x
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Annual report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
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¨
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Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
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Washington
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91-1405022
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(State or other jurisdiction
of incorporation or organization)
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(I.R.S. Employer
Identification Number)
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Title of Each Class
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Name of Each Exchange on Which Registered
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Common Stock, $0.01 par value
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Nasdaq Global Select Market
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Large accelerated filer ¨
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Accelerated filer x
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Non-accelerated filer ¨ (Do not check if a smaller reporting company)
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Smaller reporting company ¨
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•
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31.3 Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002;
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•
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31.4 Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002;
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Exhibit
No.
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Description
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1.1(K)
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Underwriting Agreement between J.P. Morgan Securities Inc. and the registrant dated July 10, 2007 (exhibit 1.1)
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2.1(R)
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Share Purchase Agreement dated May 26, 2010 by and among SonoSite, Inc., VisualSonics, Inc., the Shareholders of VisualSonics, Inc. and the Shareholders’ Agent (exhibit 2.1)
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3.1(W)
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Amended and Restated Articles of Incorporation of the registrant (exhibit 10.1)
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3.2(A)
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Amended and Restated Bylaws of the registrant (exhibit 3.1)
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4.1(K)
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First Supplemental Indenture between Wells Fargo Bank, NA and the registrant dated July 16, 2007 (exhibit 4.1)
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4.2(M)
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Amended and Restated Rights Agreement dated November 28, 2007 by and between the registrant and Computershare Trust Company N.A. (exhibit 4.1)
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4.3(M)
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Form of Rights Certificate (exhibit 4.2)
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10.1(F)
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1998 Stock Option Plan, as amended and restated (exhibit 10.1)
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10.2(U)
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Terms of Stock Option Grant Program for Nonemployee Directors under the SonoSite, Inc. 1998 Stock Option Plan (exhibit 10.2)
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10.3(G)
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1998 Nonofficer Employee Stock Option Plan, as amended and restated (exhibit 10.1)
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10.4(D)
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Nonemployee Director Stock Option Plan, as amended and restated (exhibit 10.3)
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10.5(B)
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Management Incentive Compensation Plan (exhibit 10.5)
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10.6(U)
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Technology Transfer and License Agreement between ATL Ultrasound, Inc. and the registrant, effective as of April 6, 1998, as amended (exhibit 10.9)
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10.7(E)
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Third Amendment to Technology Transfer and License Agreement between ATL Ultrasound, Inc. and the registrant, dated as of March 10, 2000 (exhibit 10.9)
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10.8(C)
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Option Notice Agreement, dated July 17, 2000, between the registrant and Michael J. Schuh (exhibit 99.1)
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10.9(H)
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2005 Employee Stock Purchase Plan (exhibit 10.2)
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10.10(I)
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1998 Stock Option Plan Stock Option Award Agreement (exhibit 10.1)
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10.11(J)
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Terms of Stock Option Grant Program for Nonemployee Directors under the SonoSite, Inc. 2005 Stock Incentive Plan (exhibit 10.1)
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10.12(J)
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2005 Stock Incentive Plan Stock Option Agreement (Non Statutory) (exhibit 10.2)
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10.13(J)
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2005 Stock Incentive Plan Restricted Stock Unit Agreement (exhibit 10.3)
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10.14(L)
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Call Option Transaction Confirmation, dated as of July 11, 2007, by and between SonoSite, Inc. and JPMorgan Chase Bank, National Association (exhibit 10.1)
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10.15(L)
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Warrant Transaction Confirmation, dated as of July 11, 2007, by and between SonoSite, Inc. and JPMorgan Chase Bank, National Association (exhibit 10.2)
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10.16(V)
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Form of Partial Unwind Agreement with respect to the Note Hedge Transaction Confirmation dated July 11, 2007, by and between SonoSite, Inc. and JP Morgan Chase Bank, NA (exhibit 10.1)
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10.17(V)
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Form of Partial Unwind Agreement with respect to the Warrant Confirmation dated July 11, 2007, by and between SonoSite, Inc. and JPMorgan Chase Bank, NA (exhibit 10.2)
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10.18(N)
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Amended and Restated 2005 Stock Incentive Plan (exhibit 99.1)
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10.19(O)
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FY2010 Variable Incentive Bonus Plan (exhibit 10.1)
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10.20(P)
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Form of Senior Management Employment Agreement by and between SonoSite, Inc. and each of its Named Executive Officers (exhibit 10.20)
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10.21(Q)
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Form of Indemnification Agreement by and between SonoSite, Inc. and each of its Named Executive Officers (exhibit 10.21)
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10.22(S)*
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Confidential Settlement and License Agreement dated October 16, 2009 by and between SonoSite, Inc. and General Electric Company (exhibit 10.22)
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10.23(T)
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Separation Agreement and General Release dated January 14, 2011 by and between SonoSite, Inc. and Michael Schuh (exhibit 10.1)
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21.1**
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Subsidiaries of the registrant
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23.1**
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Consent of KPMG LLP, independent registered public accounting firm
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24.1**
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Power of attorney (contained on signature page)
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31.1**
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Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
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31.2**
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Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
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31.3†
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Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
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31.4†
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Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
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32.1**
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Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350 (Section 906 of the Sarbanes-Oxley Act of 2002)
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32.2**
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Certification of Principal Financial Officer pursuant to 18 U.S.C. Section 1350 (Section 906 of the Sarbanes-Oxley Act of 2002)
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†
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Filed herewith.
