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|
|
|
x
|
Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
|
¨
|
Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
|
|
|
Delaware
|
04-3040660
|
(State or other jurisdiction of
incorporation or organization)
|
(I.R.S. Employer
Identification No.)
|
|
|
|
Large accelerated filer
|
|
x
|
Accelerated filer
|
¨
|
|
|
|
|
|
Non-accelerated filer
|
|
¨
(Do not check if a smaller reporting company)
|
Smaller reporting company
|
¨
|
|
|
|
|
PAGE NUMBER
|
|
|
|
December 31,
2013 |
|
September 30,
2013 |
||||
Assets
|
|
|
|
||||
Current assets
|
|
|
|
||||
Cash and cash equivalents
|
$
|
78,015
|
|
|
$
|
82,971
|
|
Restricted cash
|
—
|
|
|
177
|
|
||
Marketable securities
|
45,420
|
|
|
45,900
|
|
||
Accounts receivable, net
|
75,529
|
|
|
77,483
|
|
||
Inventories
|
96,701
|
|
|
97,719
|
|
||
Deferred tax assets
|
15,985
|
|
|
16,839
|
|
||
Prepaid expenses and other current assets
|
9,306
|
|
|
9,030
|
|
||
Total current assets
|
320,956
|
|
|
330,119
|
|
||
Property, plant and equipment, net
|
45,883
|
|
|
47,870
|
|
||
Long-term marketable securities
|
52,232
|
|
|
44,491
|
|
||
Long-term deferred tax assets
|
98,548
|
|
|
99,146
|
|
||
Goodwill
|
121,969
|
|
|
122,030
|
|
||
Intangible assets, net
|
57,326
|
|
|
60,088
|
|
||
Equity investment in joint ventures
|
25,336
|
|
|
25,687
|
|
||
Other assets
|
7,419
|
|
|
7,332
|
|
||
Total assets
|
$
|
729,669
|
|
|
$
|
736,763
|
|
Liabilities and equity
|
|
|
|
||||
Current liabilities
|
|
|
|
||||
Accounts payable
|
$
|
30,890
|
|
|
$
|
35,392
|
|
Deferred revenue
|
16,545
|
|
|
19,653
|
|
||
Accrued warranty and retrofit costs
|
6,846
|
|
|
7,349
|
|
||
Accrued compensation and benefits
|
15,391
|
|
|
14,225
|
|
||
Accrued restructuring costs
|
1,462
|
|
|
1,412
|
|
||
Accrued income taxes payable
|
1,584
|
|
|
1,077
|
|
||
Accrued expenses and other current liabilities
|
12,815
|
|
|
13,453
|
|
||
Total current liabilities
|
85,533
|
|
|
92,561
|
|
||
Long-term tax liabilities
|
7,016
|
|
|
7,036
|
|
||
Long-term pension liability
|
829
|
|
|
815
|
|
||
Other long-term liabilities
|
3,790
|
|
|
3,695
|
|
||
Total liabilities
|
97,168
|
|
|
104,107
|
|
||
Contingencies (Note 16)
|
|
|
|
||||
Equity
|
|
|
|
||||
Preferred stock, $0.01 par value, 1,000,000 shares authorized, no shares issued or outstanding
|
—
|
|
|
—
|
|
||
Common stock, $0.01 par value, 125,000,000 shares authorized, 80,108,981 shares issued and 66,647,112 shares outstanding at December 31, 2013, 80,039,104 shares issued and 66,577,235 shares outstanding at September 30, 2013
|
801
|
|
|
800
|
|
||
Additional paid-in capital
|
1,827,281
|
|
|
1,825,499
|
|
||
Accumulated other comprehensive income
|
22,425
|
|
|
22,604
|
|
||
Treasury stock at cost, 13,461,869 shares
|
(200,956
|
)
|
|
(200,956
|
)
|
||
Accumulated deficit
