-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, L6HvFyY41IPUOiWlEt3afkvXf+HGO1QQfahbQDH5hhen3mC4VpbW2PhwrNNhqyMA h6nwsRO3/Zq/ByInYfnXLQ== 0001029869-97-000417.txt : 19970403 0001029869-97-000417.hdr.sgml : 19970403 ACCESSION NUMBER: 0001029869-97-000417 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19970402 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: APPLIX INC /MA/ CENTRAL INDEX KEY: 0000932112 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 042781676 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-25040 FILM NUMBER: 97573817 BUSINESS ADDRESS: STREET 1: 112 TURNPIKE RD CITY: WESTBORO STATE: MA ZIP: 01581 BUSINESS PHONE: 5088700300 10-K/A 1 AMENDMENT NO. 1 TO FORM 10-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 on Form 10-K/A [x] Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 1996 Commission File No. 0-25040 APPLIX, INC. - -------------------------------------------------------------------------------- (Exact name of registrant as specified in its charter) Massachusetts 04-2781676 - ------------------------------- ------------------ (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No.) 112 Turnpike Road, Westboro, Massachusetts 01581-2831 - -------------------------------------------------------------------------------- (Address of principal executive offices) (Zip Code) (508) 870-0300 -------------- Registrant's telephone number, including area code Securities registered pursuant to Section 12(b) of the Act: None Securities registered pursuant to Section 12(g) of the Act: Common Stock, $.0025 par value per share 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 if disclosure of delinquent filers pursuant to Item 405 of Regulation S- K is not contained herein, and will not be contained, to the best of registrant's 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. [x] On March 10, 1997, the aggregate market value of Common Stock held by non-affiliates of the registrant was $73,115,582 based on the closing price of the Common Stock on the Nasdaq National Market on March 10, 1996. The number of shares of Common Stock outstanding as of March 19, 1997 was 9,948,538. This Amendment No. 1 on Form 10-K/A to Annual Report on Form 10-K, as filed with the Commission on March 31, 1997, is being filed for the purpose of filing the Financial Data Schedule to the Annual Report on Form 10-K. Item 14. Exhibits, Financial Statement Schedules, and Reports on Form 8-K (a) Index to Consolidated Financial Statements. -13- 3. The Exhibits filed as a part of this Annual Report on Form 10-K are the following: *3.1 -- Restated Articles of Organization. *3.2 -- By-laws. *+10.1 -- 1994 Equity Incentive Plan. *+10.2 -- 1984 Stock Option Plan. **10.3 -- Commercial Lease between the Registrant and Westboro II-III, Inc. dated January 5, 1996. **10.4 -- Commercial Lease between the Registrant and Westboro I Real Estate Corp. dated January 15, 1996. * 10.5 -- Standard form of Applixware Software License Agreement. ** 10.6 -- 1996 Director Stock Option Plan. *** 11.1 -- Statement regarding computation of earnings per share. * 21.1 -- Subsidiaries of the Registrant. *** 23.1 -- Consent of Coopers & Lybrand L.L.P. 27.1 -- Financial Data Schedule
- ---------- -14- * Incorporated by reference from the Company's Registration Statement on Form S-1 (File no. 33-85688). ** Incorporated by referenced to the Registrant's Report on Form 10-K for the fiscal year ended December 31, 1995, as filed with the Commission on April 1, 1996. *** Previously filed. + Management contract or compensatory plan. -15- 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. APPLIX, INC., By: /s/ Patrick J. Scannell, Jr. -------------------------------- Patrick J. Scannell, Jr. Executive Vice President, Finance & Administration, Chief Financial Officer and Treasurer Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed by the following persons in the capacities and on the dates indicated.
Signature Title Date --------- ----- ---- /s/ Jitendra S. Saxena - ----------------------- President and Chief Executive Officer and Jitendra S. Saxena Director (Principal executive officer) April 2, 1997 Executive Vice President, Finance and /s/ Patrick J. Scannell, Jr. Administration, Chief Financial Officer and - ----------------------- Treasurer (Principal financing and accounting Patrick J. Scannell, Jr. officer) April 2, 1997 - ----------------------- Richard J. Davis Director /s/ Paul J. Ferri - ----------------------- Paul J. Ferri Director April 2, 1997 - ----------------------- Alain J. Hanover Director /s/ David C. Mahoney - ----------------------- David C. Mahoney Director April 2, 1997
-16- EXHIBIT INDEX
Exhibit No. Description - ----------- ----------- * 3.1 -- Restated Articles of Organization. * 3.2 -- By-laws. *+10.1 -- 1994 Equity Incentive Plan. *+10.2 -- 1984 Stock Option Plan. **10.3 -- Commercial Lease between the Registrant and Westboro II-III Inc. dated January 5, 1996. **10.4 -- Commercial Lease between the Registrant and Westboro I Real Estate Corp. dated January 15, 1996. * 10.5 -- Standard form of Applixware Software License Agreement. **10.6 -- 1996 Director Stock Option Plan. ***11.1 -- Statement regarding computation of earnings per share. *21.1 -- Subsidiaries of the Registrant. ***23.1 -- Consent of Coopers & Lybrand L.L.P. 27.1 -- Financial Data Schedule.
*Incorporated by reference from the Company's Registration Statement on Form S-1 (File no. 33-85688). **Incorporated by referenced to the Registrant's Report on Form 10-K for the fiscal year ended December 31, 1995, as filed with the Commission on April 1, 1996. ***Previously filed. + Management contract or compensatory plan.
EX-27 2 FINANCIAL DATA SCHEDULE
5 1000 YEAR DEC-31-1996 JAN-01-1996 DEC-31-1996 19,882 0 13,222 518 0 38,238 10,057 5,401 44,514 17,114 0 0 0 25 27,375 44,514 51,237 51,237 7,513 7,513 43,217 0 0 1,772 4,408 (2,636) 0 0 0 (2,636) (0.27) (0.27)
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