UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
Amendment No. 1
(Mark One)
[X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended: June 30, 2004
OR
[ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from: to:
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Commission file number: 0-21121
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TRANSACT TECHNOLOGIES INCORPORATED
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(Exact name of registrant as specified in its charter)
DELAWARE 06-1456680
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(State or other jurisdiction of (I.R.S. Employer Identification No.)
incorporation or organization)
7 LASER LANE, WALLINGFORD, CT 06492
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(Address of principal executive offices)
(Zip Code)
(203) 269-1198
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(Registrant's telephone number, including area code)
Not applicable
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(Former name, former address and former fiscal year, if changed since last
report.)
Indicate by check mark whether the registrant (1) has filed all reports required
to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during
the preceding 12 months (or for such shorter period that the registrant was
required to file such reports), and (2) has been subject to such filing
requirements for the past 90 days.
YES [X] NO [ ]
Indicate by check mark whether the registrant is an accelerated filer (as
defined in Rule 12b-2 of the Exchange Act).
YES [ ] NO [X]
Indicate the number of shares outstanding of each of the issuer's classes of
common stock, as of the latest practicable date.
CLASS OUTSTANDING JULY 30, 2004
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COMMON STOCK, $.01 PAR VALUE 9,928,689
EXPLANATORY NOTE
We are filing this Amendment No. 1 to our Quarterly Report on Form 10-Q for
the quarter ended June 30, 2004 as an exhibit-only filing in response to certain
comments we received from the Securities and Exchange Commission on a
confidential treatment request we made for certain portions of Exhibit 10.28 to
our original Form 10-Q. This Amendment No. 1 on Form 10-Q/A does not reflect any
events occurring after the date of filing of the original Form 10-Q, or
otherwise modify or update any of the information contained therein.
We are refiling Exhibit 10.28, License Agreement between Seiko Epson
Corporation and TransAct Technologies Incorporated, dated May 17, 2004.
Confidential treatment has been requested for certain portions of Exhibit 10.28,
which have been omitted and filed separately with the Securities and Exchange
Commission pursuant to Rule 24b-2 under the Securities Exchange Act of 1934, as
amended.
PART II. OTHER INFORMATION
ITEM 6. EXHIBITS AND REPORTS ON FORM 8-K
a. Exhibits
Exhibit 10.28 License Agreement between Seiko Epson
Corporation and TransAct Technologies
Incorporated dated May 17, 2004. (Pursuant
to Rule 24b-2 under the Exchange Act, the
Company has requested confidential treatment
of portions of this exhibit, which have been
omitted from the filed copy and filed
separately with the Securities and Exchange
Commission.)
Exhibit 31.1 Certification of Chief Executive Officer
pursuant to Section 302 of the Sarbanes-Oxley
Act of 2002.(1)
Exhibit 31.2 Certification of Chief Financial Officer
pursuant to Section 302 of the Sarbanes-Oxley
Act of 2002.(1)
Exhibit 31.3 Certification of Chief Executive Officer
pursuant to Section 302 of the Sarbanes-Oxley
Act of 2002.
Exhibit 31.4 Certification of Chief Financial Officer
pursuant to Section 302 of the Sarbanes-Oxley
Act of 2002.
Exhibit 32.1 Certification of Chief Executive Officer
pursuant to 18 U.S.C. Section 1350 as
adopted pursuant to section 906 of
the Sarbanes-Oxley Act of 2002.(1)
Exhibit 32.2 Certification of Chief Financial Officer
pursuant to 18 U.S.C. Section 1350 as
adopted pursuant to section 906 of
the Sarbanes-Oxley Act of 2002.(1)
Exhibit 32.3 Certification of Chief Executive Officer
pursuant to 18 U.S.C. Section
1350 as adopted pursuant to Section 906 of
the Sarbanes-Oxley Act of 2002.
Exhibit 32.4 Certification of Chief Financial Officer
pursuant to 18 U.S.C. Section
1350 as adopted pursuant to Section 906 of
the Sarbanes-Oxley Act of 2002.
b. Reports on Form 8-K
1. A report on Form 8-K was furnished on May 3, 2004 to
report under Items 7 and 12 a press release announcing
the Company's financial results for the quarter ended
March 31, 2004.
(1) Previously filed.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
registrant has duly caused this report to be signed on its behalf by the
undersigned thereunto duly authorized.
TRANSACT TECHNOLOGIES INCORPORATED
(Registrant)
November 18, 2004 /s/ Steven A. DeMartino
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Steven A. DeMartino
Executive Vice President, Secretary,
Treasurer and Chief Financial Officer
(Principal Financial and Accounting Officer)
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EXHIBIT LIST
The following exhibits are filed herewith.
Exhibit
10.28 License Agreement between Seiko Epson Corporation and
TransAct Technologies Incorporated dated May 17, 2004.
(Pursuant to Rule 24b-2 under the Exchange Act, the Company
has requested confidential treatment of portions of this
exhibit, which have been omitted from the filed copy and
filed separately with the Securities and Exchange
Commission.)
31.1 Certification of Chief Executive Officer pursuant to Section
302 of the Sarbanes-Oxley Act of 2002.(1)
31.2 Certification of Chief Financial Officer pursuant to Section
302 of the Sarbanes-Oxley Act of 2002.(1)
31.3 Certification of Chief Executive Officer pursuant to Section
302 of the Sarbanes-Oxley Act of 2002.
31.4 Certification of Chief Financial Officer pursuant to Section
302 of the Sarbanes-Oxley Act of 2002.
32.1 Certification of Chief Executive Officer pursuant to 18
U.S.C. Section 1350 as adopted pursuant to section 906 of
the Sarbanes-Oxley Act of 2002.(1)
32.2 Certification of Chief Financial Officer pursuant to 18
U.S.C. Section 1350 as adopted pursuant to section 906 of
the Sarbanes-Oxley Act of 2002.(1)
32.3 Certification of Chief Executive Officer pursuant to 18
U.S.C. Section 1350 as adopted pursuant to Section 906 of
the Sarbanes-Oxley Act of 2002.
32.4 Certification of Chief Financial Officer pursuant to 18
U.S.C. Section 1350 as adopted pursuant to Section 906 of
the Sarbanes-Oxley Act of 2002.
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(1) Previously filed.
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