|
(1,017,798
|
)
|
|
(1,015,991
|
)
|
||
Total Brooks Automation, Inc. stockholders’ equity
|
631,753
|
|
|
631,956
|
|
||
Noncontrolling interest in subsidiaries
|
748
|
|
|
700
|
|
||
Total equity
|
632,501
|
|
|
632,656
|
|
||
Total liabilities and equity
|
$
|
729,669
|
|
|
$
|
736,763
|
|
|
Three months ended
December 31, |
||||||
|
2013
|
|
2012
|
||||
Revenue
|
|
|
|
||||
Product
|
$
|
100,282
|
|
|
$
|
77,323
|
|
Services
|
24,305
|
|
|
20,702
|
|
||
Total revenue
|
124,587
|
|
|
98,025
|
|
||
Cost of revenue
|
|
|
|
||||
Product
|
64,336
|
|
|
54,481
|
|
||
Services
|
15,601
|
|
|
14,386
|
|
||
Total cost of revenue
|
79,937
|
|
|
68,867
|
|
||
Gross profit
|
44,650
|
|
|
29,158
|
|
||
Operating expenses
|
|
|
|
||||
Research and development
|
13,195
|
|
|
11,518
|
|
||
Selling, general and administrative
|
26,766
|
|
|
25,947
|
|
||
Restructuring and other charges
|
747
|
|
|
4,757
|
|
||
Total operating expenses
|
40,708
|
|
|
42,222
|
|
||
Operating income (loss)
|
3,942
|
|
|
(13,064
|
)
|
||
Interest income
|
246
|
|
|
275
|
|
||
Interest expense
|
—
|
|
|
(1
|
)
|
||
Other income (expense), net
|
259
|
|
|
(93
|
)
|
||
Income (loss) before income taxes and equity in earnings (losses) of joint ventures
|
4,447
|
|
|
(12,883
|
)
|
||
Income tax provision (benefit)
|
1,700
|
|
|
(3,670
|
)
|
||
Income (loss) before equity in earnings (losses) of joint ventures
|
2,747
|
|
|
(9,213
|
)
|
||
Equity in earnings (losses) of joint ventures
|
749
|
|
|
(6
|
)
|
||
Net income (loss)
|
$
|
3,496
|
|
|
$
|
(9,219
|
)
|
Net income attributable to noncontrolling interests
|
(48
|
)
|
|
(17
|
)
|
||
Net income (loss) attributable to Brooks Automation, Inc.
|
$
|
3,448
|
|
|
$
|
(9,236
|
)
|
Basic net income (loss) per share attributable to Brooks Automation, Inc. common stockholders
|
$
|
0.05
|
|
|
$
|
(0.14
|
)
|
Diluted net income (loss) per share attributable to Brooks Automation, Inc. common stockholders
|
$
|
0.05
|
|
|
$
|
(0.14
|
)
|
Dividend declared per share
|
$
|
0.08
|
|
|
$
|
0.08
|
|
Shares used in computing earnings (loss) per share
|
|
|
|
||||
Basic
|
66,355
|
|
|
65,567
|
|
||
Diluted
|
67,126
|
|
|
65,567
|
|
|
Three months ended
December 31, |
||||||
|
2013
|
|
2012
|
||||
Net income (loss)
|
$
|
3,496
|
|
|
$
|
(9,219
|
)
|
Comprehensive income (loss):
|
|
|
|
||||
Change in cumulative translation adjustment
|
(294
|
)
|
|
530
|
|
||
Change in unrealized loss on marketable securities
|
(1
|
)
|
|
(129
|
)
|
||
Change in unrealized gain on cash flow hedges
|
105
|
|
|
—
|
|
||
Actuarial gain
|
11
|
|
|
290
|
|
||
Pension settlement
|
—
|
|
|
87
|
|
||
Comprehensive income (loss)
|
3,317
|
|
|
(8,441
|
)
|
||
Comprehensive income attributable to noncontrolling interests
|
(48
|
)
|
|
(17
|
)
|
||
Comprehensive income (loss) attributable to Brooks Automation, Inc.
