基本統計
| CIK | 828064 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to ROCKFORD IL 5% 12/15/26
SEC Filings (Chronological Order)
このページでは、他の場所で提供されている所有権提出書類を除く、SEC提出書類の完全な時系列リストを提供します。
| February 11, 2013 |
ROFO / Rockford Corp. / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* ROCKFORD CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 77316P101 (CUSIP Number) December 31, 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| February 14, 2012 |
ROFO / Rockford Corp. / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment SC 13G/A 1 rrd538.htm SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* ROCKFORD CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 77316P101 (CUSIP Number) December 31, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designa |
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| February 11, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* ROCKFORD CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 77316P101 (CUSIP Number) December 31, 2010 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| February 8, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* ROCKFORD CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 77316P101 (CUSIP Number) December 31, 2009 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| August 27, 2009 |
e15v12g UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact name of registrant as specified |
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| August 17, 2009 |
e25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 000-30138 CORPORATION Issuer: ROCKFORD Exchange: NASDAQ Stock Market, LLC (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or |
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| August 6, 2009 |
NINTH AMENDMENT TO LOAN AND SECURITY AGREEMENT Exhibit 10.84 NINTH AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS NINTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this ?Amendment?), dated as of August 3, 2009, is entered into among WACHOVIA CAPITAL FINANCE CORPORATION (WESTERN), a California corporation formerly known as Congress Financial Corporation (Western) (?Agent?), as administrative and collateral agent for the Lenders party to the Loan A |
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| August 6, 2009 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2009 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA (State or Other Jurisdiction of Incorporation or Organiz |
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| August 6, 2009 |
ROCKFORD CORPORATION ANNOUNCES VOLUNTARY NASDAQ DELISTING AND SEC DEREGISTRATION Exhibit 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION ANNOUNCES VOLUNTARY NASDAQ DELISTING AND SEC DEREGISTRATION Tempe, Ariz., August 6, 2009/PRNewswire/?Rockford Corporation (NASDAQ: ROFO) today announced its voluntary decision to delist its shares from the NASDAQ Stock Market and deregister its shares with the SEC. Rockfor |
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| August 6, 2009 |
ROCKFORD CORPORATION ANNOUNCES SECOND QUARTER AND YEAR TO DATE 2009 PROFIT Exhibit 99.2 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION ANNOUNCES SECOND QUARTER AND YEAR TO DATE 2009 PROFIT Tempe, Ariz., August 6, 2009/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced financial results for the three and six months ended June 30, 2009. Net income for the three months ended June 30, 2009 was $0 |
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| August 6, 2009 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 1, 2009 |
ROCKFORD CORPORATION REPORTS FIRST QUARTER 2009 RESULTS Exhibit 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION REPORTS FIRST QUARTER 2009 RESULTS Tempe, Ariz., May 1, 2009/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced financial results for the three months ended March 31, 2009. Net income for the three months ended March 31, 2009 was $25,000, compared to a net los |
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| May 1, 2009 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 1, 2009 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| May 1, 2009 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2009 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA 86-0394353 (State or Other Jurisdiction of (I.R.S. Empl |
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| April 16, 2009 |
ROCKFORD CORPORATION REPORTS 2008 RESULTS AND AMENDMENT TO CONVERTIBLE NOTES Exhibit 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION REPORTS 2008 RESULTS AND AMENDMENT TO CONVERTIBLE NOTES Tempe, Ariz., April 15, 2009/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced financial results for the three and twelve months ended December 31, 2008. Net loss for the three months ended December 31, |
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| April 16, 2009 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 15, 2009 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| April 15, 2009 |
Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2008 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact name of Registrant as Specified in Its Charter) Arizona 86-0394353 (State or Other Jurisdiction of (IRS Employer Incorpo |
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| April 15, 2009 |
Exhibit 21 SUBSIDIARIES • None |
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| April 15, 2009 |
def14a Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 15, 2009 |
GLOBAL AMENDMENT TO NOTE, INDENTURE AND SECURITIES PURCHASE AGREEMENT Exhibit 10.83 GLOBAL AMENDMENT TO NOTE, INDENTURE AND SECURITIES PURCHASE AGREEMENT This Global Amendment to Note, Indenture and Securities Purchase Agreement (this “Amendment”) is among: • Rockford Corporation, an Arizona corporation (“Company”); • The Bank of New York Mellon Trust Company, N.A., as successor to BNY Western Trust Company, a California banking corporation (“BNYM”); and • J.P. Morg |
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| March 30, 2009 |
nt10vk OMB APPROVAL OMB Number: 3235-0058 Expires: April 30, 2009 Estimated average burden hours per response . |
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| February 13, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Rockford Corporation (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 77316P101 (CUSIP Number) December 31, 2008 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| February 9, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* ROCKFORD CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 77316P101 (CUSIP Number) December 31, 2008 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| February 9, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) Rockford Corporation (Name of Issuer) Common Stock, $.01 Par Value (Title of Class of Securities) 77316P101 (CUSIP Number) with a copy to: Austin W. Marxe Allen B. Levithan, Esq. 527 Madison Avenue, Suite 2600 Lowenstein Sandler PC New York, New York 1002 |
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| January 8, 2009 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 6, 2009 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| December 12, 2008 |
OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response………11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| December 10, 2008 |
sc13d SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Rockford Corporation (Name of Issuer) Ordinary Shares, par value $0. |
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| November 3, 2008 |
ROCKFORD CORPORATION REPORTS THIRD QUARTER AND YEAR TO DATE 2008 RESULTS EX-99.1 2 p13465exv99w1.htm EX-99.1 Exhibit 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION REPORTS THIRD QUARTER AND YEAR TO DATE 2008 RESULTS Tempe, Ariz., October 30, 2008/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced financial results for the three and nine months ended September 30, 2008. Net loss for the |
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| November 3, 2008 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 30, 2008 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| October 31, 2008 |
EXHIBIT 10.82 EXTENSION NO. 1 TO LEASE This Extension No. 1 to Lease is made, for reference purposes only, this 11th day of October, 2008, between 600 Rockford LLC (“Landlord”) and Rockford Corporation (“Tenant”), with reference to the following: RECITALS A. Reynolds Development Co., a DBA of Jerome A. Reynolds and/or Cathy E. Reynolds (“Prior Landlord”) and Tenant entered into an Industrial Lease |
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| October 31, 2008 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2008 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA (State or Other Jurisdiction of Incorporation or Or |
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| August 4, 2008 |
Rockford Corporation 2008 Stock Option Plan EXHIBIT 4.1 Rockford Corporation 2008 Stock Option Plan 1. Purpose. The Rockford Corporation 2008 Stock Option Plan is intended to assist in attracting and retaining employees and directors and to motivate such individuals to use their best efforts on behalf of the Corporation. 2. Definitions. The following terms have the following meanings: 2.1 “1933 Act” means the Federal Securities Act of 1933 |
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| August 4, 2008 |
sv8 Table of Contents Registration No. 333- SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Rockford Corporation (Exact Name of Registrant as Specified in Its Charter) Arizona 86-0394353 (State or Other Jurisdiction of Incorporation or Organization) (IRS Employer Identification No.) 600 South Rockford Drive, Tempe, Arizona 85 |
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| August 1, 2008 |
ROCKFORD CORPORATION REPORTS SECOND QUARTER AND YEAR TO DATE 2008 PROFITS Exhibit 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION REPORTS SECOND QUARTER AND YEAR TO DATE 2008 PROFITS Tempe, Ariz., July 31, 2008/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced financial results for the three and six months ended June 30, 2008. Net income for the three months ended June 30, 2008 was $0.8 |
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| August 1, 2008 |
