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Aruba Networks 10-K 2012

Documents found in this filing:

  1. 10-K/A
  2. Ex-10.47
  3. Ex-31.3
  4. Ex-31.4
  5. Ex-31.4
FORM 10-K/A

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Form 10-K/A

(Amendment No. 1)

 

x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the fiscal year ended July 31, 2011

 

¨ 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: 001-33347

 

 

Aruba Networks, Inc.

(Exact name of registrant as specified in its charter)

 

Delaware   02-0579097

(State or other jurisdiction of

incorporation or organization)

 

(I.R.S. Employer

Identification No.)

1344 Crossman Ave.

Sunnyvale, California 94089-1113

(408) 227-4500

(Address, including zip code, and telephone number,

including area code, of registrant’s principal executive offices)

Securities registered pursuant to Section 12(b) of the Act:

 

Title of Each Class

 

Name of Exchange on Which Registered

Common Stock, par value $0.0001 per share  

The NASDAQ Stock Market LLC

(NASDAQ Global Select Market)

Securities registered pursuant to 12(g) of the Act:

None

 

 

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.     Yes  x    No  ¨

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act.     Yes  ¨     No  x

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 has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).     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.  ¨

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):

 

Large accelerated filer x      Accelerated filer                   ¨
Non-accelerated filer   ¨   (Do not check if a smaller reporting company)    Smaller reporting company ¨

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act.)     Yes  ¨     No  x

As of January 31, 2011, the last business day of the registrant’s most recently completed second fiscal quarter, the aggregate market value of the registrant’s common stock held by non-affiliates was approximately $2,063,670,475, based on the closing price of such stock reported for such date on the NASDAQ Global Select Market. This calculation does not reflect a determination that persons are affiliates for any other purposes.

The number of outstanding shares of the registrant’s common stock was 105,678,491 as of September 14, 2011.

 

 

DOCUMENTS INCORPORATED BY REFERENCE

Portions of the registrant’s Proxy Statement for the 2011 Annual Meeting of Stockholders to be filed with the Securities and Exchange Commission within 120 days after the end of the registrant’s fiscal year ended July 31, 2011 are incorporated by reference into Part III of this Annual Report on Form 10-K.

 

 

 


EXPLANATORY NOTE

We filed our Annual Report on Form 10-K for the fiscal year ended July 31, 2011 (the “Form 10-K”) with the Securities and Exchange Commission (the “SEC”) on September 27, 2011. We are filing this Amendment No. 1 to the Form 10-K (this “Form 10-K/A”) in response to communications with the SEC in connection with a request for confidential treatment under Rule 24b-2 promulgated under the Securities and Exchange Act of 1934, as amended (the “Exchange Act”), with respect to Exhibit 10.47 originally filed with the Form 10-K. The sole purpose of this Form 10-K/A is to file a revised redacted version of Exhibit 10.47, which supersedes in its entirety the Exhibit 10.47 as originally filed with the Form 10-K. Certain portions of the information that were omitted from Exhibit 10.47 as filed with the Form 10-K have now been included as part of the revised Exhibit 10.47. To accomplish the foregoing, this Form 10-K/A hereby amends and restates in its entirety Item 15 of Part IV of the Form 10-K.

Pursuant to Rule 12b-15 under the Exchange Act, this Form 10-K/A also contains new certifications pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. Accordingly, Item 15 of Part IV has also been amended and restated in its entirety to include the currently dated certifications as exhibits. Because no financial statements have been included in this Form 10-K/A and this Form 10-K/A does not contain or amend any disclosure with respect to Items 307 and 308 of Regulation S-K, paragraphs 3, 4 and 5 of the certifications have been omitted.

No attempt has been made in this Form 10-K/A to modify or update the other disclosures presented in the Form 10-K, including, without limitation, the financial statements. This Form 10-K/A does not reflect events occurring after the filing of the Form 10-K or modify or update the disclosures in the Form 10-K, except as set forth in this Form 10-K/A, and should be read in conjunction with the Form 10-K and our other filings with the SEC.