|
$
|
3,269
|
|
|
$
|
(8,458
|
)
|
|
Three months ended December 31,
|
||||||
|
2013
|
|
2012
|
||||
Cash flows from operating activities
|
|
|
|
||||
Net income (loss)
|
$
|
3,496
|
|
|
$
|
(9,219
|
)
|
Adjustments to reconcile net income (loss) to net cash provided by operating activities:
|
|
|
|
||||
Depreciation and amortization
|
5,729
|
|
|
6,441
|
|
||
Impairment of assets
|
398
|
|
|
—
|
|
||
Stock-based compensation
|
2,754
|
|
|
2,511
|
|
||
Amortization of premium on marketable securities
|
285
|
|
|
370
|
|
||
Undistributed (earnings) losses of joint ventures
|
(749
|
)
|
|
6
|
|
||
Deferred income tax provision (benefit)
|
1,164
|
|
|
(4,310
|
)
|
||
Pension settlement
|
—
|
|
|
87
|
|
||
Loss on disposal of long-lived assets
|
4
|
|
|
13
|
|
||
Changes in operating assets and liabilities, net of acquisitions and disposals:
|
|
|
|
||||
Accounts receivable
|
1,901
|
|
|
20,216
|
|
||
Inventories
|
942
|
|
|
6,841
|
|
||
Prepaid expenses and other current assets
|
665
|
|
|
317
|
|
||
Accounts payable
|
(4,521
|
)
|
|
(10,793
|
)
|
||
Deferred revenue
|
(3,250
|
)
|
|
(1,340
|
)
|
||
Accrued warranty and retrofit costs
|
(528
|
)
|
|
(1,127
|
)
|
||
Accrued compensation and benefits
|
1,154
|
|
|
(4,054
|
)
|
||
Accrued restructuring costs
|
51
|
|
|
2,390
|
|
||
Accrued expenses and other current liabilities
|
(1,022
|
)
|
|
(3,237
|
)
|
||
Net cash provided by operating activities
|
8,473
|
|
|
5,112
|
|
||
Cash flows from investing activities
|
|
|
|
||||
Purchases of property, plant and equipment
|
(1,015
|
)
|
|
(641
|
)
|
||
Purchases of marketable securities
|
(26,082
|
)
|
|
(18,168
|
)
|
||
Sale/maturity of marketable securities
|
18,595
|
|
|
75,622
|
|
||
Acquisition, net of cash acquired
|
—
|
|
|
(56,033
|
)
|
||
Payment of deferred leasing cost
|
—
|
|
|
(686
|
)
|
||
Decrease in restricted cash
|
177
|
|
|
—
|
|
||
Net cash (used in) provided by investing activities
|
(8,325
|
)
|
|
94
|
|
||
Cash flows from financing activities
|
|
|
|
||||
Common stock dividend paid
|
(5,391
|
)
|
|
(5,311
|
)
|
||
Net cash used in financing activities
|
(5,391
|
)
|
|
(5,311
|
)
|
||
Effects of exchange rate changes on cash and cash equivalents
|
287
|
|
|
389
|
|
||
Net increase (decrease) in cash and cash equivalents
|
(4,956
|
)
|
|
284
|
|
||
Cash and cash equivalents, beginning of period
|
82,971
|
|
|
54,639
|
|
||
Cash and cash equivalents, end of period
|
$
|
78,015
|
|
|
$
|
54,923
|
|
|
Three months ended
December 31, |
||||||
|
2013
|
|
2012