Regulation FD Disclosure, Financial Statements and Exhibits Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 31, 2008 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| July 31, 2008 |
EIGHTH AMENDMENT TO LOAN AND SECURITY AGREEMENT EXHIBIT 10.81 EIGHTH AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS EIGHTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this ?Amendment?), dated as of July , 2008, is entered into among WACHOVIA CAPITAL FINANCE CORPORATION (WESTERN), a California corporation formerly known as Congress Financial Corporation (Western) (?Agent?), as administrative and collateral agent for the Lenders party to the Loan Ag |
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| July 31, 2008 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2008 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA (State or Other Jurisdiction of Incorporation or Organiz |
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| June 10, 2008 |
EXHIBIT 1 - AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G - Each of the undersigned hereby affirms that it is individually eligible to use Schedule 13G, and agrees that this Schedule 13G is filed on its behalf. |
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| June 10, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)* Rockford Corporation - - (Name of Issuer) Common Stock - - (Title of Class of Securities) 77316P-10-1 - (CUSIP Number) May 31, 2008 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
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| May 14, 2008 |
ROCKFORD CORPORATION ANNOUNCES REPURCHASE OF A PORTION OF OUTSTANDING CONVERTIBLE NOTES AND WARRANTS Exhibit 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION ANNOUNCES REPURCHASE OF A PORTION OF OUTSTANDING CONVERTIBLE NOTES AND WARRANTS Tempe, Ariz., May 13, 2008/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced that it has repurchased $2 million face value of its outstanding Convertible Notes, and 190,000 associ |
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| May 14, 2008 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 13, 2008 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| April 30, 2008 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2008 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA 86-0394353 (State or Other Jurisdiction of Incorporatio |
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| April 29, 2008 |
Regulation FD Disclosure, Financial Statements and Exhibits Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 28, 2008 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| April 29, 2008 |
ROCKFORD CORPORATION REPORTS FIRST QUARTER 2008 RESULTS EXHIBIT 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION REPORTS FIRST QUARTER 2008 RESULTS Tempe, Ariz., April 28, 2008/PRNewswire/?Rockford Corporation (NASDAQ: ROFO) today announced financial results for the three months ended March 31, 2008. Net loss for the three months ended March 31, 2008 was $0.1 million, compared to a n |
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| April 1, 2008 |
def14a Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 28, 2008 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| March 14, 2008 |
e10vk Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2007 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact name of Registrant as Specified in Its Charter) Arizona 86-0394353 (State or Other Jurisdiction of (IRS Employer I |
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| March 14, 2008 |
Non-Compete and Change in Control Agreement Exhibit 10.80 Non-Compete and Change in Control Agreement This Agreement is between the individual named on the signature page of this Agreement (“Executive”) and Rockford Corporation, an Arizona corporation, (“Rockford”). Executive and Rockford agree as follows: 1 Background and Purpose 1.1 Executive’s Position. Executive is currently a member of Rockford’s senior management team, with the title |
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| March 14, 2008 |
exv21 Exhibit 21 SUBSIDIARIES • MB Quart Shanghai, Inc., an Arizona corporation • Rockford Foreign Sales Corporation, a Barbados corporation • Rockford Sales.Com, Inc., an Arizona corporation • Rockford Singapore Corporation, an Arizona corporation |
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| March 14, 2008 |
SEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT Exhibit-10.79 SEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS SEVENTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of November , 2007, is entered into among WACHOVIA CAPITAL FINANCE CORPORATION (WESTERN), a California corporation formerly known as Congress Financial Corporation (Western) (“Agent”), as administrative and collateral agent for the Lenders party to the L |
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| March 14, 2008 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 13, 2008 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| March 14, 2008 |
ROCKFORD CORPORATION REPORTS FOURTH QUARTER AND FULL YEAR 2007 PROFIT EX-99.1 2 p75119exv99w1.htm EX-99.1 Exhibit 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION REPORTS FOURTH QUARTER AND FULL YEAR 2007 PROFIT Tempe, Ariz., March 13, 2008/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced financial results for the three and twelve months ended December 31, 2007. Rockford was profita |
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| February 22, 2008 |
ROCKFORD CORPORATION ANNOUNCES EARNINGS GUIDANCE FOR FISCAL 2007 AND NEW STOCK BUY BACK PROGRAM Exhibit 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION ANNOUNCES EARNINGS GUIDANCE FOR FISCAL 2007 AND NEW STOCK BUY BACK PROGRAM Tempe, Ariz., February 21, 2008/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced it expects to earn a profit of approximately $0.7 million or $0.07 per diluted share for the year ende |
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| February 22, 2008 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 21, 2008 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| February 12, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* ROCKFORD CORPORATION (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE (Title of Class of Securities) 77316P101 (CUSIP Number) DECEMBER 31, 2007 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| February 6, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* ROCKFORD CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 77316P101 (CUSIP Number) December 31, 2007 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| November 29, 2007 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 28, 2007 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| October 31, 2007 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2007 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA 86-0394353 (State or Other Jurisdiction of (I.R.S. |
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| October 31, 2007 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 29, 2007 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| October 31, 2007 |
Exhibit 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION REPORTS THIRD QUARTER AND YEAR TO DATE 2007 PROFIT; ANNOUNCES APPOINTMENT OF PRESIDENT BILL JACKSON TO THE BOARD OF DIRECTORS Tempe, Ariz., October 29, 2007/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced financial results for the three and nine months ende |
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| September 7, 2007 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 6, 2007 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| September 7, 2007 |
ROCKFORD CORPORATION ANNOUNCES STOCK BUY BACK PROGRAM Exhibit 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION ANNOUNCES STOCK BUY BACK PROGRAM Tempe, Ariz., September 6, 2007/PRNewswire/?Rockford Corporation (NASDAQ: ROFO) today announced that its Board of Directors has approved a program to purchase up to 5% of Rockford?s Common Shares in the open market or through privately nego |
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| August 2, 2007 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2007 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA (State or Other Jurisdiction of Incorporation or Organiz |
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| August 1, 2007 |
ROCKFORD CORPORATION REPORTS SECOND QUARTER AND YEAR TO DATE 2007 PROFIT Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION REPORTS SECOND QUARTER AND YEAR TO DATE 2007 PROFIT Tempe, Ariz. |
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| August 1, 2007 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 30, 2007 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| June 1, 2007 |
ROCKFORD CORPORATION TRANSFERS STOCK LISTING TO THE NASDAQ CAPITAL MARKET EX-99.1 2 p73961exv99w1.htm EX-99.1 EXHIBIT 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION TRANSFERS STOCK LISTING TO THE NASDAQ CAPITAL MARKET Tempe, Ariz., May 31, 2007/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced that the Nasdaq Stock Market has approved its application to transfer the listing of its comm |
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| June 1, 2007 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 31, 2007 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other Jurisdiction of (Commission File Number) (IRS Employer Incorporation) Identification No. |
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| May 11, 2007 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 10, 2007 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| May 11, 2007 |
ROCKFORD CORPORATION RECEIVES NASDAQ NOTIFICATION REGARDING LISTING DEFICIENCY exv99w1 Exhibit 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION RECEIVES NASDAQ NOTIFICATION REGARDING LISTING DEFICIENCY Tempe, Ariz., May 10, 2007/PRNewswire/—Rockford Corporation (NASDAQ: ROFO announced today that on May 10, 2007, it received a written notice from the Nasdaq Stock Market that Rockford did not comply for the |
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| May 8, 2007 |