 

1


PART IV

ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES

(a)(1) Financial Statements: See Index to Consolidated Financial Statements in Item 8 of this report

(2) Financial Schedules: Schedule II Valuation and Qualifying Accounts appeared on page 91 of the Form 10-K and should be read in conjunction with the Consolidated Financial Statements included in this report.

Schedules not listed above have been omitted because the information required to be set forth therein is not applicable or is shown in the financial statements or notes thereto.

(b) Exhibits. The exhibits listed on the Exhibit Index on page 4 of this Form 10-K/A are included, or incorporated by reference, in this report.

 

2


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, on the 8th day of February 2012.

 

ARUBA NETWORKS, INC.

/s/ Dominic P. Orr

Dominic P. Orr
President and Chief Executive Officer

 

3


EXHIBIT INDEX

 

         

Incorporated by Reference Herein

 

Exhibit
Number

  

Description

  

Form

   File No.      Exhibit      Filing Date  
2.1    Arrangement Agreement dated May 7, 2010 by and among Registrant, Azalea Networks, Felix Zhao, Frank Wang, Fang Wu, Hans Tai and Samuel Chen, as Principal Shareholders, and with respect to Articles VII, VIII and IX only, Hans Tai as Shareholder Representative and U.S. Bank National Association as Escrow Agent    8-K      001-33347         2.1         5/10/2010   
2.2    Scheme of Arrangement between Azalea Networks, Registrant, the Scheme Shareholders (as defined therein) and the Bridge Noteholders (as defined therein)    8-K      001-33347         2.2         9/3/2010   
3.1    Restated Certificate of Incorporation of Registrant    8-K      001-33347         3.1         4/5/2007   
3.2    Amended and Restated Bylaws of Registrant    8-K      001-33347         3.1         2/17/2009   
4.1    Specimen common stock certificate    S-1      333-139419         4.1         3/7/2007   
10.1    Form of Indemnification Agreement between Registrant and its directors and executive officers    8-K      001-33347         10.1         5/20/2011   
10.2‡    AirWave Wireless, Inc. 2000 Stock Plan    S-8      333-149945         99.1         3/28/2008   
10.3‡    2002 Stock Plan of Registrant, as amended    S-1      333-139419         10.2A         1/24/2007   
10.4‡    Forms of Stock Option Agreements under the 2002 Stock Plan    S-1      333-139419         10.2B         12/15/2006   
10.5‡    2007 Equity Incentive Plan of Registrant, as amended    10-K      001-33347        10.5         9/27/2011  
10.6‡    Forms of Stock Option Agreements under the 2007 Equity Incentive Plan    S-1      333-139419         10.3B         1/24/2007   
10.7‡    Form of Stock Option Agreement for Participants Outside the U.S. under the 2007 Equity Incentive Plan    10-K      001-33347         10.7         9/24/2010   
10.8‡    Form of Restricted Stock Unit Agreement under the 2007 Equity Incentive Plan    10-Q      001-33347         10.2         12/10/2008   
10.9‡    Form of Restricted Stock Unit Agreement for Recipients Outside the U.S. under the 2007 Equity Incentive Plan    10-K      001-33347         10.9         9/24/2010   
10.10‡    Employee Stock Purchase Plan, as amended    10-Q      001-33347         10.4         3/3/2010   
10.11‡    Form of Subscription Agreement under the Employee Stock Purchase Plan    S-1      333-139419         10.4B         1/24/2007   
10.12‡    Executive Officer Bonus Plan, as amended    8-K      001-33347         10.1         12/23/2010   
10.13‡    Outside Director Compensation Policy    10-K      001-33347        10.13         9/27/2011  
10.14‡    Change of Control Severance Policy for Officers and Directors    10-K      001-33347        10.14         9/27/2011  
10.15‡    Executive Employment Agreement, dated April 4, 2006, between Registrant and Dominic Orr    S-1      333-139419         10.5         12/15/2006   
10.16‡    Amendment to Executive Employment Agreement, dated December 2008, between Registrant and Dominic Orr    10-K      001-33347         10.7         10/6/2009   

 

4


 

Exhibit         Incorporated by Reference Herein  

Number

  