|
||||
Restricted stock
|
$
|
2,641
|
|
|
$
|
2,384
|
|
Employee stock purchase plan
|
113
|
|
|
127
|
|
||
|
$
|
2,754
|
|
|
$
|
2,511
|
|
|
Number of
Options
|
|
Weighted-
Average
Remaining
Contractual Term
|
|
Weighted
Average
Exercise Price
|
|
Aggregate
Intrinsic Value
(In Thousands)
|
|||||
Outstanding at September 30, 2013
|
15,540
|
|
|
|
|
$
|
15.86
|
|
|
|
||
Outstanding at December 31, 2013
|
15,540
|
|
|
0.6 years
|
|
$
|
15.86
|
|
|
$
|
—
|
|
Vested at December 31, 2013
|
15,540
|
|
|
0.6 years
|
|
$
|
15.86
|
|
|
$
|
—
|
|
Options exercisable at December 31, 2013
|
15,540
|
|
|
0.6 years
|
|
$
|
15.86
|
|
|
$
|
—
|
|
|
Shares
|
|
Weighted
Average Grant-Date Fair Value |
|||
Outstanding at September 30, 2013
|
2,915,413
|
|
|
$
|
11.25
|
|
Awards granted
|
1,332,000
|
|
|
9.45
|
|
|
Awards vested
|
(339,639
|
)
|
|
9.08
|
|
|
Awards canceled
|
(354,766
|
)
|
|
10.38
|
|
|
Outstanding at December 31, 2013
|
3,553,008
|
|
|
$
|
10.87
|
|
Accounts receivable
|
$
|
636
|
|
Inventory
|
2,095
|
|
|
Prepaid and other current assets
|
103
|
|
|
Property, plant and equipment
|
534
|
|
|
Completed technology
|
500
|
|
|
Customer relationships
|
1,500
|
|
|
Goodwill
|
7,076
|
|
|
Debt
|
(902
|
)
|
|
Accounts payable
|
(294
|
)
|
|
Deferred revenue
|
(351
|
)
|
|
Customer deposits
|
(1,249
|
)
|
|
Other current liabilities
|
(322
|
)
|
|
Total purchase price, net of cash acquired
|
$
|
9,326
|
|
Accounts receivable
|
$
|
5,356
|
|
Inventory
|
8,668
|
|
|
Prepaid expenses
|
1,968
|
|
|
Property, plant and equipment
|
2,270
|
|
|
Completed technology
|
10,530
|
|
|
Customer relationships
|
20,010
|
|
|
Goodwill
|
26,453
|
|
|
Other long term assets
|
885
|
|
|
Accounts payable
|
(3,024
|
)
|
|
Accrued liabilities
|
(5,172
|
)
|
|
Deferred revenue
|
(319
|
)
|
|
Other current liabilities
|
(388
|
)
|
|
Other long-term liabilities
|
(8,232
|
)
|
|
Total purchase price, net of cash acquired
|
$
|
59,005
|
|
|
Brooks
Product Solutions |
|
Brooks
Global Services |
|
Brooks
Life Science Systems |
|
Other
|
|
Total
|
||||||||||
Gross goodwill at September 30, 2013
|
$
|
506,743
|
|
|
$
|
156,792
|
|
|
$
|
47,439
|
|
|
$
|
26,014
|
|
|
$
|
736,988
|
|
Less: aggregate impairment charges recorded
|
(437,706
|
)
|
|
(151,238
|
)
|
|
—
|
|
|
(26,014
|
)
|
|
(614,958
|
)
|
|||||
Goodwill, less accumulated impairments at September 30, 2013
|
69,037
|
|
|
5,554
|
|
|
47,439
|
|
|
—
|
|
|
122,030
|
|
|||||
Adjustments during the three months ended December 31, 2013
|
—
|
|
|
—
|
|
