Stoneridge, Inc. 10-K/A
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
(Amendment No. 1)
     
þ   ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2006
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: 001-13337
STONERIDGE, INC.
(Exact name of registrant as specified in its charter)
     
Ohio   34-1598949
     
(State or other jurisdiction of
incorporation or organization)
  (I.R.S. Employer
Identification No.)
     
9400 East Market Street, Warren, Ohio   44484
     
(Address of principal executive offices)   (Zip Code)
(330) 856-2443
Registrant’s telephone number, including area code
Securities registered pursuant to Section 12(b) of the Act:
     
Title of each class   Name of each exchange on which registered
     
Common Shares, without par value   New York Stock Exchange
Securities registered pursuant to section 12(g) of the Act:
None
     Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. o Yes  þ No
     Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. o Yes  þ No
     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. þ Yes  o No
     Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§ 229.405 of this chapter) 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.  o
     Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer. See definition of “accelerated filer and large accelerated filer” in Rule 12b-2 of the Exchange Act. (Check one):
Large accelerated filer  o     Accelerated filer  þ     Non-accelerated filer  o
     Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). o Yes  þ No
     As of July 1, 2006, the aggregate market value of the registrant’s Common Shares, without par value, held by non-affiliates of the registrant was approximately $112.6 million. The closing price of the Common Shares on June 30, 2006 as reported on the New York Stock Exchange was $8.30 per share. As of July 1, 2006, the number of Common Shares outstanding was 23,225,949.
     The number of Common Shares, without par value, outstanding as of February 16, 2007 was 23,804,417.
DOCUMENTS INCORPORATED BY REFERENCE
     None
 
 

 


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EXPLANATORY STATEMENT
     This Amendment No. 1 on Form 10-K/A, which amends the Company’s Form 10-K for the year ended December 31, 2006, filed with the Securities and Exchange Commission (the “SEC”) on March 16, 2007 (the “Original Filing”), is being filed to include Exhibit 99.1, financial statements of PST Indústria Eletrônica da Amazônia Ltda. (“PST”).
     This Form 10-K/A amends Item 15 of Part IV of the Original Filing by filing Exhibits 99.1 and 23.1. The CEO and CFO of the Company have also reissued their certifications required by Sections 302 and 906 of the Sarbanes-Oxley Act of 2002. All other information is unchanged and reflects those disclosures made at the time of the Original Filing.
     During the preparation of the Company’s 2006 financial statements, it was determined that one of the Company’s joint ventures, PST, accounted for greater than 20% of the Company’s income before income taxes. Therefore, PST is considered significant under Rule 3-09(a) of Regulation S-X, which requires the Company to file separate financial statements of subsidiaries not consolidated and 50% owned or less. Accordingly, the financial statements for the Company’s unconsolidated joint venture, PST, have been filed as Exhibit 99.1.

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PART IV
Item 15. Exhibits, Financial Statement Schedules
SIGNATURES
INDEX TO EXHIBITS
EX-23.1
EX-31.1
EX-31.2
EX-32.1
EX-32.2
EX-99.1


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PART IV
Item 15. Exhibits, Financial Statement Schedules.
(a) 3. Exhibits: The following exhibits are hereby added to the Exhibits originally filed with the Original Filing.
     
Exhibit    
Number   Exhibit
23.1
  Consent of Independent Registered Public Accounting Firm, filed herewith.
 
   
31.1
  Chief Executive Officer certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, filed herewith.
 
   
31.2
  Chief Financial Officer certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, filed herewith.
 
   
32.1
  Chief Executive Officer certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, filed herewith.
 
   
32.2
  Chief Financial Officer certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, filed herewith.
 
   
99.1
  Financial Statements of PST Indústria Eletrônica da Amazônia Ltda., filed herewith.

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SIGNATURES
     Pursuant to the requirements of the Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused Amendment No. 1 to this report to be signed on its behalf by the undersigned, thereunto duly authorized.
         
            STONERIDGE, INC.
 
 
     Date: March 30, 2007  /s/ GEORGE E. STRICKLER    
  George E. Strickler   
  Executive Vice President, Chief Financial Officer and Treasurer
(Principal Financial Officer) 
 
 
     Pursuant to the requirements of the Securities Exchange Act of 1934, Amendment No. 1 to this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
         
     
     Date: March 30, 2007  /s/ JOHN C. COREY    
  John C. Corey   
  President, Chief Executive Officer, and Director
(Principal Executive Officer) 
 
 
         
     
     Date: March 30, 2007     
  William M. Lasky   
  Chairman of the Board of Directors   
 
     
     Date: March 30, 2007  /s/ RICHARD E. CHENEY    
  Richard E. Cheney   
  Director   
 
     
     Date: March 30, 2007  /s/ AVERY S. COHEN    
  Avery S. Cohen   
  Secretary and Director   
 
     
     Date: March 30, 2007  /s/ JEFFREY P. DRAIME    
  Jeffrey P. Draime   
  Director   
 
     
     Date: March 30, 2007  /s/ SHELDON J. EPSTEIN    
  Sheldon J. Epstein   
  Director   
 
     
     Date: March 30, 2007  /s/ DOUGLAS C. JACOBS    
  Douglas C. Jacobs   
  Director   
 
     
     Date: March 30, 2007     
  Kim Korth   
  Director   
 
     
     Date: March 30, 2007     
  Earl L. Linehan   
  Director   
 

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INDEX TO EXHIBITS
     
Exhibit    
Number   Exhibit
23.1
  Consent of Independent Registered Public Accounting Firm, filed herewith.
 
   
31.1
  Chief Executive Officer certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, filed herewith.
 
   
31.2
  Chief Financial Officer certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, filed herewith.
 
   
32.1
  Chief Executive Officer certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, filed herewith.
 
   
32.2
  Chief Financial Officer certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, filed herewith.
 
   
99.1
  Financial Statements of PST Indústria Eletrônica da Amazônia Ltda., filed herewith.

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