ROCKFORD CORPORATION REPORTS FIRST QUARTER 2007 RESULTS exv99w1 Exhibit 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION REPORTS FIRST QUARTER 2007 RESULTS Tempe, Ariz., May 3, 2007/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced financial results for the three months ended March 31, 2007. Net sales for the three months ended March 31, 2007, decreased 11.9% to $26.4 m |
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| May 8, 2007 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 3, 2007 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| May 4, 2007 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2007 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA 86-0394353 (State or Other Jurisdiction of (I.R.S. Empl |
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| April 9, 2007 |
def14a Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 28, 2007 |
e10vk Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2006 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact name of Registrant as Specified in Its Charter) Arizona 86-0394353 (State or Other Jurisdiction of Incorporation o |
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| March 28, 2007 |
exv21 Exhibit 21 SUBSIDIARIES • Audio Innovations, Inc., an Oklahoma corporation • MB Quart Shanghai, Inc., an Arizona corporation • Rockford (Europe) Elektronik Vertriebs GmbH, a German GmbH • Rockford Foreign Sales Corporation, a Barbados corporation • Rockford Sales.Com, Inc., an Arizona corporation • Rockford Singapore Corporation, an Arizona corporation |
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| March 28, 2007 |
RETIREMENT AND SALARY CONTINUATION AGREEMENT exv10w76 Exhibit 10.76 RETIREMENT AND SALARY CONTINUATION AGREEMENT This Agreement affects an agreeable termination in connection with retirement of the employment relationship between Mr. W. Gary Suttle (“MR. SUTTLE”) and ROCKFORD CORPORATION (“EMPLOYER”), as well as resolution of any claims, known and unknown, now existing between the parties. The terms of this agreement are as follows: 1. Relea |
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| March 28, 2007 |
Exhibit 10.77 FIFTH LEASE AMENDMENT THIS FIFTH LEASE AMENDMENT ("AMENDMENT") is dated as of , 2006 by and between CENTERPOINT PROPERTIES TRUST, a Maryland real estate investment trust ("LANDLORD") and ROCKFORD CORPORATION, an Arizona corporation ("TENANT"). RECITALS A. Tenant and Robert Grooters Development Company, as Managing Agent for 3056 Walker Ridge Drive, L.C. ("ORIGINAL LANDLORD") entered |
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| March 28, 2007 |
DEFINITIVE SETTLEMENT AGREEMENT DAVID FIORI, JR. ROCKFORD CORPORATION February 22, 2007 Exhibit 10.75 DEFINITIVE SETTLEMENT AGREEMENT between DAVID FIORI, JR. and ROCKFORD CORPORATION February 22, 2007 DEFINITIVE SETTLEMENT AGREEMENT This Definitive Settlement Agreement (?Agreement?) is made and entered into by David Fiori, Jr., a resident of Bensalem, Pennsylvania, and his wholly owned companies, Integrated Electronic Technologies and Anamir and Rockford Corporation, a corporation o |
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| March 28, 2007 |
SIXTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND WAIVER Exhibit 10.78 SIXTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND WAIVER THIS SIXTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND WAIVER (this ?Amendment?), dated as of March , 2007, is entered into among WACHOVIA CAPITAL FINANCE CORPORATION (WESTERN), a California corporation formerly known as Congress Financial Corporation (Western) (?Agent?), as administrative and collateral agent for the Lenders |
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| March 22, 2007 |
ROCKFORD CORPORATION REPORTS FISCAL YEAR 2006 AND FOURTH QUARTER 2006 RESULTS exv99w1 EXHIBIT 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION REPORTS FISCAL YEAR 2006 AND FOURTH QUARTER 2006 RESULTS Tempe, Ariz., March 21, 2007/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced financial results for the three and twelve months ended December 31, 2006. Highlights for the twelve months include |
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| March 22, 2007 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 21, 2007 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| February 15, 2007 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 15, 2007 |
ROCKFORD CEO GARY SUTTLE ANNOUNCES RETIREMENT exv99w1 Exhibit-99.1 Executive Contact: Richard G. Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CEO GARY SUTTLE ANNOUNCES RETIREMENT Tempe, Ariz., February 14, 2007/PRNewswire/ — Rockford Corporation (NASDAQ:ROFO) today announced that Gary Suttle, Rockford’s CEO for the last 15 years, has announced his retirement from Rockford. In comments to Rockford’s management and |
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| February 14, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Rockford Corporation - (Name of Issuer) Common Stock, $0.01 par value - (Title of Class of Securities) 77316p101 - (CUSIP Number) December 31, 2006 - (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| February 14, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 7)* ROCKFORD CORP. - (Name of Issuer) Common Stock - (Title of Class of Securities) 77316P101 - (CUSIP Number) December 31, 2006 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| February 14, 2007 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| February 9, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* ROCKFORD CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 77316P101 (CUSIP Number) December 31, 2006 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| February 8, 2007 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| February 7, 2007 |
EXHIBIT 1 - AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G - Each of the undersigned hereby affirms that it is individually eligible to use Schedule 13G, and agrees that this Schedule 13G is filed on its behalf. |
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| February 7, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Rockford Corporation - - (Name of Issuer) Common Stock - - (Title of Class of Securities) 77316P-10-1 - (CUSIP Number) December 31, 2006 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| February 2, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* ROCKFORD CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 77316P101 (CUSIP Number) December 31, 2006 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| January 24, 2007 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 18, 2007 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| December 8, 2006 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| November 14, 2006 |
FIFTH AMENDMENT TO LOAN AND SECURITY AGREEMENT exv10w74 Exhibit-10.74 FIFTH AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS FIFTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of August 31, 2006, is entered into among WACHOVIA CAPITAL FINANCE CORPORATION (WESTERN), a California corporation formerly known as Congress Financial Corporation (Western) (“Agent”), as administrative and collateral agent for the Lenders party to |
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| November 14, 2006 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2006 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA (State or Other Jurisdiction of Incorporation or Or |
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| November 3, 2006 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 1, 2006 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| November 3, 2006 |
ROCKFORD CORPORATION ANNOUNCES THIRD QUARTER 2006 RESULTS exv99w1 EXHIBIT 99.1 Executive Contact: Richard Vasek Chief Financial Officer Rockford Corporation (480) 517-3169 ROCKFORD CORPORATION ANNOUNCES THIRD QUARTER 2006 RESULTS Tempe, Ariz., November 1, 2006/PRNewswire/ — Rockford Corporation (NASDAQ: ROFO) today announced financial results for the third quarter, ended September 30, 2006. A soft market for mobile audio products continued to impact net |
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| September 12, 2006 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 8, 2006 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| August 21, 2006 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 17, 2006 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| August 18, 2006 |
exv99w1 EXHIBIT 99.1 Executive Contact: Investor Relations Contact: Richard Vasek Maureen McGarrigle Chief Financial Officer Director, Investor Relations Rockford Corporation Rockford Corporation (480) 517-3169 (480) 517-3042 ROCKFORD CORPORATION APPOINTS WILLIAM R. JACKSON PRESIDENT Michael Chass Joins Company to Lead Worldwide Sales Activities Tempe, Ariz, August 16, 2006/PRNewswire/—Rockford Co |
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| August 18, 2006 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 16, 2006 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| August 8, 2006 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2006 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA 86-0394353 (State or Other Jurisdiction of (I.R.S. Emplo |
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| August 7, 2006 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 3, 2006 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| August 7, 2006 |
Exhibit 99.1 Executive Contact: Investor Relations Contact: Richard Vasek Maureen McGarrigle Chief Financial Officer Director, Investor Relations Rockford Corporation Rockford Corporation (480) 517-3169 (480) 517-3042 ROCKFORD CORPORATION ANNOUNCES SECOND QUARTER 2006 RESULTS Achieves Operating and Net Income and Improved Gross Margin for Quarter Tempe, Ariz., August 3, 2006/PRNewswire/ — Rockford |
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| May 16, 2006 |
sv8 Table of Contents Registration No. 333- SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Rockford Corporation (Exact Name of Registrant as Specified in Its Charter) Arizona 86-0394353 (State or Other Jurisdiction of Incorporation or Organization) (IRS Employer Identification No.) 600 South Rockford Drive, Tempe, Arizona 85 |