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*
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Confidential treatment requested.
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**
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Previously filed.
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(A)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-Q filed on November 9, 2010.
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(B)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-K for the year ended December 31, 1998 filed on March 22, 1999.
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(C)
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Incorporated by reference to the designated exhibit included in SonoSite’s registration statement on Form S-8 (Registration No. 333-51820) filed on December 14, 2000.
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(D)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K filed on February 7, 2006.
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(E)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-K for the year ended December 31, 2001 filed on February 22, 2002.
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(F)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-Q for the quarter ended March 31, 2002 filed on May 13, 2002.
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(G)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-Q for the quarter ended June 30, 2002 filed on August 13, 2002.
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(H)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K filed on April 28, 2005.
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(I)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-Q for the quarter ended June 30, 2005 filed on August 9, 2005.
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(J)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K filed on February 7, 2006.
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(K)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K filed on July 16, 2007.
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(L)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-Q filed on August 9, 2007.
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(M)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K filed on November 29, 2007.
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(N)
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Incorporated by reference to the designated exhibit included in SonoSite’s registration statement on Form S-8 filed on May 2, 2008.
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(O)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-Q for the quarter ended March 31, 2010 and filed on May 7, 2010.
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(P)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-K filed on March 12, 2009.
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(Q)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-K filed on March 26, 2010.
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(R)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K/A filed on December 7, 2010.
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(S)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-K/A filed on September 7, 2010.
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(T)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K filed on January 18, 2011.
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(U)
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Incorporated by reference to the designated exhibit included in SonoSite’s Registration Statement on Form S-1 (Registration No. 333-714157) filed on March 10, 1999.
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(V)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K filed on November 2, 2008.
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(W) | Incorporated by reference to the designated exhibit included in SonoSite's report on Form 8-K filed on April 23, 2010. |
SONOSITE, INC. | ||
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By | /s/ Marcus Y. Smith |
Marcus Y. Smith
Senior Vice President and Chief Financial Officer
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Exhibit
No.
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Description
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1.1(K)
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Underwriting Agreement between J.P. Morgan Securities Inc. and the registrant dated July 10, 2007 (exhibit 1.1)
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2.1(R)
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Share Purchase Agreement dated May 26, 2010 by and among SonoSite, Inc., VisualSonics, Inc., the Shareholders of VisualSonics, Inc. and the Shareholders’ Agent (exhibit 2.1)
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3.1(W)
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Amended and Restated Articles of Incorporation of the registrant (exhibit 10.1)
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3.2(A)
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Amended and Restated Bylaws of the registrant (exhibit 3.1)
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4.1(K)
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First Supplemental Indenture between Wells Fargo Bank, NA and the registrant dated July 16, 2007 (exhibit 4.1)
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4.2(M)
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Amended and Restated Rights Agreement dated November 28, 2007 by and between the registrant and Computershare Trust Company N.A. (exhibit 4.1)
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4.3(M)
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Form of Rights Certificate (exhibit 4.2)
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10.1(F)
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1998 Stock Option Plan, as amended and restated (exhibit 10.1)
|
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10.2(U)
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Terms of Stock Option Grant Program for Nonemployee Directors under the SonoSite, Inc. 1998 Stock Option Plan (exhibit 10.2)
|
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10.3(G)
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1998 Nonofficer Employee Stock Option Plan, as amended and restated (exhibit 10.1)
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10.4(D)
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Nonemployee Director Stock Option Plan, as amended and restated (exhibit 10.3)
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10.5(B)
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Management Incentive Compensation Plan (exhibit 10.5)
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10.6(U)
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Technology Transfer and License Agreement between ATL Ultrasound, Inc. and the registrant, effective as of April 6, 1998, as amended (exhibit 10.9)
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10.7(E)
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Third Amendment to Technology Transfer and License Agreement between ATL Ultrasound, Inc. and the registrant, dated as of March 10, 2000 (exhibit 10.9)
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10.8(C)
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Option Notice Agreement, dated July 17, 2000, between the registrant and Michael J. Schuh (exhibit 99.1)
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10.9(H)
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2005 Employee Stock Purchase Plan (exhibit 10.2)
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10.10(I)
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1998 Stock Option Plan Stock Option Award Agreement (exhibit 10.1)
|
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10.11(J)
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Terms of Stock Option Grant Program for Nonemployee Directors under the SonoSite, Inc. 2005 Stock Incentive Plan (exhibit 10.1)
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10.12(J)
