UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
For the fiscal year ended September 30, 1997
OR
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
For the transition period from ________ to ________
Commission file number 0-28450
Netopia, Inc.
(Exact name of registrant as specified in its charter)
Formerly Farallon Communications, Inc.
Delaware
94-3033136
(State or other jurisdiction of
incorporation or organization)
(I.R.S. Employer
Identification Number)
2470 Mariner Square Loop
Alameda, California 94501
(Address of principal executive offices, including Zip Code)
(510) 814-5100
(Registrant's telephone number, including area code)
Indicate by check X whether the registrant (1) has filed all reports required
to be filed by Sections 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 X 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 the Registrant's knowledge, in definitive proxy or information
statements incorporated by reference in this Form 10-K or any amendment to
this Form 10-K.
Yes
x
No
As of December 1, 1997 there were 11,514,819 shares of the Registrant's Common
Stock outstanding. The aggregate market value of the Common Stock held by
non-affiliates of the registrant, based on the closing price of the Common
Stock as reported on The Nasdaq Stock Market (National Market System) on
December 1, 1997 was approximately $ 39,473,082.
DOCUMENTS INCORPORATED BY REFERENCE
The Registrant's definitive Proxy Statement for its Annual Stockholders Meeting
to be held on February 18, 1998 is incorporated by reference in Part III of
this Form 10-K.
Explanatory Note
This Amendment amends the Annual Report on Form 10-K filed with the
Securities and Exchange Commission on December 19, 1997. The cover page
"DOCUMNETS INCORPORATED BY REFERENCE" has been amended to reflect the Annual
Meeting date of February 18, 1998.
SIGNATURES
Pursuant to the requirements of Sections 13 or 15(d) of the Securities Exchange
Act of 1934, the registrant has duly caused this report to be signed on
behalf by the undersigned, thereunto duly authorized, in the City of Alameda,
State of California on this 8th day of January, 1998.
NETOPIA, INC.
BY:
/s/ Alan B. Lefkof
Alan B. Lefkof
President and Chief Executive Officer
Pursuant to the requirements of Sections 13 or 15(d) of the Securities Exchange
Act of 1934, the registrant has duly caused this report to be signed on behalf
by the undersigned, thereunto duly authorized.
Signature Date
/s/ Alan B. Lefkof January 8, 1998
Alan B. Lefkof
President, Chief Executive Officer and
Director (Principal Executive Officer)
/s/ James A. Clark January 8, 1998
James A. Clark
Vice President and Chief Financial Officer
(Principal Financial and Accounting Officer)
/s/ Reese M. Jones January 8, 1998
Reese M. Jones
Chairman of the Board of Directors
/s/ Bandel L. Carano January 8, 1998
Bandel L. Carano
Director
/s/ David F. Marqurdt January 8, 1998
David F. Marquardt
Director
/s/ James R. Swartz January 8, 1998
James R. Swartz
Director
