Document
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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Form 10-K/A |
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ý | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended March 31, 2018
OR
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| 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 000-19672
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American Superconductor Corporation (Exact Name of Registrant as Specified in Its Charter) |
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Delaware | | 04-2959321 |
(State or Other Jurisdiction of Incorporation or Organization) | | (IRS Employer Identification Number) |
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114 East Main Street Ayer, Massachusetts | | 01432 |
(Address of Principal Executive Offices) | | (Zip Code) |
Registrant’s telephone number, including area code:
(978) 842-3000
Securities registered pursuant to Section 12(b) of the Act:
Common Stock, $0.01 par value, Nasdaq Global Select Market
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Securities registered pursuant to Section 12(g) of the Act: None |
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Indicate by checkmark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ¨ No ý
Indicate by checkmark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes ¨ No ý
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 ý 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 ý No ¨
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§ 232.405) is not contained herein, and will not be contained, to the best of the 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. ¨
Indicate by checkmark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, smaller reporting company, or an emerging growth company. See definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and "emerging growth company" in Rule 12b-2 of the Exchange Act:
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Large accelerated filer | o | | Accelerated filer | x |
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Non-accelerated filer | o | (Do not check if a smaller reporting company) | Smaller reporting company | o |
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| | | Emerging growth company | o |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
Indicate by checkmark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes ¨ No ý
The aggregate market value of the registrant’s Common Stock held by non-affiliates of the registrant on September 30, 2017, based on the closing price of the shares of Common Stock on the Nasdaq Global Select Market on that date ($4.54 per share) was $92.3 million.
Number of shares outstanding of the registrant’s Common Stock, as of June 1, 2018 was 20,978,113.
DOCUMENTS INCORPORATED BY REFERENCE
None.
EXPLANATORY NOTE
This Amendment No. 1 (“Form 10-K/A”) to our Annual Report on Form 10-K for the fiscal year ended March 31, 2018 (the “Original Filing”), filed with the U.S. Securities and Exchange Commission (the “SEC”) on June 6, 2018, is being filed for the sole purpose of amending and restating in its entirety the Exhibit Index following Part IV, Item 16 of the Original Filing (the “Exhibit Index”) to include the required hyperlinks to exhibits as required by Form 10-K, including filing a current version of an exhibit for which no Edgar filing is available, and to correct the exhibit number of four exhibits incorporated by reference. Apart from the foregoing, this Form 10-K/A does not update or modify any disclosures in or reflect any events occurring after the filing of the Original Filing. Accordingly, this Form 10-K/A should be read in conjunction with the Original Filing.
EXHIBIT INDEX |
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Exhibit Number | | Exhibit Description | | Form | | File No. | | Exhibit | | Filing Date | | Filed/Furnished Herewith |
3.1 | | | | S-3 | | 333-191153 | | 3.1 | | 9/13/2013 | | |
3.2 | | | | 8-K | | 000-19672 | | 3.1 | | 3/24/2015 | | |
3.3 | | | | S-3 | | 333-191153 | | 3.2 | | 9/13/2013 | | |
4.1 | | | | 8-K | | 000-19672 | | 4.1 | | 12/22/2014 | | |
4.2 | | | | S-3 | | 333-198851 | | 4.1 | | 9/19/2014 | | |
4.3 | | | | 8-K | | 000-19672 | | 4.1 | | 11/13/2014 | | |
10.1+ | | | | 8-K | | 000-19672 | | 10.1 | | 8/2/2016 | | |
10.2+ | | | | 8-K | | 000-19672 | | 10.2 | | 8/7/2007 | | |
10.3+ | | | | 8-K | | 000-19672 | | 10.3 | | 8/7/2007 | | |
10.4+ | | | | 8-K | | 000-19672 | | 10.4 | | 8/7/2007 | | |
10.5+ | | | | 8-K | | 000-19672 | | 10.5 | | 8/7/2007 | | |
