

 

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).
o YES x NO

APPLICABLE ONLY TO CORPORATE ISSUERS:

Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date.

18,436,393 shares of Common Stock, $.10 Par Value, at September 30, 2012

1


EXPLANATORY NOTE

This Amendment No. 1 (“Amendment No. 1”) to the Quarterly Report on Form 10-Q of Zygo Corporation for the quarter ended September 30, 2012, filed with the U.S. Securities and Exchange Commission (the “SEC”) on November 9, 2012 (the “Original Filing”), is solely for the purpose of furnishing Exhibit 101 (XBRL interactive data) thereto, which was omitted from the Original Filing. Amendment No. 1 revises the exhibit index included in Part II, Item 6 of the Original Filing and Exhibit 101 is included as an exhibit to Amendment No. 1.

Except as described above, Amendment No. 1 does not modify or update the disclosures presented in, or exhibits to, the Original Filing in any way. Those sections of the Original Filing that are unaffected by Amendment No. 1 are not included herein. Amendment No.1 continues to speak as of the date of the Original Filing. Furthermore, Amendment No. 1 does not reflect events occurring after the filing of the Original Filing.

2


PART II - Other Information

Item 6. Exhibits

 

 

 

 

(a)

Exhibits:

 

 

 

10.1+§

ZygoLot Share Purchase Agreement, dated September 28, 2012

 

 

 

 

 

31.1+

Certification Pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934, As Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

 

 

 

 

 

31.2+

Certification Pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934, 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

 

 

 

 

 

32.2+

Certification Pursuant to 18 U.S.C. Section 1350, As Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

 

 

 

 

 

101.INS*

XBRL Instance Document

 

 

 

 

 

101.SCH*

XBRL Taxonomy Extension

 

 

 

 

101.CAL*

XBRL Taxonomy Extension Calculation Linkbase

 

 

 

 

 

101.DEF*

XBRL Taxonomy Extension Definition Linkbase

 

 

 

 

 

101.LAB*

XBRL Taxonomy Extension Label Linkbase

 

 

 

 

 

101.PRE*

XBRL Taxonomy Extension Presentation Linkbase

+          Filed with the Original Filing.

§          Confidential treatment has been requested for certain confidential information contained in this exhibit, marked by brackets. The omitted information has been filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended.

*          Pursuant to Rule 406T of Regulation S-T, these interactive data files are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, or Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections.

3


SIGNATURE

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.

 

 

 

 

Zygo Corporation

 

 


 

 

(Registrant)

 

 

 

 

 

/s/ Chris L. Koliopoulos

 

 


 

 

Chris L. Koliopoulos

 

 

President and Chief Executive Officer

 

 

 

 

 

/s/ John P. Jordan

 

 


 

 

John P. Jordan

 

 

Vice President, Chief Financial Officer and Treasurer

 

Date: November 13, 2012

4


EXHIBIT INDEX

 

 

 

 

 

10.1+§

ZygoLot Share Purchase Agreement, dated September 28, 2012

 

 

 

 

 

31.1+

Certification Pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934, As Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

 

 

 

 

 

31.2+

Certification Pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934, 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

 

 

 

 

 

32.2+

Certification Pursuant to 18 U.S.C. Section 1350, As Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

 

 

 

 

 

101.INS*

XBRL Instance Document

 

 

 

 

 

101.SCH*

XBRL Taxonomy Extension

 

 

 

 

 

101.CAL*

XBRL Taxonomy Extension Calculation Linkbase

 

 

 

 

 

101.DEF*

XBRL Taxonomy Extension Definition Linkbase

 

 

 

 

 

101.LAB*

XBRL Taxonomy Extension Label Linkbase

 

 

 

 

 

101.PRE*

XBRL Taxonomy Extension Presentation Linkbase

+          Filed with the Original Filing.

§          Confidential treatment has been requested for certain confidential information contained in this exhibit, marked by brackets. The omitted information has been filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended.

*          Pursuant to Rule 406T of Regulation S-T, these interactive data files are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, or Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections.