Spectrum Control, Inc. - 10-K - November 30, 2001

Securities and Exchange Commission
Washington, D.C.  20549

Form 10-K

 
[ X ]   ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
For the fiscal year ended November 30, 2001
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 0-8796
 
Spectrum Control, Inc.
 
(a Pennsylvania Corporation)
(I.R.S. Employer Identification No. 25-1196447)
8031 Avonia Road, Fairview, Pennsylvania  16415
Telephone (814) 835-1650
 

 
Securities registered pursuant to Section 12(b) of the Act:
None
 
Securities registered pursuant to Section 12(g) of the Act:
 
  Title of each class Name of each exchange on which registered
  Common Stock, No Par Value The Nasdaq Stock Market
 
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, 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 the 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 ].
At February 1, 2002, the aggregate market value of voting Common Stock held by non-affiliates of the registrant based on a closing price of $5.33 was $46,473,000. Shares of Common Stock held by each officer and director and by each person who owns 5% or more of the outstanding Common Stock of the Company have been excluded because such persons may be deemed to be affiliates.
As of February 1, 2002, the registrant had outstanding 13,109,813 shares of Common Stock, no par value.
 
Documents incorporated by reference
 
Portions of the registrant's Proxy Statement for the annual meeting of shareholders to be held April 8, 2002 are incorporated by reference into Part III of this Form 10-K.
 

 
Table of Contents
 
PART I
Item 1.   Business
Item 2.   Properties
Item 3.   Legal Proceedings
Item 4.   Submission of Matters to a Vote of Security Holders
 
PART II
Item 5.   Market for Registrant's Common Stock and Related Stockholder Matters
Item 6.   Selected Financial Data
Item 7.   Management's Discussion and Analysis of Financial Condition and Results of Operations
Item 8.   Financial Statements and Supplementary Data
Item 9.   Changes in and Disagreements With Accountants on Accounting and Financial Disclosure
 
PART III
Item 10.   Directors and Executive Officers of the Registrant
Item 11.   Executive Compensation
Item 12.   Security Ownership of Certain Beneficial Owners and Management
Item 13.   Certain Relationships and Related Transactions
 
PART IV
Item 14.   Exhibits, Financial Statement Schedules and Reports of Form 8-K
    Schedule II - Valuation and Qualifying Accounts
    Signatures
 
 
Top of Document       Table of Contents

 
PART I
 
Item 1. Business
     Business
 
Top of Document       Table of Contents

 
Item 2. Properties
     My Propertis
 
Top of Document       Table of Contents

 
Item 3. Legal Proceedings
     My legal
 
Top of Document       Table of Contents

 
Item 4. Submission of Matters to a Vote of Security Holders
     My sub
 
Top of Document       Table of Contents

 
PART II
 
Item 5. Market for Registrant's Common Stock and Related Stockholder Matters
     My market
 
Top of Document       Table of Contents

 
Item 6. Selected Financial Data
     My financial
 
Top of Document       Table of Contents

 
Item 7. Management's Discussion and Analysis of Financial Condition and Results of Operations
     My manage
 
Top of Document       Table of Contents

 
Item 8. Financial Statements and Supplementary Data
     Mt statement
 
Top of Document       Table of Contents

 
Item 9. Changes in and Disagreements With Accountants on Accounting and Financial Disclosure
     My changes
 
Top of Document       Table of Contents

 
PART III
 
Item 10. Directors and Executive Officers of the Registrant
     My directors
 
Top of Document       Table of Contents

 
Item 11. Executive Compensation
     My executive
 
Top of Document       Table of Contents

 
Item 12. Security Ownership of Certain Beneficial Owners and Management
     My secutrity
 
Top of Document       Table of Contents

 
Item 13. Certain Relationships and Related Transactions
     My cretain
 
Top of Document       Table of Contents

 
PART IV
 
Item 14. Exhibits, Financial Statement Schedules and Reports of Form 8-K
     exhibits
 
Top of Document       Table of Contents

 
  Schedule II - Valuation and Qualifying Accounts
     schedule
 
Top of Document       Table of Contents

 
  Signatures
     sigs
 
Top of Document       Table of Contents