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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
AMENDMENT NO. 1
(Mark one)
[X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
FOR THE FISCAL YEAR ENDED DECEMBER 31, 1999
OR
[ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
COMMISSION FILE NUMBER 000-28430
SS&C TECHNOLOGIES, INC.
(Exact name of Registrant as specified in its charter)
DELAWARE 06-1169696
(State or other jurisdiction of (I.R.S. Employer identification No.)
incorporation or organization)
80 LAMBERTON ROAD
WINDSOR, CT 06095
(Address of principal executive offices, including zip code)
860-298-4500
(Registrant's telephone number, including area code)
SECURITIES REGISTERED PURSUANT TO SECTION 12(b) OF THE ACT: NONE
SECURITIES REGISTERED PURSUANT TO SECTION 12(g) OF THE ACT: COMMON STOCK,
$.01 PAR VALUE PER SHARE
Indicate by check mark whether the Registrant (1) has filed all reports
required to be filed by Section 13 or 15(d) of the Securities Exchange Act of
1934 during the preceding 12 months (or for such shorter period that the
Registrant was required to file such reports), and (2) has been subject to such
filing requirements for the past 90 days.
Yes [X] No [_]
Indicate by check mark if disclosure of delinquent filers pursuant to Item
405 of Regulation S-K is not contained herein, and will not be contained, to the
best of Registrant's knowledge, in definitive proxy or information statements
incorporated by reference in Part III of this Form 10-K or any amendment to this
Form 10-K. [X]
As of March 22, 2000, the aggregate market value of the common stock held
by non-affiliates of the Registrant was approximately $51,292,905 based on the
closing sale price of $5.81 of the Registrant's Common Stock on the Nasdaq
National Market on such date.
As of March 22, 2000, 16,044,203 shares of the Registrant's Common Stock
were outstanding.
DOCUMENTS INCORPORATED BY REFERENCE
<TABLE>
<CAPTION>
Document Part of Report into which incorporated
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<S> <C>
Portions of the Registrant's 1999 Annual Report to Items 6, 7, 7A, and 8 of Part II
Shareholders
Portions of the Registrant's Proxy Statement for the Items 10, 11, 12, and 13 of Part III
2000 Annual Meeting of Shareholders
</TABLE>
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SS&C TECHNOLOGIES, INC.
EXPLANATORY NOTE
This Amendment No. 1 to Annual Report on Form 10-K/A amends and restates Item 13
of Part III of the Registrant's Annual Report on Form 10-K for the fiscal year
ended December 31, 1999, as filed by the Registrant on March 30, 2000 and is
being filed to reflect the incorporation by reference of a certain related party
transaction described in the Registrant's Proxy Statement for the 2000 Annual
Meeting of Shareholders.
PART III
ITEM 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS
Information required by this Item 13 is set forth in the Proxy Statement under
the headings "Compensation of Executive Officers - Employment Agreements," and
"Certain Transactions" which information is incorporated herein by reference.
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SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities
Exchange Act of 1934, the Registrant has duly caused this report to be signed on
its behalf by the undersigned, thereunto duly authorized.
SS&C Technologies, Inc.
By: /s/ Anthony R. Guarascio
--------------------------------------
Anthony R. Guarascio
Senior Vice President and
Chief Financial Officer
Date: April 28, 2000
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