|
(61
|
)
|
|
—
|
|
|
(61
|
)
|
|||||
Goodwill, less accumulated impairments at December 31, 2013
|
$
|
69,037
|
|
|
$
|
5,554
|
|
|
$
|
47,378
|
|
|
$
|
—
|
|
|
$
|
121,969
|
|
|
December 31, 2013
|
|
September 30, 2013
|
||||||||||||||||||||
|
Cost
|
|
Accumulated
Amortization |
|
Net Book
Value |
|
Cost
|
|
Accumulated
Amortization |
|
Net Book
Value |
||||||||||||
Patents
|
$
|
7,808
|
|
|
$
|
7,222
|
|
|
$
|
586
|
|
|
$
|
7,808
|
|
|
$
|
7,196
|
|
|
$
|
612
|
|
Completed technology
|
65,628
|
|
|
50,401
|
|
|
15,227
|
|
|
65,594
|
|
|
48,898
|
|
|
16,696
|
|
||||||
Trademarks and trade names
|
4,015
|
|
|
4,009
|
|
|
6
|
|
|
4,013
|
|
|
4,003
|
|
|
10
|
|
||||||
Customer relationships
|
70,725
|
|
|
29,218
|
|
|
41,507
|
|
|
70,490
|
|
|
27,720
|
|
|
42,770
|
|
||||||
|
$
|
148,176
|
|
|
$
|
90,850
|
|
|
$
|
57,326
|
|
|
$
|
147,905
|
|
|
$
|
87,817
|
|
|
$
|
60,088
|
|
|
Three months ended
December 31, |
||||
|
2013
|
|
2012
|
||
Weighted average common shares outstanding used in computing basic earnings per share
|
66,355
|
|
|
65,567
|
|
Dilutive common stock options and restricted stock awards
|
771
|
|
|
—
|
|
Weighted average common shares outstanding for purposes of computing diluted earnings per share
|
67,126
|
|
|
65,567
|
|
|
Brooks
Product Solutions |
|
Brooks
Global Services |
|
Brooks
Life Science Systems |
|
Total
|
||||||||
Three months ended December 31, 2013
|
|
|
|
|
|
|
|
||||||||
Revenue
|
|
|
|
|
|
|
|
||||||||
Product
|
$
|
88,708
|
|
|
$
|
3,439
|
|
|
$
|
8,135
|
|
|
$
|
100,282
|
|
Services
|
—
|
|
|
20,243
|
|
|
4,062
|
|
|
24,305
|
|
||||
|
$
|
88,708
|
|
|
$
|
23,682
|
|
|
$
|
12,197
|
|
|
$
|
124,587
|
|
Gross profit
|
$
|
32,053
|
|
|
$
|
8,032
|
|
|
$
|
4,565
|
|
|
$
|
44,650
|
|
Segment operating income (loss)
|
$
|
6,605
|
|
|
$
|
3,050
|
|
|
$
|
(3,475
|
)
|
|
$
|
6,180
|
|
|
|
|
|
|
|
|
|
||||||||
Three months ended December 31, 2012
|
|
|
|
|
|
|
|
||||||||
Revenue
|
|
|
|
|
|
|
|
||||||||
Product
|
$
|
62,722
|
|
|
$
|
3,505
|
|
|
$
|
11,096
|
|
|
$
|
77,323
|
|
Services
|
—
|
|
|
17,660
|
|
|
3,042
|
|
|
20,702
|
|
||||
|
$
|
62,722
|
|
|
$
|
21,165
|
|
|
$
|
14,138
|
|
|
$
|
98,025
|
|
Gross profit
|
$
|
17,754
|
|
|
$
|
5,110
|
|
|
$
|
6,294
|
|
|
$
|
29,158
|
|
Segment operating income (loss)
|
$
|
(6,434
|
)
|
|
$
|
591
|
|
|
$
|
(22
|
)
|
|
$
|
(5,865
|
)
|
|
|
|
|
|
|
|
|
||||||||
Assets
|
|
|
|
|
|
|
|
||||||||
December 31, 2013
|
$
|
243,507
|
|
|
$
|
59,196
|
|
|
$
|
105,713
|
|
|
$
|
408,416
|
|
September 30, 2013