10.6+ | | | | 8-K | | 000-19672 | | 10.1 | | 5/20/2008 | | |
10.7+ | | | | 8-K | | 000-19672 | | 10.2 | | 8/2/2016 | | |
10.8+ | | | | 8-K | | 000-19672 | | 10.7 | | 8/7/2007 | | |
10.9+ | | | | 10-Q | | 000-19672 | | 10.1 | | 8/9/2016 | | |
10.10+ | | | | 10-Q | | 000-19672 | | 10.1 | | 8/8/2017 | | |
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| | | | Incorporated by Reference |
Exhibit Number | | Exhibit Description | | Form | | File No. | | Exhibit | | Filing Date | | Filed/Furnished Herewith |
10.11+ | | | | | | | | | | | | ** |
10.12+ | | | | 8-K | | 000-19672 | | 10.2 | | 5/24/2011 | | |
10.13+ | | | | 8-K | | 000-19672 | | 10.1 | | 7/3/2017 | | |
10.14+ | | | | 8-K | | 000-19672 | | 10.1 | | 9/25/2013 | | |
10.15+ | | | | | | | | | | | | * |
10.16+ | | | | 8-K | | 000-19672 | | 10.1 | | 4/4/2017 | | |
10.17+ | | | | 10-Q | | 000-19672 | | 10.1 | | 11/7/2017 | | |
10.18† | | | | 8-K | | 000-19672 | | 10.1 | | 2/14/2013 | | |
10.19† | | | | 8-K | | 000-19672 | | 10.1 | | 6/5/2014 | | |
10.20† | | | | 10-Q | | 000-19672 | | 10.1 | | 11/3/2015 | | |
10.21† | | | | 10-Q | | 000-19672 | | 10.3 | | 2/9/2016 | | |
10.22† | | | | 10-K | | 000-19672 | | 10.41 | | 5/31/2016 | | |
10.23† | | | | 10-Q | | 000-19672 | | 10.1 | | 11/6/2014 | | |
10.24† | | | | 10-Q | | 000-19672 | | 10.2 | | 11/3/2015 | | |
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| | | | Incorporated by Reference |
Exhibit Number | | Exhibit Description | | Form | | File No. | | Exhibit | | Filing Date | | Filed/Furnished Herewith |
10.25† | | | | 10-Q | | 000-19672 | | 10.3 | | 11/3/2015 | | |
10.26† | | | | 10-Q | | 000-19672 | | 10.4 | | 2/9/2016 | | |
10.27† | | | | 10-K | | 000-19672 | | 10.46 | | 5/31/2016 | | |
10.28† | | | | 10-Q | | 000-19672 | | 10.1 | | 2/9/2016 | | |
10.29†† | | | | | | | | | | | | * |
10.30†† | | | | | | | | | | | | * |
10.31† | | | | 10-Q | | 000-19672 | | 10.2 | | 2/9/2016 | | |
10.32† | | | | 10-K | | 000-19672 | | 10.49 | | 5/31/2016 | | |
10.33† | | | | 10-K | | 000-19672 | | 10.50 | | 5/31/2016 | | |
10.34† | | | | 10-K | | 000-19672 | | 10.51 | | 5/31/2016 | | |
10.35 | | | | 8-K | | 000-19672 | | 10.1 | | 1/27/2017 | | |
10.36 | | | | 8-K | | 000-19672 | | 10.1 | | 2/1/2018 | | |
10.37 | | | | 8-K | | 000-19672 | | 10.1 | | 4/3/2018 | | |
10.38 | | | | 8-K | | 000-19672 | | 10.2 | | 4/3/2018 | | |
10.39 | | | | 8-K | | 000-19672 | | 10.3 | | 4/3/2018 | | |
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| | | | Incorporated by Reference |
Exhibit Number | | Exhibit Description | | Form | | File No. | | Exhibit | | Filing Date | | Filed/Furnished Herewith |
10.40 | | | | 8-K | | 000-19672 | | 10.4 | | 4/3/2018 | | |
10.41 | | | | 8-K | | 000-19672 | | 10.5 | | 4/3/2018 | | |
21.1 | | | | | | | | | | | | * |
23.1 | | | | | | | | | | | | * |
31.1 | | | | | | | | | | | | * |
31.2 | | | | | | | | | | | | * |
31.3 | | | | | | | | | | | | ** |
31.4 | | | | | | | | | | | | ** |
32.1 | | | | | | | | | | | | *** |
32.2 | | | | | | | | | | | | *** |
101.INS | | XBRL Instance Document.* | | | | | | | | | | |
101.SCH | | XBRL Taxonomy Extension Schema Document.* | | | | | | | | | | |
101.CAL | | XBRL Taxonomy Calculation Linkbase Document.* | | | | | | | | | | |
101.DEF | | XBRL Taxonomy Definition Linkbase Document.* | | | | | | | | | | |
101.LAB | | XBRL Taxonomy Label Linkbase Document.* | | | | | | | | | | |
101.PRE | | XBRL Taxonomy Presentation Linkbase Document.* | | | | | | | | | | |
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† | Confidential treatment previously requested and granted with respect to certain portions, which portions were omitted and filed separately with the Commission. |
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†† | Confidential treatment has been requested with respect to certain portions of this exhibit, which portions have been filed separately with the Securities and Exchange Commission. |
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+ | Management contract or compensatory plan or arrangement. |
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* | Previously filed with the Original Form 10-K. |
** | Filed herewith. |
*** | Previously furnished with the Original Form 10-K. |
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.
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AMERICAN SUPERCONDUCTOR CORPORATION |
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| By: | /S/ JOHN W. KOSIBA, JR. |
| | JOHN W. KOSIBA, JR. |
| | Senior Vice President and Chief Financial Officer |
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Date: June 7, 2018 |