Description

   Form      File No.      Exhibit      Filing Date  
10.17‡    Employment offer letter, dated April 12, 2002, between Registrant and Keerti Melkote      S-1         333-139419         10.6         12/15/2006   
10.18‡    Employment offer letter, dated July 14, 2005, between Registrant and Steffan C. Tomlinson      S-1         333-139419         10.8         12/15/2006   
10.19‡    Amendment to Offer Letter, dated December 2008, between Registrant and Steffan C. Tomlinson      10-K         001-33347         10.12         10/6/2009   
10.20‡    Employment offer letter, dated July 16, 2009, between Registrant and Hitesh Sheth      8-K         001-33347         10.1         8/17/2009   
10.21‡    Offer Letter, dated September 22, 2011, between Registrant and Michael Galvin      10-K        001-33347        10.21         9/27/2011  
10.22‡    Consulting Agreement, dated August 1, 2010, between Registrant and Bernard Guidon      10-Q         001-33347         10.2         12/10/2010   
10.23‡    Description of amendments to change of control arrangements with certain executive officers      8-K         001-33347         Item 5.02         3/9/2010   
10.24    Standard Office Lease, dated as of November 30, 2007, for 1344 Crossman Ave., Sunnyvale, California      8-K         001-33347         10.1         12/6/2007   
10.25    First Amendment to Lease, dated as of August 12, 2009, for 1344 Crossman Ave., Sunnyvale, California      10-K         001-33347         10.15         10/6/2009   
10.26    Lease Agreement dated as of September 22, 2009, for 1322 Crossman Ave., Sunnyvale, California      10-K         001-33347         10.17         10/6/2009   
10.27    Flextronics Manufacturing Services Agreement, dated January 1, 2005, between Registrant and Flextronics Sales & Marketing North Asia (L) Ltd. (the “Flextronics Manufacturing Services Agreement”)      S-1         333-139419         10.15         1/24/2007   
10.28    Amendment 1 to the Flextronics Manufacturing Services Agreement, dated as of May 5, 2007, between Registrant and Flextronics Sales & Marketing North Asia (L) Ltd.      10-K         001-33347         10.28        9/27/2011  
10.29    Amendment 2 to the Flextronics Manufacturing Services Agreement, dated as of April 22, 2010, between Registrant and Flextronics Sales & Marketing North Asia (L) Ltd.      10-K         001-33347         10.29        9/27/2011  
10.30    Technology License Agreement, dated October 20, 2005, between Registrant and Atheros Communications, Inc.      S-1         333-139419         10.16         3/20/2007   
10.31    Amendment No. 1 to Technology License Agreement, dated as of March 4, 2011, between Registrant and Atheros Communications, Inc.      10-K        001-33347        10.31        9/27/2011  

 

5


 

Exhibit         Incorporated by Reference Herein  

Number

  

