Amendment No.1 to Form 10-Q

 

 

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, 2011

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 0-28082

 

 

KVH Industries, Inc.

(Exact Name of Registrant as Specified in its Charter)

 

 

 

Delaware   05-0420589

(State or Other Jurisdiction of

Incorporation or Organization)

  

(I.R.S. Employer

Identification Number)

50 Enterprise Center, Middletown, RI 02842

(Address of Principal Executive Offices) (Zip Code)

(401) 847-3327

(Registrant’s Telephone Number, 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.    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 (§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  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   ¨    Accelerated filer   x
Non-accelerated filer   ¨  (Do not check if a smaller reporting company)    Smaller reporting company   ¨

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).    Yes  ¨    No  x

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

 

Date

  

Class

  

Outstanding shares

August 3, 2011   Common Stock, par value $0.01 per share   14,899,313

EXPLANATORY NOTE

The sole purpose of this Amendment No. 1 to KVH Industries, Inc.’s Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2011, filed with the Securities and Exchange Commission on August 4, 2011 (the “Form 10-Q”), is to furnish Exhibit 101 to the Form 10-Q in accordance with Rule 405 of Regulation S-T. Exhibit 101 provides the consolidated financial statements and related notes in the Form 10-Q formatted in XBRL (eXtensible Business Reporting Language).

No other changes have been made to the Form 10-Q. This Amendment No. 1 to the Form 10-Q speaks as of the original filing date of the Form 10-Q, does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update in any way disclosures made in the original Form 10-Q.

 

 

 

ITEM 6. EXHIBITS

Exhibits:

 

Exhibit

No.

         

Filed with

this Form

10-Q/A

      Incorporated by Reference  
  

Description

       Form    Filing Date    Exhibit No.  
  3.1    Amended and Restated Certificate of Incorporation, as amended       10-Q    August 6, 2010      3.1   
  3.2    Amended, Restated and Corrected Bylaws of KVH Industries, Inc.       8-K    July 31, 2007      3      
  4.1    Specimen certificate for the common stock       S-1/A    March 22, 1996      4.1   
10.1    Fifth Amendment and Note Modification Agreement, dated June 9, 2011 by and between KVH Industries, Inc. (the “Borrower”) and Bank of America, N.A. (the “Lender”), amending the Amended and Restated Credit and Security Agreement, dated July 17, 2003, as amended       8-K    June 14, 2011      10.1   
10.2    Second Amendment, dated June 9, 2011 by and between KVH Industries, Inc. (the “Borrower”) and Bank of America, N.A. (the “Lender”), amending the Loan Agreement, dated April 6, 2009, as amended       8-K    June 14, 2011      10.2   
31.1    Rule 13a-14(a)/15d-14(a) certification of principal executive officer       10-Q    August 4, 2011      31.1   
31.2    Rule 13a-14(a)/15d-14(a) certification of principal financial officer       10-Q    August 4, 2011      31.2   
32.1    Section 1350 certification of principal executive officer       10-Q    August 4, 2011      32.1   
32.2    Section 1350 certification of principal financial officer       10-Q    August 4, 2011      32.2   
101*    Interactive Data Files regarding (a) our Consolidated Balance Sheets as of June 30, 2011 and December 31, 2010, (b) our Consolidated Statements of Operations for the Three and Six Months Ended June 30, 2011 and 2010, (c) our Consolidated Statements of Cash Flows for the Six Months Ended June 30, 2011 and 2010 and (d) the Notes to such Consolidated Financial Statements.      X            

 

* Pursuant to Rule 406T of Regulation S-T, the Interactive Data Files on Exhibit 101 hereto 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, are deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections.

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.

 

Date: August 19, 2011

KVH Industries, Inc.

By:

  

/S/    PATRICK J. SPRATT        

  Patrick J. Spratt
 

(Duly Authorized Officer and Chief Financial and

Accounting Officer)

 

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Exhibit Index

 

Exhibit

No.

         

Filed with

this Form

10-Q/A

      Incorporated by Reference  
  

Description

       Form    Filing Date    Exhibit No.  
  3.1    Amended and Restated Certificate of Incorporation, as amended       10-Q    August 6, 2010      3.1   
  3.2    Amended, Restated and Corrected Bylaws of KVH Industries, Inc.       8-K    July 31, 2007      3      
  4.1    Specimen certificate for the common stock       S-1/A    March 22, 1996      4.1   
10.1    Fifth Amendment and Note Modification Agreement, dated June 9, 2011 by and between KVH Industries, Inc. (the “Borrower”) and Bank of America, N.A. (the “Lender”), amending the Amended and Restated Credit and Security Agreement, dated July 17, 2003, as amended       8-K    June 14, 2011      10.1   
10.2    Second Amendment, dated June 9, 2011 by and between KVH Industries, Inc. (the “Borrower”) and Bank of America, N.A. (the “Lender”), amending the Loan Agreement, dated April 6, 2009, as amended       8-K    June 14, 2011      10.2   
31.1    Rule 13a-14(a)/15d-14(a) certification of principal executive officer       10-Q    August 4, 2011      31.1   
31.2    Rule 13a-14(a)/15d-14(a) certification of principal financial officer       10-Q    August 4, 2011      31.2   
32.1    Section 1350 certification of principal executive officer       10-Q    August 4, 2011      32.1   
32.2    Section 1350 certification of principal financial officer       10-Q    August 4, 2011      32.2   
101*    Interactive Data Files regarding (a) our Consolidated Balance Sheets as of June 30, 2011 and December 31, 2010, (b) our Consolidated Statements of Operations for the Three and Six Months Ended June 30, 2011 and 2010, (c) our Consolidated Statements of Cash Flows for the Six Months Ended June 30, 2011 and 2010 and (d) the Notes to such Consolidated Financial Statements.      X            

 

* Pursuant to Rule 406T of Regulation S-T, the Interactive Data Files on Exhibit 101 hereto 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, are deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections.

 

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