BRKS 10-K Annual Report Sept. 30, 2017 | Alphaminr
Brooks Automation, Inc.
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BRKS 10-K Fiscal year ended Sept. 30, 2017

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BROOKS AUTOMATION, INC.
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TABLE OF CONTENTS
Part IItem 1. BusinessItem 1A. Risk FactorsItem 1B. Unresolved Staff CommentsItem 2. PropertiesItem 3. Legal ProceedingsItem 4. Mine Safety DisclosuresPart IIItem 5. Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity SecuritiesItem 6. Selected Financial DataItem 7. Management S Discussion and Analysis Of Financial Condition and Results Of OperationsItem 7A. Quantitative and Qualitative Disclosures About Market RiskItem 8. Financial Statements and Supplementary DataItem 9. Changes in and Disagreements with Accountants on Financial Accounting and Financial DisclosureItem 9A. Controls and ProceduresItem 9B. Other InformationPart IIIItem 10. Directors, Executive Officers and Corporate GovernanceItem 11. Executive CompensationItem 12. Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder MattersItem 13. Certain Relationships and Related Transactions, and Director IndependenceItem 14. Principal Accountant Fees and ServicesPart IVItem 15. Exhibits and Financial Statement Schedules

Exhibits

3.01 Restated Certificate of Incorporation of the Company (incorporated herein by reference to Exhibit3.01 to the Companys registration statement on FormS3 (Reg. No.333189582), filed on June25, 2013). 3.02 Amended and Restated Bylaws (incorporated herein by reference to Exhibit3.01 of the Companys current report on Form8K, filed on February11, 2008). 3.03 Amendment to Amended and Restated Bylaws of the Company, dated August 1, 2017 (incorporated herein by reference to Exhibit 3.02 of the Companys quarterly report on Form 10-Q, filed on August 4, 2017 10.02 Formof Indemnification Agreement for directors and officers of the Company. 10.03 Employment Agreement, effective as of April5, 2010, by and between Brooks Automation,Inc. and Stephen S. Schwartz (incorporated herein by reference to Exhibit10.01 to the Companys quarterly report on Form10Q for the fiscal quarter ended March31, 2010, filed on May6, 2010). 10.04 Separation Agreement dated April5, 2016 between Brooks Automation,Inc. and Mark D. Morelli (incorporated herein by reference to Exhibit10.01 to the Companys quarterly report on Form10Q for the fiscal quarter ended June30, 2016, filed on July28, 2016). 10.05 Offer letter dated September5, 2013 between the Company and Lindon G. Robertson (incorporated herein by reference to Exhibit10.11 to the Companys 2013 10K, filed on November22, 2013). 10.06 Letter Agreement dated June4, 2015 between Brooks Automation,Inc. and Lindon G. Robertson (incorporated herein by reference to Exhibit10.1 to the Companys current report on Form8K, filed on June9, 2015). 10.07 Offer Letter dated September27, 2014, as revised, between the Company and Maurice Tenney,III (incorporated herein by reference to Exhibit10.01 to the Companys quarterly report on Form10Q for the quarter ended December31, 2015, filed on February3, 2016). 10.08 Amended Offer Letter dated June4, 2015, between the Company and Maurice Tenney,III (incorporated herein by reference to Exhibit10.02 to the Companys quarterly report on Form10Q for the quarter ended December31, 2015, filed on February3, 2016). 10.09 Offer Letter dated June12, 2014 between the Company and David C. Gray (incorporated herein by reference to Exhibit10.1 to the Companys quarterly report on Form10Q for the quarter ended December31, 2014, filed on February5, 2015). 10.10 Letter Agreement dated November 1, 2016 between the Company and David E. Jarzynka (incorporated herein by reference to Exhibit 10.1 to the Companys quarterly report on Form 10-Q for the quarter ended June 30, 2017). 