Description

   Form      File No.      Exhibit      Filing Date  
10.32    Software License Agreement, dated as of January 11, 2006, between Registrant and Broadcom Corporation      S-1         333-139419         10.17         1/24/2007   
10.33†    OEM Supply Agreement, dated March 18, 2005, between Registrant and Alcatel Internetworking, Inc.      S-1         333-139419         10.18         3/26/2007   
10.34†    Amendment #1 to OEM Supply Agreement, dated August 31, 2006, between Registrant and Alcatel Internetworking, Inc.      S-1         333-139419         10.19         3/26/2007   
10.35†    Amendment #2 to OEM Supply Agreement, dated February 22, 2007, between Registrant and Alcatel USA Sourcing, Inc. (fka Alcatel Internetworking, Inc.)      10-Q         001-33347         10.2         12/4/2009   
10.36†    Amendment #4 to OEM Supply Agreement, dated as of December 31, 2010, between Registrant and Alcatel-Lucent USA Inc. (fka Alcatel Internetworking, Inc.)      10-Q         001-33347         10.8         3/11/2011   
10.37    Master Purchase Agreement, dated as of January 16, 2006, between Registrant and Raza Microelectronics, Inc.      10-Q         001-33347         10.3         3/12/2009   
10.38    First Amendment to Master Purchase Agreement, dated as of February 26, 2007, between Registrant and Raza Microelectronics, Inc.      10-Q         001-33347         10.4         3/12/2009   
10.39†    Distribution Agreement, dated as of June 4, 2007, between Registrant and ScanSource, Inc. (the “ScanSource Distribution Agreement”)      10-Q         001-33347         10.2         3/11/2011   
10.40†    Amendment 1 to the ScanSource Distribution Agreement, dated as of March 17, 2008, between Registrant and ScanSource, Inc.      10-K         001-33347        10.40        9/27/2011  
10.41†    Amendment 2 to the ScanSource Distribution Agreement, dated as of May 27, 2009, between Registrant and ScanSource, Inc.      10-K        001-33347        10.41        9/27/2011  
10.42†    Distributor Agreement, dated as of June 15, 2007, between Registrant and Avnet Logistics U.S., LP (the “Avnet Distributor Agreement”)      10-Q         001-33347         10.3         3/11/2011   
10.43†    Amendment 1 to the Avnet Distributor Agreement, dated as of February 19, 2009, between Registrant and Avnet Logistics U.S., LP      10-Q         001-33347         10.4         3/11/2011   
10.44†    Amendment 2 to the Avnet Distributor Agreement, dated as of June 15, 2009, between Registrant and Avnet Logistics U.S., LP      10-Q         001-33347         10.5         3/11/2011   
10.45    Amendment 3 to the Avnet Distributor Agreement, effective as of November 30, 2009, between Registrant and Avnet, Inc.      10-Q         001-33347         10.6         3/11/2011   

 

6


 

         Incorporated by Reference Herein  

Exhibit

Number

 

Description

   Form      File No.      Exhibit      Filing Date  
10.46†   Manufacturing Agreement, dated as of November 1, 2008, between Registrant and SerComm Corporation      10-Q         001-33347         10.7         3/11/2011   
10.47*†   Volume Purchase Agreement, effective as of February 28, 2011, between Registrant and Atheros Technology Ltd.            
10.48   Patent Cross License and Settlement Agreement dated November 4, 2009      8-K         001-33347         10.1         11/6/2009   
10.49   Letter Agreement dated November 4, 2009      8-K         001-33347         10.2         11/6/2009   
21.1   List of subsidiaries of Registrant      10-K        001-33347        21.1        9/27/2011  
23.1   Consent of PricewaterhouseCoopers LLP, Independent Registered Public Accounting Firm      10-K        001-33347        23.1        9/27/2011  
24.1   Power of Attorney (included on the signature page of the Form 10-K)            
31.1   Certification of Chief Executive Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act      10-K        001-33347        31.1        9/27/2011  
31.2   Certification of Chief Financial Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act      10-K        001-33347        31.2        9/27/2011   
31.3*   Certification of Chief Executive Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act            
31.4*   Certification of Chief Financial Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act            
32.1**   Certifications of Chief Executive Officer and Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act      10-K        001-33347        32.1        9/27/2011   
101.INS+   XBRL Instance Document      10-K        001-33347        101.INS         9/27/2011   
101.SCH+   XBRL Taxonomy Extension Schema Document      10-K        001-33347        101.SCH        9/27/2011   
101.CAL+   XBRL Taxonomy Extension Calculation Linkbase Document      10-K        001-33347        101.CAL         9/27/2011   
101.DEF+   XBRL Taxonomy Extension Definition Linkbase Document      10-K        001-33347        101.DEF         9/27/2011   
101.LAB+   XBRL Taxonomy Extension Label Linkbase Document      10-K        001-33347        101.LAB         9/27/2011   
101.PRE+   XBRL Taxonomy Extension Presentation Linkbase Document      10-K        001-33347        101.PRE         9/27/2011   

 

* Filed herewith.
** Furnished with the Form 10-K.

 

7


Confidential treatment has been requested for portions of this exhibit.

 

Indicates management contract or compensatory plan or arrangement.

 

+ Furnished with the Form 10-K. In accordance with Rule 406T of Regulation S-T, the information in these exhibits shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to liability under that section, and shall not be incorporated by reference into any registration statement or other document filed under the Securities Act of 1933, as amended, except as expressly set forth by specific reference in such filing.

 

8

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