-----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, TsMX+qiZc2G/hWUV5nijwmBHC3uhym9QwS3+99xHMC9ojBqlpOVa5cxo2/jW5zFK ZNT6E+shG5BChw9cuLnr5Q== 0000914039-00-000203.txt : 20000501 0000914039-00-000203.hdr.sgml : 20000501 ACCESSION NUMBER: 0000914039-00-000203 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000428 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SS&C TECHNOLOGIES INC CENTRAL INDEX KEY: 0001011661 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 061169696 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: SEC FILE NUMBER: 000-28430 FILM NUMBER: 612200 BUSINESS ADDRESS: STREET 1: 80 LAMBERTON RD STREET 2: CORPORATE PLACE CITY: WINDSOR STATE: CT ZIP: 06095 BUSINESS PHONE: 8602427887 MAIL ADDRESS: STREET 1: CORPORATE PLACE STREET 2: 705 BLOOMFIELD AVE CITY: BLOOMFIELD STATE: CT ZIP: 06002 10-K/A 1 AMENDMENT #1 TO FORM 10-K 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A AMENDMENT NO. 1 (Mark one) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 1999 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER 000-28430 SS&C TECHNOLOGIES, INC. (Exact name of Registrant as specified in its charter) DELAWARE 06-1169696 (State or other jurisdiction of (I.R.S. Employer identification No.) incorporation or organization) 80 LAMBERTON ROAD WINDSOR, CT 06095 (Address of principal executive offices, including zip code) 860-298-4500 (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, $.01 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] As of March 22, 2000, the aggregate market value of the common stock held by non-affiliates of the Registrant was approximately $51,292,905 based on the closing sale price of $5.81 of the Registrant's Common Stock on the Nasdaq National Market on such date. As of March 22, 2000, 16,044,203 shares of the Registrant's Common Stock were outstanding. DOCUMENTS INCORPORATED BY REFERENCE
Document Part of Report into which incorporated -------- -------------------------------------- Portions of the Registrant's 1999 Annual Report to Items 6, 7, 7A, and 8 of Part II Shareholders Portions of the Registrant's Proxy Statement for the Items 10, 11, 12, and 13 of Part III 2000 Annual Meeting of Shareholders
2 SS&C TECHNOLOGIES, INC. EXPLANATORY NOTE This Amendment No. 1 to Annual Report on Form 10-K/A amends and restates Item 13 of Part III of the Registrant's Annual Report on Form 10-K for the fiscal year ended December 31, 1999, as filed by the Registrant on March 30, 2000 and is being filed to reflect the incorporation by reference of a certain related party transaction described in the Registrant's Proxy Statement for the 2000 Annual Meeting of Shareholders. PART III ITEM 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS Information required by this Item 13 is set forth in the Proxy Statement under the headings "Compensation of Executive Officers - Employment Agreements," and "Certain Transactions" which information is incorporated herein by reference. Page 1 3 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. SS&C Technologies, Inc. By: /s/ Anthony R. Guarascio -------------------------------------- Anthony R. Guarascio Senior Vice President and Chief Financial Officer Date: April 28, 2000 Page 2 -----END PRIVACY-ENHANCED MESSAGE-----