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2005 Stock Incentive Plan Stock Option Agreement (Non Statutory) (exhibit 10.2)
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10.13(J)
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2005 Stock Incentive Plan Restricted Stock Unit Agreement (exhibit 10.3)
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10.14(L)
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Call Option Transaction Confirmation, dated as of July 11, 2007, by and between SonoSite, Inc. and JPMorgan Chase Bank, National Association (exhibit 10.1)
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10.15(L)
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Warrant Transaction Confirmation, dated as of July 11, 2007, by and between SonoSite, Inc. and JPMorgan Chase Bank, National Association (exhibit 10.2)
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10.16(V)
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Form of Partial Unwind Agreement with respect to the Note Hedge Transaction Confirmation dated July 11, 2007, by and between SonoSite, Inc. and JP Morgan Chase Bank, NA (exhibit 10.1)
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10.17(V)
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Form of Partial Unwind Agreement with respect to the Warrant Confirmation dated July 11, 2007, by and between SonoSite, Inc. and JPMorgan Chase Bank, NA (exhibit 10.2)
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10.18(N)
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Amended and Restated 2005 Stock Incentive Plan (exhibit 99.1)
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10.19(O)
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FY2010 Variable Incentive Bonus Plan (exhibit 10.1)
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10.20(P)
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Form of Senior Management Employment Agreement by and between SonoSite, Inc. and each of its Named Executive Officers (exhibit 10.20)
|
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10.21(Q)
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Form of Indemnification Agreement by and between SonoSite, Inc. and each of its Named Executive Officers (exhibit 10.21)
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10.22(S)*
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Confidential Settlement and License Agreement dated October 16, 2009 by and between SonoSite, Inc. and General Electric Company (exhibit 10.22)
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10.23(T)
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Separation Agreement and General Release dated January 14, 2011 by and between SonoSite, Inc. and Michael Schuh (exhibit 10.1)
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21.1**
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Subsidiaries of the registrant
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23.1**
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Consent of KPMG LLP, independent registered public accounting firm
|
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24.1**
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Power of attorney (contained on signature page)
|
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31.1**
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Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
|
|
31.2**
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Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
|
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31.3†
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Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
|
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31.4†
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Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
|
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32.1**
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Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350 (Section 906 of the Sarbanes-Oxley Act of 2002)
|
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32.2**
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Certification of Principal Financial Officer pursuant to 18 U.S.C. Section 1350 (Section 906 of the Sarbanes-Oxley Act of 2002)
|
†
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Filed herewith.
|
*
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Confidential treatment requested.
|
**
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Previously filed.
|
(A)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-Q filed on November 9, 2010.
|
(B)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-K for the year ended December 31, 1998 filed on March 22, 1999.
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(C)
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Incorporated by reference to the designated exhibit included in SonoSite’s registration statement on Form S-8 (Registration No. 333-51820) filed on December 14, 2000.
|
(D)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K filed on February 7, 2006.
|
(E)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-K for the year ended December 31, 2001 filed on February 22, 2002.
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(F)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-Q for the quarter ended March 31, 2002 filed on May 13, 2002.
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(G)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-Q for the quarter ended June 30, 2002 filed on August 13, 2002.
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(H)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K filed on April 28, 2005.
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(I)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-Q for the quarter ended June 30, 2005 filed on August 9, 2005.
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(J)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K filed on February 7, 2006.
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(K)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K filed on July 16, 2007.
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(L)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-Q filed on August 9, 2007.
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(M)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K filed on November 29, 2007.
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(N)
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Incorporated by reference to the designated exhibit included in SonoSite’s registration statement on Form S-8 filed on May 2, 2008.
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(O)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-Q for the quarter ended March 31, 2010 and filed on May 7, 2010.
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(P)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-K filed on March 12, 2009.
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(Q)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-K filed on March 26, 2010.
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(R)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K/A filed on December 7, 2010.
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(S)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 10-K/A filed on September 7, 2010.
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(T)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K filed on January 18, 2011.
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(U)
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Incorporated by reference to the designated exhibit included in SonoSite’s Registration Statement on Form S-1 (Registration No. 333-714157) filed on March 10, 1999.
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(V)
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Incorporated by reference to the designated exhibit included in SonoSite’s report on Form 8-K filed on November 2, 2008.
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(W) | Incorporated by reference to the designated exhibit included in SonoSite's report on Form 8-K filed on April 23, 2010. |