10.11 Formof Non-competition Agreement (incorporated herein by reference to Exhibit10.1 to the Companys current report on Form8K, filed on June9, 2015). 10.12 Formof Change in Control Agreement (incorporated herein by reference to Exhibit10.2 to the Companys current report on Form8K, filed on June9, 2015). 10.13 Second Amended and Restated 2000 Equity Incentive Plan, restated as of May 7, 2013 (incorporated herein by reference to Exhibit 10.01 to the Companys current report on Form 8-K, filed on May9, 2013). 10.14 2017 Employee Stock Purchase Plan (incorporated herein by reference to Exhibit 10.1 to the Companys current report on Form 8-K, filed on February 13, 2017). 10.15 2015 Equity Incentive Plan (incorporated herein by reference to Exhibit10.1 to the Companys current report on Form8K, filed on February5, 2015). 10.16 Formof Restricted Stock Unit Award Notice under the 2000 Equity Incentive Plan (incorporated herein by reference to Exhibit10.18 to the Companys annual report on Form10K for the fiscalyear ended September30, 2011, as filed on November28, 2011 (the 2011 10K)) . 10.17 Form of Restricted Stock Unit Award Notice under the 2015 Equity Incentive Plan 10.18 Executive Performance-Based Variable Compensation Plan (incorporated herein by reference to Exhibit10.01 to the Companys current report on Form8K, filed on January29, 2016). 10.19 Non-Employee Directors Stock Grant/Restricted Stock Unit Election Form under the 2000 Equity Incentive Plan (incorporated herein by reference to Exhibit 10.42 to the 2010 10-K). 10.20 Non-Employee Director Restricted Stock Unit Deferral Election Form under the 2015 Equity Incentive Plan 10.21 Brooks Automation,Inc. Deferred Compensation Plan, as amended. 10.22 Credit Agreement by and among Brooks Automation,Inc., BioStorage Technologies, Inc., Wells Fargo Bank, National Association and the Lenders parties thereto (incorporated herein by reference to Exhibit10.2 to the Companys quarterly report on Form10Q for the quarter ended June30, 2016 filed on July28, 2016). 10.23 Guaranty and Security Agreement by and among Wells Fargo Bank, National Association and the Grantors and members of the Lender Group parties thereto (incorporated herein by reference to Exhibit10.3 to the Companys quarterly report on Form10Q for the quarter ended June30, 2016 filed on July28, 2016). 10.24 Consent and First Amendment to Credit Agreement, dated October 4, 2017, by and among Wells Fargo Bank, National Association, as Administrative Agent, Brooks Automation, Inc. and BioStorage Technologies Inc. 10.25 Credit Agreement dated October 4, 2017 by and among Brooks Automation, Inc., Morgan Stanley Senior Funding, Inc., and the lenders party thereto. 10.26 Guarantee and Security Agreement dated October 4, 2017 by and among Brooks Automation, Inc., BioStorage Technologies, Inc., Morgan Stanley Senior Funding, Inc., as Administrative Agent for the lenders. 10.27 Sales and Purchase Agreement dated October 5, 2017 by and among Brooks Automation Limited and the shareholders of 4titude Ltd. 21.01 Subsidiaries of the Company. 23.01 Consent of PricewaterhouseCoopers LLP 23.02 Consent of BDO USA, LLP 23.03 Consent of PricewaterhouseCoopers Aarata LLC 31.01 Certification of the Companys Principal Executive Officer pursuant to Section302 of the Sarbanes-Oxley Act of 2002. 31.02 Certification of the Companys Principal Financial Officer pursuant to Section302 of the Sarbanes-Oxley Act of 2002. 32 Certification of the Companys Principal Executive Officer and Principal Financial Officer pursuant to Section906 of the Sarbanes-Oxley Act of 2002. 99.1 Report of Independent Auditors of ULVAC Cryogenics,Inc. 99.2 Consolidated Financial Statements of ULVAC Cryogenics,Inc. as of June30, 2017 and 2016 and for each of the periods ended June30, 2017, 2016 and 2015.