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| May 16, 2006 |
EXHIBIT 4.1 Rockford Corporation 2005 Stock Option Plan 1. Purpose. The Rockford Corporation 2005 Stock Option Plan is intended to assist in attracting and retaining employees and directors and to motivate such individuals to use their best efforts on behalf of the Corporation. 2. Definitions. The following terms have the following meanings: 2.1 “1933 Act” means the Federal Securities Act of 1933 |
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| May 12, 2006 |
exv10w71 Execution Copy EXHIBIT 10.71 Asset Purchase Agreement between Rockford Corporation, Audio Innovations, Inc. and Advanced Integration, LLC Dated as of March 31, 2006 Asset Purchase Agreement This Asset Purchase Agreement (“Agreement”) is between: (a) Rockford Corporation (“Rockford”) and its wholly owned subsidiary Audio Innovations, Inc. (“AI” and, with Rockford, “Seller”); and (b) Advanc |
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| May 12, 2006 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2006 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA 86-0394353 (State or Other Jurisdiction of (I.R.S. Empl |
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| May 12, 2006 |
exv10w72 Execution Copy EXHIBIT 10.72 Loan And Security Agreement This Loan and Security Agreement is between Advanced Integration, LLC (“Borrower”) and Rockford Corporation, an Arizona corporation (“Lender”). Borrower and Lender agree as follows: 1. Recitals. 1.1 Audio Innovations Business. Lender manufactures high quality mobile audio equipment, including amplifiers, speakers, and accessories. U |
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| May 12, 2006 |
SUBORDINATION AND INTERCREDITOR AGREEMENT exv10w73 EXHIBIT 10.73 SUBORDINATION AND INTERCREDITOR AGREEMENT THIS SUBORDINATION AND INTECREDITOR AGREEMENT is executed this 31st day of March, 2006, by ROCKFORD CORPORATION, an Arizona corporation (“Rockford”), ADVANCED INTEGRATION, LLC, an Oklahoma limited liability company (the “Borrower”) and STILLWATER NATIONAL BANK AND TRUST COMPANY (“SNB”). W I T N E S S E T H WHEREAS, the Borrower, Rock |
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| May 9, 2006 |
ROCKFORD CORPORATION REPORTS FIRST QUARTER 2006 RESULTS exv99w1 EXHIBIT 99.1 Executive Contact: Investor Relations Contact: Richard Vasek Maureen McGarrigle Chief Financial Officer Director, Investor Relations Rockford Corporation Rockford Corporation (480) 517-3169 (480) 517-3042 ROCKFORD CORPORATION REPORTS FIRST QUARTER 2006 RESULTS Tempe, Ariz., May 8, 2006/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced financial results for the th |
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| May 9, 2006 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 8, 2006 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| April 10, 2006 |
ROCKFORD CORPORATION COMPLETES SALE OF Q-LOGIC ASSETS exv99w1 EXHIBIT 99.1 Executive Contact: Investor Relations Contact: Richard Vasek Maureen McGarrigle Chief Financial Officer Director, Investor Relations Rockford Corporation Rockford Corporation (480) 517-3169 (480) 517-3042 ROCKFORD CORPORATION COMPLETES SALE OF Q-LOGIC ASSETS Tempe, Ariz., April 6, 2006/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced that it completed the sale o |
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| April 10, 2006 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 6, 2006 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| April 6, 2006 |
def14a Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 3, 2006 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 31, 2006 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| April 3, 2006 |
exv99w1 EXHIBIT 99.1 Executive Contact: Investor Relations Contact: Richard Vasek Maureen McGarrigle Chief Financial Officer Director, Investor Relations Rockford Corporation Rockford Corporation (480) 517-3169 (480) 517-3042 ROCKFORD CORPORATION ANNOUNCES TIMELY FILING OF ANNUAL REPORT ON 10-K Reclassifies Impairment Charge of Pending Sale of Q-Logic Assets Tempe, Ariz., March 31, 2006/PRNewswire |
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| March 31, 2006 |
FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND CONSENT exv10w70 Exhibit 10.70 FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND CONSENT THIS FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND CONSENT (this “Amendment”), dated as of March 21, 2006, is entered into among WACHOVIA CAPITAL FINANCE CORPORATION (WESTERN), a California corporation formerly known as Congress Financial Corporation (Western) (“Agent”), as administrative and collateral agent |
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| March 31, 2006 |
Rockford Corporation 2005 Stock Option Plan exv10w4 Exhibit 10.4 Rockford Corporation 2005 Stock Option Plan 1. Purpose. The Rockford Corporation 2005 Stock Option Plan is intended to assist in attracting and retaining employees and directors and to motivate such individuals to use their best efforts on behalf of the Corporation. 2. Definitions. The following terms have the following meanings: 2.1 “1933 Act” means the Federal Securities Act |
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| March 31, 2006 |
e10vk Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2005 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact name of Registrant as Specified in Its Charter) Arizona (State or Other Jurisdiction of Incorporation or Organizat |
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| March 31, 2006 |
exv21 Exhibit 21 SUBSIDIARIES • Audio Innovations, Inc., an Oklahoma corporation • MB Quart Shanghai, Inc., an Arizona corporation • Rockford (Europe) Elektronik Vertriebs GmbH, a German GmbH • Rockford Foreign Sales Corporation, a Barbados corporation • Rockford Sales.Com, Inc., an Arizona corporation • Rockford Singapore Corporation, an Arizona corporation |
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| March 27, 2006 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 23, 2006 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| March 27, 2006 |
ROCKFORD CORPORATION REPORTS FOURTH QUARTER AND FISCAL YEAR 2005 RESULTS exv99w1 EXHIBIT 99.1 Executive Contact: Investor Relations Contact: Richard Vasek Maureen McGarrigle Chief Financial Officer Director, Investor Relations Rockford Corporation Rockford Corporation (480) 517-3169 (480) 517-3042 ROCKFORD CORPORATION REPORTS FOURTH QUARTER AND FISCAL YEAR 2005 RESULTS Tempe, Ariz., March 23, 2006/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced financia |
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| March 10, 2006 |
SCHEDULE 13G/A CUSIP NO. 77316P101 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 6)* ROCKFORD CORP. - (Name of Issuer) Common Stock - (Title of Class of Securities) 77316P101 - (CUSIP Number) February 28, 2006 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desig |
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| March 6, 2006 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| February 15, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) Rockford Corporation (Name of Issuer) Common Stock, $.01 Par Value (Title of Class of Securities) 77316P101 (CUSIP Number) with a copy to: Austin W. Marxe Allen B. Levithan, Esq. 527 Madison Avenue, Suite 2600 Lowenstein Sandler PC New York, New York 1002 |
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| February 14, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* ROCKFORD CORP. - (Name of Issuer) Common Stock - (Title of Class of Securities) 77316P101 - (CUSIP Number) December 31, 2005 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| February 13, 2006 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| February 8, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO.)* Rockford Corporation - - (Name of Issuer) Common Stock - - (Title of Class of Securities) 77316P-10-1 - (CUSIP Number) December 31, 2005 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 8, 2006 |
EXHIBIT 1 - AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G - Each of the undersigned hereby affirms that it is individually eligible to use Schedule 13G, and agrees that this Schedule 13G is filed on its behalf. |
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| February 6, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* ROCKFORD CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 77316P101 (CUSIP Number) December 31, 2005 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| November 28, 2005 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 23, 2005 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| November 28, 2005 |
ROCKFORD CORPORATION ANNOUNCES REPURCHASE OF A PORTION OF OUTSTANDING CONVERTIBLE NOTES AND WARRANTS exv99w1 Ex. 99.1 Executive Contact: Investor Relations Contact: Richard Vasek Maureen McGarrigle Chief Financial Officer Director, Investor Relations Rockford Corporation Rockford Corporation (480) 517-3169 (480) 517-3042 ROCKFORD CORPORATION ANNOUNCES REPURCHASE OF A PORTION OF OUTSTANDING CONVERTIBLE NOTES AND WARRANTS Tempe, Ariz., November 28, 2005/PRNewswire/—Rockford Corporation (NASDAQ: ROF |
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| November 14, 2005 |
Ex. 10.69 ASSIGNMENT This Assignment is made by Rockford Corporation of Tempe, Arizona and Rockford Europe Vertriebs GmbH (together referred to as ?Rockford?) as assignors and F?nfundsiebzigste TVG Verm?gensverwaltungsgesellschaft mbH (in future: Maxxsonics Europe GmbH, referred to as ?Maxxsonics Europe GmbH?) as assignee pursuant to the Agreement between Tobias Wahl in his capacity as insolvency |
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| November 14, 2005 |
THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT (this "Amendment"), dated as of August 31, 2005, is entered into among WACHOVIA CAPITAL FINANCE CORPORATION (WESTERN), a California corporation formerly known as Congress Financial Corporation (Western) ("Agent"), as administrative and collateral agent for the Lenders party to the Loan Agreement (as defined below) from time to time ("Lenders"), WACHOVIA CAPITAL FINANCE CORPORATION (WESTERN), a California corporation formerly known as Congress Financial Corporation (Western), as a Lender ("Wachovia"), ROCKFORD CORPORATION, an Arizona corporation ("Borrower Agent"), and AUDIO INNOVATIONS, INC. |
