UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
Amendment No. 1
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QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934 |
For the quarter ended September 30, 2007
OR
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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: 001-13337
STONERIDGE, INC.
(Exact name of registrant as specified in its charter)
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| Ohio
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34-1598949 |
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(State or other jurisdiction of
incorporation or organization)
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(I.R.S. Employer
Identification No.) |
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| 9400 East Market Street, Warren, Ohio
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44484 |
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| (Address of principal executive offices)
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(Zip Code) |
(330) 856-2443
Registrant’s telephone number, including area code
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. þ Yes o No
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated
filer, or a non-accelerated filer. See definition of “accelerated filer and large accelerated
filer” in Rule 12b-2 of the Exchange Act. (Check one):
Large accelerated filer o Accelerated filer þ Non-accelerated filer o
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of
the Act). o Yes þ No
The number of Common Shares, without par value, outstanding as of October 26, 2007 was
24,226,564.
STONERIDGE, INC.
FORM 10-Q/A
INTRODUCTORY NOTE
This Amendment No. 1 to the quarterly report on Form 10-Q is being filed to amend Stoneridge,
Inc.’s quarterly report on Form 10-Q for the quarter ended September 30, 2007, which was
originally filed with the Securities and Exchange Commission on November 9, 2007, to file an exhibit
of a material agreement entered into during the quarter ended September 30, 2007.
PART II—OTHER INFORMATION
Item 6. Exhibits.
Reference is made to the “Index to Exhibits” below.
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.
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STONERIDGE, INC.
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| Date: December 21, 2007 |
/s/ John C. Corey
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John C. Corey |
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President, Chief Executive Officer and Director
(Principal Executive Officer) |
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| Date: December 21, 2007 |
/s/ George E. Strickler
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George E. Strickler |
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Executive Vice President, Chief Financial Officer and Treasurer
(Principal Financial Officer) |
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INDEX TO EXHIBITS
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Exhibit |
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10.1
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Amended and Restated Change in Control Agreement, filed herewith. |
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31.1
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Chief Executive Officer certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, filed herewith. |
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31.2
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Chief Financial Officer certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, filed herewith. |
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32.1
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Chief Executive Officer certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of
the Sarbanes-Oxley Act of 2002, filed herewith. |
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32.2
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Chief Financial Officer certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of
the Sarbanes-Oxley Act of 2002, filed herewith. |