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| November 14, 2005 |
Asset Purchase Agreement Rockford Corporation NHT, Inc. Dated as of October 7, 2005 exv10w67 Ex. 10.67 Asset Purchase Agreement between Rockford Corporation and NHT, Inc. Dated as of October 7, 2005 Asset Purchase Agreement This Asset Purchase Agreement (“Agreement”) is between: (a) Rockford Corporation (“Seller”); and (b) NHT, Inc. (“Purchaser”). Seller and Purchaser agree as follows: 1. Background and Definitions. 1.1 Company Business. Seller is in the business of designing, ma |
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| November 14, 2005 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2005 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA 86-0394353 (State or Other Jurisdiction of (I.R.S. |
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| November 14, 2005 |
exv10w68 Ex. 10.68 AGREEMENT This Agreement is entered into by and between • Tobias Wahl, in his capacity solely as insolvency trustee (individually referred to as the “MB Quart Trustee”) of MB Quart GmbH, a German limited liability company, (“MB Quart GmbH” and, collectively with the MB Quart Trustee, “MB Quart”), • Rockford Corporation, an Arizona corporation (individually referred to as “Rockfo |
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| November 4, 2005 |
ROCKFORD CORPORATION REPORTS THIRD QUARTER 2005 RESULTS Reports Positive Operating Income exv99w1 Ex. 99.1 Executive Contact: Investor Relations Contact: Richard Vasek Maureen McGarrigle Chief Financial Officer Director, Investor Relations Rockford Corporation Rockford Corporation (480) 517-3169 (480) 517-3042 ROCKFORD CORPORATION REPORTS THIRD QUARTER 2005 RESULTS Reports Positive Operating Income Tempe, Ariz., November 3, 2005/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today ann |
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| November 4, 2005 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 3, 2005 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| October 19, 2005 |
Exhibit 99.1 Executive Contact: Investor Relations Contact: Richard Vasek Maureen McGarrigle Chief Financial Officer Director, Investor Relations Rockford Corporation Rockford Corporation (480) 517-3169 (480) 517-3042 ROCKFORD CORPORATION SELLS NHT ASSETS AND ASSIGNS MB QUART NORTH AMERICAN BRAND RIGHTS Vinci Labs Acquires NHT, MB Quart Rights Assigned to Maxxsonics Tempe, Ariz., October 19, 2005/ |
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| October 19, 2005 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 19, 2005 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 31, 2005 |
ROCKFORD CORPORATION AMENDS AND EXTENDS CREDIT FACILITY exv99w1 Exhibit 99.1 Executive Contact: Investor Relations Contact: Richard Vasek Maureen McGarrigle Chief Financial Officer Director, Investor Relations Rockford Corporation Rockford Corporation (480) 517-3169 (480) 517-3042 ROCKFORD CORPORATION AMENDS AND EXTENDS CREDIT FACILITY Tempe, Ariz., August 31, 2005/PRNewswire/—Rockford Corporation (NASDAQ: ROFO) today announced that it has completed an |
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| August 31, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 31, 2005 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| August 10, 2005 |
ROCKFORD CORP/FIFTH THIRD BANCORP SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1) Rockford Corporation - - (Name of Issuer) Common Stock - - (Title of Class of Securities) 77316P101 - - (CUSIP N |
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| August 2, 2005 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q R QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2005 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA (State or Other Jurisdiction of Incorporation or Organiz |
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| July 29, 2005 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 28, 2005 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| July 29, 2005 |
exv99w1 Ex 99.1 Executive Contact: Investor Relations Contact: Richard Vasek Maureen McGarrigle Chief Financial Officer Director, Investor Relations Rockford Corporation Rockford Corporation (480) 517-3169 (480) 517-3042 ROCKFORD CORPORATION ANNOUNCES SECOND QUARTER 2005 RESULTS Reports Positive Operating Income and Improved Gross Margins Tempe, Ariz., July 28, 2005/PRNewswire/—Rockford Corporatio |
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| July 12, 2005 |
Mail Stop 3561- CF/AD 11 July 12, 2005 Via U.S. Mail and Fax (480) 966-3983 Mr. Richard G. Vasek, Chief Financial Officer Rockford Corporation 600 South Rockford Drive Tempe, Arizona 85281 RE: Rockford Corporation Form 10-K for the fiscal year ended December 31, 2004 Filed April 15, 2005 File No. 0-30138 Dear Mr. Vasek: We have completed our review of the above filing and do not, at this time, hav |
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| July 11, 2005 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| June 28, 2005 |
corresp June 27, 2005 Mr. Larry Spirgel Staff Accountant Securities and Exchange Commission Division of Corporation Finance 450 Fifth Street, N.W Washington, D.C. 20549-0406 RE: SEC Comment letter Dated June 14, 2005 (File No. 0-30138) Dear Mr. Spirgel: We have reviewed the comments included in your letter dated June 14, 2005 regarding the Form 10-K filed by Rockford Corporation on April 15, 2005. |
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| June 14, 2005 |
Mail Stop 0407 June 14, 2005 Via U.S. Mail and Fax (480) 966-3983 Mr. Richard G. Vasek, Chief Financial Officer Rockford Corporation 600 South Rockford Drive Tempe, Arizona 85281 RE: Rockford Corporation Form 10-K for the fiscal year ended December 31, 2004 Filed April 15, 2005 File No. 0-30138 Dear Mr. Vasek: We have reviewed the above referenced filing and have the following comments. We have li |
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| May 13, 2005 |
Exhibit 99.1 Executive Contact: Investor Relations Contact: Richard Vasek Maureen McGarrigle Chief Financial Officer Director, Investor Relations Rockford Corporation Rockford Corporation (480) 967-3565 (480) 517-3042 ROCKFORD CORPORATION ANNOUNCES FIRST QUARTER 2005 RESULTS Reports Increased Sales and Positive Operating Income Tempe, Ariz., May 12, 2005/PRNewswire/?Rockford Corporation (NASDAQ: R |
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| May 13, 2005 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2005 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA (State or Other Jurisdiction of Incorporation or Organi |
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| May 13, 2005 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 12, 2005 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| April 18, 2005 |
def14a Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 15, 2005 |
EXHIBIT 10.64 STOCK PURCHASE AGREEMENT dated as of October 1, 2004 by and among SIMPLEDEVICES, INC., the Stockholders of SIMPLEDEVICES, INC. and UNIVERSAL ELECTRONICS INC. STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (the "Agreement") is entered into as of October 1, 2004, by and among UNIVERSAL ELECTRONICS INC., a Delaware corporation ("Buyer"), SIMPLEDEVICES, INC., a Delaware corporati |
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| April 15, 2005 |
EXHIBIT 10.62.2 SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT (this "Amendment"), dated as of December 30, 2004, is entered into among CONGRESS FINANCIAL CORPORATION (WESTERN), a California corporation ("Agent"), as administrative and collateral agent for the lenders party to the Loan Agreement (as defined below) from time to time ("Lenders"), |
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| April 15, 2005 |
EXHIBIT 10.63 INDUSTRIAL LEASE -NET-NET-NET- 1. PARTIES. This Lease, dated, for reference purposes only, May 1, 2003, is made by and between JEROME A. and/or CATHY E. REYNOLDS(herein called"Landlord")and ROCKFORD CORPORATION INC an Arizona Corporation (herein called "Tenant"). 2. PREMISES. Landlord hereby leases to Tenant and Tenant leases from Landlord for the term, at the rental, and upon all of |
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| April 15, 2005 |
RISK FACTORS THAT MAY AFFECT ROCKFORD?S OPERATING RESULTS, BUSINESS PROSPECTS AND STOCK PRICE exv99w1 Exhibit 99.9 RISK FACTORS THAT MAY AFFECT ROCKFORD’S OPERATING RESULTS, BUSINESS PROSPECTS AND STOCK PRICE Before you buy or sell Rockford stock, you should be aware that there are risks, including those described below and others Rockford has not anticipated or discussed. You should consider carefully these and other risk factors, together with all of the other information included in Roc |
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| April 15, 2005 |
EXHIBIT 10.62.1 FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT AND CONDITIONAL DEFAULT WAIVER THIS FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT AND CONDITIONAL DEFAULT WAIVER (this "Amendment"), dated as of June 10, 2004, is entered into among CONGRESS FINANCIAL CORPORATION (WESTERN), a California corporation ("Agent"), as administrative and collateral agent for the lenders party to the Loan Agr |
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| April 15, 2005 |
e10vk Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2004 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact name of Registrant as Specified in Its Charter) Arizona 86-0394353 (State or Other Jurisdiction of Incorporation o |
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| April 15, 2005 |
exv21 Exhibit 21 SUBSIDIARIES • Audio Innovations, Inc., an Oklahoma corporation • MB Quart Shanghai, Inc., an Arizona corporation • Rockford (Europe) Elektronik Vertriebs GmbH, a German GmbH • Rockford Foreign Sales Corporation, a Barbados corporation • Rockford Sales.Com, Inc., an Arizona corporation • Rockford Singapore Corporation, an Arizona corporation |
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| April 15, 2005 |
EXHIBIT 10.65 Final March 11, 2005 AGREEMENT This Agreement is entered into by and between - Tobias Wahl, in his capacity solely as insolvency trustee (individually referred to as the "MB QUART TRUSTEE") of MB Quart GmbH, a German limited liability company, ("MB QUART GMBH" and, collectively with the MB Quart Trustee, "MB QUART"), - Rockford Corporation, an Arizona corporation (individually referr |
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| April 13, 2005 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 12, 2005 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| April 13, 2005 |
exv99w1 Ex 99.1 Executive Contact: Investor Relations Contact: Richard Vasek Maureen McGarrigle Chief Financial Officer Investor Relations Manager Rockford Corporation Rockford Corporation (480) 967-3565 (480) 517-3042 ROCKFORD CORPORATION ANNOUNCES FISCAL 2004 RESULTS Reports Fourth Quarter Profit on Gain from Sale of SimpleDevices, Inc. Tempe, Ariz., April 12, 2005/PRNewswire/—Rockford Corporati |
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| March 31, 2005 |
OMB APPROVAL - OMB Number: 3235-0058 Expires: March 31, 2006 Estimated average burden hours per response . |
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| February 16, 2005 |
Amendment #1 to Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 14, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) Rockford Corporation (Name of Issuer) Common Stock, $.01 Par Value (Title of Class of Securities) 77316P101 (CUSIP Number) with a copy to: Austin W. Marxe Allen B. Levithan, Esq. 153 East 53rd Street Lowenstein Sandler PC New York, New York 10022 65 Living |
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| February 14, 2005 |
|-| | OMB APPROVAL | |-| |OMB Number: 3235-0145| |Expires: December 31, 2005| |Estimated average burden | |hours per response. |
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| February 14, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Rockford Corporation (Name of Issuer) Common Stock, par value $.01 (Title of Class of Securities) 77316P101 (CUSIP Number) December 31, 2004 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| February 9, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* ROCKFORD CORP. - (Name of Issuer) Common Stock - (Title of Class of Securities) 77316P101 - (CUSIP Number) December 31, 2004 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| February 9, 2005 |
OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response……. |
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| January 27, 2005 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) Rockford Corporation (ROFO) - (Name of Issuer) Common Stock - (Title of Class of Securities) 77316P101 - (CUSIP Number) January 14, 2005 - (Date of Event Which Requires Filing |
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| January 5, 2005 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 30, 2004 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| January 5, 2005 |
exv20w1 Exhibit 20.1 Executive Contact: Investor Relations Contact: Richard G. Vasek Maureen McGarrigle Chief Financial Officer Investor Relations Manager Rockford Corporation Rockford Corporation (480) 967-3565 (480) 517-3042 Rockford Corporation Engages Morgan Joseph & Co. Inc., to Assess Strategic Alternatives for Non-Core Product Lines Rockford Completes Amendment to its Credit Facility Tempe, |
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| December 13, 2004 |
exv12w1 Exhibit 12.1 Ratio of Earnings to Fixed Charges Nine Months Ended 1999 2000 2001 2002 2003 9/30/2004 Earnings: Income before income taxes $ 10,585 $ 12,724 $ 9,979 $ 10,143 $ (9,164 ) $ (33,764 ) Cumulative effect of acctg changes — — — — — — Fixed charges (exc capitalized interest): Interest expense 1,671 793 455 528 1,093 1,553 Amortization of debt costs 136 136 129 122 127 124 Operating |
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| December 13, 2004 |
As filed with the Securities and Exchange Commission on December 13, 2004 sv3za Table of Contents As filed with the Securities and Exchange Commission on December 13, 2004 Registration No. |
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| November 18, 2004 |
exv99w1 Exhibit 99.1 Executive Contact: Investor Relations Contacts: Gary Suttle Andrea Miner Chief Executive Officer Investor Relations Coordinator Rockford Corporation Rockford Corporation (480) 967-3565 (480) 967-3565 Rockford Corporation Announces Third Quarter Fiscal 2004 Results — Takes Charge for Business Realignment — — Expects Break-Even Profitability in Fiscal 2005 — Tempe, Ariz., Novemb |
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| November 18, 2004 |
exv99w2 Exhibit 99.2 Executive Contact: Investor Relations Contacts: Gary Suttle Andrea Miner Chief Executive Officer Investor Relations Coordinator Rockford Corporation Rockford Corporation (480) 967-3565 (480) 967-3565 Rockford Corporation Names Richard G. Vasek Chief Financial Officer TEMPE, Ariz., Nov. 15/PRNewswire/ — Rockford Corporation (Nasdaq: ROFO) today announced that Richard G. Vasek h |
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| November 18, 2004 |
e8vk Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 15, 2004 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| November 15, 2004 |
exv4w8 Exhibit 4.8 GLOBAL AMENDMENT TO NOTES, WARRANTS, INDENTURE, SECURITY AGREEMENT, WARRANT AGENT AGREEMENT AND REGISTRATION RIGHTS AGREEMENT AND WAIVER OF EVENT OF DEFAULT This Global Amendment to Notes, Warrants, Indenture, Security Agreement, Warrant Agent Agreement and Registration Rights Agreement and Waiver of Event of Default (this “Amendment”) is dated as of November 12, 2004 and is amo |
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| November 15, 2004 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 12, 2004 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona (State or other Jurisdiction of Incorporation) 000-30138 (Commission File Number) 86-0394353 (IRS Employer Identification No. |
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| November 15, 2004 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2004 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA 86-0394353 (State or Other Jurisdiction of (I.R.S. |
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| November 15, 2004 |
AMENDMENT TO WARRANTS, WARRANT AGENT AGREEMENT AND REGISTRATION RIGHTS AGREEMENT exv4w9 Exhibit 4.9 AMENDMENT TO WARRANTS, WARRANT AGENT AGREEMENT AND REGISTRATION RIGHTS AGREEMENT This Amendment to Warrants, Warrant Agent Agreement and Registration Rights Agreement (this “Amendment”) is dated as of November 12, 2004 and is among: • Rockford Corporation, an Arizona corporation (“Company”); • BNY Western Trust Company, a California banking corporation (“BNY”); and • Piper Jaffr |
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| October 5, 2004 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 1, 2004 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| October 5, 2004 |
exv99w1 Exhibit 99.1 Executive Contact: Investor Relations Contact: Gary Suttle Andrea Miner Chief Executive Officer Investor Relations Coordinator Rockford Corporation Rockford Corporation (480) 967-3565 (480) 967-3565 Rockford Corporation Proceeds with Strategic Realignment Announces Sale of Simple Devices; Proceeds Totaling $7.8 Million Tempe, Ariz., October 4, 2004/PRNewswire/ — Rockford Corpo |
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| September 21, 2004 |
e8vk Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 21, 2004 (September 15, 2004) Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| September 21, 2004 |
Rockford Corporation Announces Strategic Realignment exv99w1 EXHIBIT 99.1 Executive Contact: Investor Relations Contact: Gary Suttle Andrea Miner Chief Executive Officer Investor Relations Coordinator Rockford Corporation Rockford Corporation (480) 967-3565 (480) 967-3565 Rockford Corporation Announces Strategic Realignment Tempe, Ariz., September 21, 2004/PRNewswire/ — Rockford Corporation (NASDAQ:ROFO) today announced plans for the strategic reali |
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| August 24, 2004 |
e424b3 Table of Contents PROSPECTUS Filed Pursuant to Rule 424(b)(3) Registration Number 333-117315 ROCKFORD CORPORATION $12,500,000 of 4. |
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| August 13, 2004 |
As filed with the Securities and Exchange Commission on August 13, 2004 sv3za Table of Contents As filed with the Securities and Exchange Commission on August 13, 2004 Registration No. |
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| August 13, 2004 |
exv12w1 Exhibit 12.1 Ratio of Earnings to Fixed Charges Six Months Ended 1999 2000 2001 2002 2003 6/30/2004 Earnings: Income before income taxes $ 10,585 $ 12,724 $ 9,979 $ 10,143 $ (9,164 ) $ (11,485 ) Cumulative effect of acctg changes — — — — — — Fixed charges (exc capitalized interest): Interest expense 1,671 793 455 528 1,093 995 Amortization of debt costs 136 136 129 122 127 80 Operating lea |
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| August 11, 2004 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2004 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA 86-0394353 (State or Other Jurisdiction of (I.R.S. Emplo |
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| August 3, 2004 |
Rockford Corporation Announces Second Quarter Fiscal 2004 Results exv99w1 Exhibit 99.1 Executive Contact: Investor Relations Contacts: Gary Suttle Andrea Miner Chief Executive Officer Investor Relations Coordinator Rockford Corporation Rockford Corporation (480) 967-3565 (480) 967-3565 Rockford Corporation Announces Second Quarter Fiscal 2004 Results Tempe, Ariz., July 29, 2004/PRNewswire/ — Rockford Corporation (NASDAQ:ROFO) today reported results for the secon |
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| August 3, 2004 |
e8vk Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 29, 2004 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other (Commission File (IRS Employer Jurisdiction of Number) Identification No. |
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| July 21, 2004 |
e8vk Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 13, 2004 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| July 21, 2004 |
exv99w1 Exhibit 99.1 Executive Contact: Investor Relations Contact: Gary Suttle Andrea Miner Chief Executive Officer Investor Relations Coordinator Rockford Corporation Rockford Corporation (480) 967-3565 (480) 967-3565 Rockford Announces Resignation of Jim Thomson, Chief Financial Officer — Interim CFO Appointed as Executive Search Process Begins — Tempe, Ariz., July 13, 2004/PRNewswire/ — Rockfo |
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| July 12, 2004 |
exv25w1 EXHIBIT 25.1 FORM T-1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) || BNY WESTERN TRUST COMPANY (Exact name of trustee as specified in its charter) California (State of incorpora |
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| July 12, 2004 |
exv12w1 Ratio of Earnings to Fixed Charges Qtr Ended 1999 2000 2001 2002 2003 3/31/2004 Earnings: Income before income taxes $ 10,585 $ 12,724 $ 9,979 $ 10,143 $ (9,164 ) $ (8,407 ) Cumulative effect of acctg changes — — — — — — Fixed charges (exc capitalized interest): Interest expense 1,671 793 455 528 1,093 524 Amortization of debt costs 136 136 129 122 127 25 Operating lease interest 162 160 1 |
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| July 12, 2004 |
As filed with the Securities and Exchange Commission on July 12, 2004 sv3 Table of Contents As filed with the Securities and Exchange Commission on July 12, 2004 Registration No. |
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| June 23, 2004 |
Schedule 13G OMB APPROVAL OMB Number: 3235-0145 Expires: October 31, 2002 Estimated average burden Hours per response . |
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| June 15, 2004 |
e8vk Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 10, 2004 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 000-30138 86-0394353 (State or other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| June 15, 2004 |
EXHIBIT 4.3 FORM OF WARRANT [THE FOLLOWING PARAGRAPH SHALL APPEAR ON THE FACE OF EACH RESTRICTED WARRANT:] THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURIT |
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| June 15, 2004 |
EXHIBIT 4.7 CONFORMED COPY INTERCREDITOR AGREEMENT This INTERCREDITOR AGREEMENT, dated as of June 10, 2004 is entered into by and among CONGRESS FINANCIAL CORPORATION (WESTERN), as Senior Agent (as defined below), BNY Western Trust Company, as trustee and collateral agent under the Indenture referred to below, ROCKFORD CORPORATION, an Arizona corporation (the "Company"), and Audio Innovations, Inc |
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| June 15, 2004 |
EXHIBIT 99.1 (ROCKFORD CORPORATION LOGO) Executive Contact: Investor Relations Contact: Jim Thomson Andrea Miner Chief Financial Officer Investor Relations Coordinator Rockford Corporation Rockford Corporation (480) 967-3565 (480) 967-3565 ROCKFORD CORPORATION ANNOUNCES NEW $12.5 MILLION PRIVATE PLACEMENT AND PAYOFF OF $4 MILLION JUNIOR TERM LOAN Tempe, Ariz., June 14, 2004/PRNewswire/ - Rockford |
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| June 15, 2004 |
EXHIBIT 4.5 CONFORMED COPY ==================================================================== ROCKFORD CORPORATION and BNY WESTERN TRUST COMPANY, as Warrant Agent - WARRANT AGENT AGREEMENT Dated as of June 10, 2004 ===================================================================== WARRANT AGENT AGREEMENT TABLE OF CONTENTS Page - SECTION 1. Appointment of Warrant Agent......................... |
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| June 15, 2004 |
EXHIBIT 4.1 CONFORMED COPY ================================================================================ Rockford Corporation, Issuer BNY WESTERN TRUST COMPANY, as Trustee INDENTURE Dated as of June 10, 2004 4.5% Convertible Senior Subordinated Secured Notes due 2009 ================================================================================ CROSS-REFERENCE TABLE* Provisions of Trust Inden |
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| June 15, 2004 |
EXHIBIT 4.2 FORM OF 4.5% CONVERTIBLE SENIOR SUBORDINATED SECURED NOTE DUE 2009 - ROCKFORD CORPORATION [FORM OF FACE OF NOTE] [THE FOLLOWING PARAGRAPH SHALL APPEAR ON THE FACE OF EACH RESTRICTED NOTE.] THE SECURITIES REPRESENTED BY THIS CERTIFICATE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "SECURITIES ACT") OR APPLICABLE STATE SECURITIES LAWS. THIS SECURITY MAY NOT |
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| June 15, 2004 |
EXHIBIT 4.4 CONFORMED COPY ================================================================================ ROCKFORD CORPORATION, as the Company PIPER JAFFRAY & CO., as PIPER JAFFRAY and BUYERS, as defined herein REGISTRATION RIGHTS AGREEMENT Dated as of June 10, 2004 ================================================================================ REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RI |
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| June 15, 2004 |
EXHIBIT 10.1 CONFORMED COPY ================================================================================ ROCKFORD CORPORATION, as the Company and BUYERS, as defined herein SECURITIES PURCHASE AGREEMENT Dated as of June 10, 2004 4.5% Convertible Senior Subordinated Secured Notes due 2009 and Warrants to Purchase Common Stock ====================================================================== |
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| June 15, 2004 |
Rockford Corporation Announces Q2 Guidance exv99w1 Exhibit 99.1 Executive Contact: Investor Relations Contact: Jim Thomson Andrea Miner Chief Financial Officer Investor Relations Coordinator Rockford Corporation Rockford Corporation (480) 967-3565 (480) 967-3565 Rockford Corporation Announces Q2 Guidance Tempe, Arizona, June 7, 2004/PRNewswire/ — Rockford Corporation (NASDAQ:ROFO) today provided second quarter guidance for sales in a range |
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| June 15, 2004 |
Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): June 7, 2004 Rockford Corporation (Exact Name of Registrant as Specified in its Charter) Arizona (State or Other Jurisdiction of Incorporation or Organization) 000-30138 86-039435 |
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| June 15, 2004 |
EXHIBIT 4.6 CONFORMED COPY SECURITY AGREEMENT SECURITY AGREEMENT, dated as of June 10, 2004, among ROCKFORD CORPORATION, an Arizona corporation (the "Company"), and Audio Innovations, Inc., an Oklahoma corporation ("AII" and, together with the Company, the "Grantors" and each individually a "Grantor"), and BNY Western Trust Company, in its capacity as collateral agent (and any successor collateral |
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| May 21, 2004 |
Rockford Corporation Announces First Quarter Fiscal 2004 Results exv99w1 Exhibit 99.1 Executive Contact: Investor Relations Contact: Jim Thomson Andrea Miner Chief Financial Officer Investor Relations Coordinator Rockford Corporation Rockford Corporation (480) 967-3565 (480) 967-3565 Rockford Corporation Announces First Quarter Fiscal 2004 Results Tempe, Arizona, May 13, 2004/PRNewswire/ — Rockford Corporation (NASDAQ:ROFO) today reported results for the first |
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| May 21, 2004 |
e8vk Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): May 13, 2004 Rockford Corporation (Exact Name of Registrant as Specified in its Charter) Arizona (State or Other Jurisdiction of Incorporation or Organization) 000-30138 86-0 |
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| May 17, 2004 |
EXHIBIT 10.61 LOAN AND SECURITY AGREEMENT by and among HILCO CAPITAL LP as Lender, and ROCKFORD CORPORATION and AUDIO INNOVATIONS, INC. as Borrowers Dated: March 29, 2004 TABLE OF CONTENTS PAGE SECTION 1. DEFINITIONS ......................................................... 1 SECTION 2. CREDIT FACILITIES ................................................... 24 2.1 Revolving Loans ................... |
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| May 17, 2004 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2004 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA (State or Other Jurisdiction of Incorporation or Organi |
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| May 17, 2004 |
EXHIBIT 10.62 LOAN AND SECURITY AGREEMENT by and among THE FINANCIAL INSTITUTIONS NAMED HEREIN as Lenders, WACHOVIA BANK, NATIONAL ASSOCIATION, as Arranger, CONGRESS FINANCIAL CORPORATION (WESTERN) as Agent and ROCKFORD CORPORATION and AUDIO INNOVATIONS, INC. as Borrowers Dated: March 29, 2004 TABLE OF CONTENTS PAGE SECTION 1. DEFINITIONS ........................................................... |
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| April 12, 2004 |
def14a Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 6, 2004 |
Rockford Corporation Closes $45 Million Asset Based Credit Facility exv99w1 Exhibit 99.1 Executive Contact: Investor Relations Contact: Jim Thomson Andrea Miner Chief Financial Officer Investor Relations Coordinator Rockford Corporation Rockford Corporation (480) 967-3565 (480) 967-3565 Rockford Corporation Closes $45 Million Asset Based Credit Facility Tempe, Ariz., March 29, 2004/PR Newswire/ — Rockford Corporation (NASDAQ:ROFO) announced today that it has close |
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| April 6, 2004 |
e8vk Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): March 29, 2004 Rockford Corporation (Exact Name of Registrant as Specified in its Charter) Arizona (State or Other Jurisdiction of Incorporation or Organization) 000-30138 86 |
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| March 30, 2004 |
DATE 3/5/2003 Exhibit 10.58 SUPPLIER AGREEMENT WAL-MART STORES, INC. DIRECT IMPORTS (U.S.) Corporate Office Bentonville, AR 72716 (501) 273-4000 THIS AGREEMENT IS A LEGALLY BINDING DOCUMENT BETWEEN WAL-MART (PURCHASER), AND SUPPLIER. THE PARTIES HERETO AGREE TO BE BOUND BY ALL TERMS AND CONDITIONS HEREIN. HOWEVER, THIS SUPPLIER AGREEMENT AND OTHER TERMS, CONDITIONS AND STANDARDS INCORPORATED HEREI |
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| March 30, 2004 |
e10vk Table of Contents SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2003 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact name of Registrant as Specified in Its Charter) Arizona 86-0394353 (State or Other Jurisdiction of Incorporation o |
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| March 30, 2004 |
Exhibit 10.59 FORM R 140, COMMERCIAL LEASE This lease is made between DAVID & YVONNE CUNNINGHAM, of STW OK, herein called Lessor, and AUDIO INNOVATIONS INC, of STW OK, herein called Lessee. Lessee hereby offers to lease from Lessor the premises situated in the City of Stillwater, County of Payne, State of OK, described as 2723 E 6th, upon the following TERMS and CONDITIONS: 1. TERM AND RENT. Lesso |
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| March 30, 2004 |
EXHIBIT 10.56 LEASE CALWEST INDUSTRIAL HOLDINGS, LLC, Landlord, and ROCKFORD CORPORATION, Tenant TABLE OF CONTENTS Page 1. USE AND RESTRICTIONS ON USE ......................................... 1 2. TERM ................................................................ 2 3. RENT ................................................................ 3 4. RENT ADJUSTMENTS ................................... |
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| March 30, 2004 |
Exhibit 10.57 SUPPLIER AGREEMENT SUPPLIER NUMBER: 138122-10-0 EFFECTIVE DATE: 01/23/2003 This Supplier Agreement ("Agreement") between the party listed below ("Supplier") and Wal-Mart Stores, Inc., Wal-Mart Stores East, LP, Wal-Mart Stores East, Inc., Wal-Mart Stores Texas, LP, Sam's West, Inc., Sam's East, Inc. and affiliates (hereinafter referred to collectively as "Company") sets forth Supplier |
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| March 30, 2004 |
EXHIBIT 10.60 FORM R140 COMMERCIAL LEASE This lease is made between Wm Basore of STW OK herein called Lessor, and AUDIO INNOVATIONS INC. of STW OK herein called Lessee. Lessee hereby offers to lease from Lessor the premises situated in the City of STW County of Payne, State of OK described as 2817 E. 6th, upon the following TERMS and CONDITIONS: 1. TERM AND RENT. Lessor demises the above premises |
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| March 30, 2004 |
Exhibit 21 SUBSIDIARIES Audio Innovations, Inc., an Oklahoma corporation Lightning Audio Corporation, an Arizona corporation MB Quart GmbH, a German GmbH MB Quart Shanghai, Inc., an Arizona corporation SimpleDevices, Inc. Rockford (Europe) Elektronik Vertriebs GmbH, a German GmbH Rockford Foreign Sales Corporation, a Barbados corporation Rockford Japan Corporation, a Japanese corporation Rockford |
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| March 30, 2004 |
Exhibit 10.55 WAREHOUSE STORAGE AND LOGISTICS AGREEMENT I. RECITALS Whereas, TITAN LOGISTICS, INC., an Oklahoma corporation, with principal offices located at 1002 East Virginia, Stillwater, Oklahoma, 74074 ("TITAN"), is engaged in the business of warehousing and logistical services including trucking and local transfers; and Whereas, TITAN operates a commercial warehouse located at 3324 North Par |
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| March 30, 2004 |
Exhibit 99.9 RISK FACTORS THAT MAY AFFECT ROCKFORD?S OPERATING RESULTS, BUSINESS PROSPECTS AND STOCK PRICE Before you buy or sell our stock, you should be aware that there are risks, including those described below and others we have not anticipated or discussed. You should consider carefully these and other risk factors, together with all of the other information included in our filings with the |
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| March 30, 2004 |
EXHIBIT 10.54 LEASE This Lease is entered into the 26th day of September, 2003, by and between 3056 Walker Ridge Drive, LC. ("Lessor") by Robert Grooters Development Company Managing Agent for Lessor, and Rockford Corporation ("Lessee") upon the terms and conditions stated below: 1. PREMISES: Lessee hereby agrees to lease from Lessor the following described premises (the "premises"): X (Multi-Tena |
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| March 4, 2004 |
e8vk Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): February 26, 2004 Rockford Corporation (Exact Name of Registrant as Specified in its Charter) Arizona (State or Other Jurisdiction of Incorporation or Organization) 000-30138 |
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| March 4, 2004 |
exv99w1 Exhibit 99.1 Executive Contact: Investor Relations Contact: Jim Thomson Andrea Miner Chief Financial Officer Investor Relations Coordinator Rockford Corporation Rockford Corporation (480) 967-3565 (480) 967-3565 Rockford Corporation Announces Fiscal 2003 Results Captures Eleven Innovation Awards at Consumer Electronics Show Reaffirms FY04 and FY05 Earnings Outlook Tempe, Ariz., February 26 |
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| March 2, 2004 |
OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response. |
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| February 13, 2004 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* ROCKFORD CORP. - (Name of Issuer) Common Stock - (Title of Class of Securities) 77316P101 - (CUSIP Number) December 31, 2003 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| November 13, 2003 |
Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2003 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA (State or Other Jurisdiction of Incorporation or Organi |
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| October 31, 2003 |
e8vk Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): October 30, 2003 Rockford Corporation (Exact Name of Registrant as Specified in its Charter) Arizona (State or Other Jurisdiction of Incorporation or Organization) 000-30138 |
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| October 31, 2003 |
Rockford Corporation Announces Third Quarter Results Exhibit 99.1 Executive Contact: Investor Relations Contact: Jim Thomson Victoria Springgay Chief Financial Officer Investor Relations Coordinator Rockford Corporation Rockford Corporation (480) 967-3565 (480) 967-3565 Rockford Corporation Announces Third Quarter Results Tempe, Arizona, October 30, 2003 — Rockford Corporation (Nasdaq: ROFO), a leading designer and supplier of mobile audio and home |
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| August 29, 2003 |
AMENDMENT NO. 2 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Rockford Corporation - - (Name of Issuer) Common Stock, par value $0.001 per share - - (Title of Class of Securities) 77316P101 - - (CUSIP Number) April 2, 2003 - - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desi |
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| August 29, 2003 |
EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them a Statement on Schedule 13G (including amendments thereto) with regard to the common stock of Rockford Corporation, an Arizona corporation, and further agree that this Joint Filing Agreement be included as an Exhibit to such joint filings. |
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| August 14, 2003 |
e10vq Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2003 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA 86-0394353 (State or Other Jurisdiction of (I.R.S. Emp |
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| July 31, 2003 |
e8vk Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): July 31, 2003 Rockford Corporation (Exact Name of Registrant as Specified in its Charter) Arizona (State or Other Jurisdiction of Incorporation or Organization) 000-30138 86- |
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| July 31, 2003 |
Exhibit 99.1 Executive Contact: Jim Thomson Chief Financial Officer Rockford Corporation (480) 967-3565 Investor Relations Contact: Victoria Springgay Investor Relations Coordinator Rockford Corporation (480) 967-3565 Rockford Corporation Announces Second Quarter Results Announces shipment of Omnifi, new Technology Brand Tempe, Ariz., July 31, 2003/PRNewswire/ — Rockford Corporation (NASDAQ:ROFO), |
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| May 14, 2003 |
CURRENT REPORT DATED 5/14/2003 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): May 14, 2003 Rockford Corporation (Exact Name of Registrant as Specified in its Charter) Arizona (State or Other Jurisdiction of Incorporation or Organization) 000-30138 86-0394353 (Commission File |
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| May 14, 2003 |
QUARTERLY REPORT FOR THE QTR ENDED 3/31/03 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2003 Commission File Number 000-30138 ROCKFORD CORPORATION (Exact Name of Registrant as Specified in its Charter) ARIZONA 86-0394353 (State or Other Jurisdiction of (I.R.S. Employer Incorporation or |
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| May 14, 2003 |
EXHIBIT 99.1 ROCKFORD CORPORATION CERTIFICATION OF PERIODIC FINANCIAL REPORT PURSUANT TO 18 U.S.C. SECTION 1350 Pursuant to 18 U.S.C. Section 1350, as adopted in Section 906 of the Sarbanes-Oxley Act of 2002, W. Gary Suttle, Rockford's Chief Executive Officer and James M. Thomson, Rockford's Chief Financial Officer, each certifies with respect to Rockford Corporation's Quarterly Report on Form 10- |
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| May 9, 2003 |
sc13gza OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response. |
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| April 25, 2003 |
e8vk Table of Contents SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 24, 2003 Rockford Corporation (Exact name of registrant as specified in its charter) Arizona 86-0394353 (State or other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| April 25, 2003 |
Rockford Corporation Announces First Quarter Results Exhibit 99.1 Executive Contact: Investor Relations Contact: Jim Thomson Victoria Springgay Chief Financial Officer Investor Relations Coordinator Rockford Corporation Rockford Corporation (480) 967-3565 (480) 967-3565 Rockford Corporation Announces First Quarter Results Tempe, Ariz., April 24, 2003/PRNewswire/ — Rockford Corporation (NASDAQ:ROFO), a leading supplier of mobile audio and home theatr |
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| March 11, 2003 |
Form 4 FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or S |