|
$
|
254,424
|
|
|
$
|
59,875
|
|
|
$
|
105,221
|
|
|
$
|
419,520
|
|
|
Three months ended
December 31, |
||||||
|
2013
|
|
2012
|
||||
Segment operating income (loss)
|
$
|
6,180
|
|
|
$
|
(5,865
|
)
|
Other unallocated corporate expenses
|
35
|
|
|
890
|
|
||
Amortization of acquired intangible assets
|
1,456
|
|
|
1,552
|
|
||
Restructuring and other charges
|
747
|
|
|
4,757
|
|
||
Total operating income (loss)
|
$
|
3,942
|
|
|
$
|
(13,064
|
)
|
|
December 31,
2013 |
|
September 30,
2013 |
||||
Segment assets
|
$
|
408,416
|
|
|
$
|
419,520
|
|
Cash, cash equivalents, restricted cash and marketable securities
|
175,667
|
|
|
173,539
|
|
||
Deferred tax assets
|
114,533
|
|
|
115,985
|
|
||
Investments in joint ventures
|
25,336
|
|
|
25,687
|
|
||
Other unallocated corporate net assets
|
5,717
|
|
|
2,032
|
|
||
Total assets
|
$
|
729,669
|
|
|
$
|
736,763
|
|
|
Activity — Three Months Ended December 31, 2013
|
||||||||||||||
|
Balance at
September 30, 2013 |
|
Expense
|
|
Utilization
|
|
Balance at
December 31, 2013 |
||||||||
Facilities and other
|
$
|
155
|
|
|
$
|
6
|
|
|
$
|
(104
|
)
|
|
$
|
57
|
|
Workforce-related
|
1,257
|
|
|
741
|
|
|
(593
|
)
|
|
1,405
|
|
||||
|
$
|
1,412
|
|
|
$
|
747
|
|
|
$
|
(697
|
)
|
|
$
|
1,462
|
|
|
|
|
|
|
|
|
|
||||||||
|
|
|
|
|
|
|
|
||||||||
|
Activity - Three Months Ended December 31, 2012
|
||||||||||||||
|
Balance at
September 30, 2012 |
|
Expense
|
|
Utilization
|
|
Balance at
December 31, 2012 |
||||||||
Facilities and other
|
$
|
—
|
|
|
$
|
578
|
|
|
$
|
(313
|
)
|
|
$
|
265
|
|
Workforce-related
|
2,098
|
|
|
4,092
|
|
|
(1,662
|
)
|
|
4,528
|
|
||||
|
$
|
2,098
|
|
|
$
|
4,670
|
|
|
$
|
(1,975
|
)
|
|
$
|
4,793
|
|
|
Three months ended
December 31, |
||||||
|
2013
|
|
2012
|
||||
Service cost
|
$
|
100
|
|
|
$
|
178
|
|
Interest cost
|
39
|
|
|
45
|
|
||
Amortization of losses
|
1
|
|
|
2
|
|
||
Expected return on assets
|
(53
|
)
|
|
(77
|
)
|
||
Net periodic pension cost
|
87
|
|
|
148
|
|
||
Settlement loss
|
—
|
|
|
87
|
|
||
Total pension cost
|
$
|
87
|
|
|
$
|
235
|
|
|
December 31,
2013 |
|
September 30,
2013 |
||||
Accounts receivable
|
$
|
76,800
|
|
|
$
|
78,460
|
|
Less allowance for doubtful accounts
|
(1,131
|
)
|
|
(863
|
)
|
||
Less allowance for sales returns
|
(140
|
)
|
|
$
|
(114
|
)
|
|
|
$
|
75,529
|
|
|
$
|
77,483
|
|
|
December 31,
2013 |
|
September 30,
2013 |
||||
Inventories
|
|
|
|
||||
Raw materials and purchased parts
|
$
|
61,565
|
|
|
$
|
60,106
|
|
Work-in-process
|
17,285
|
|
|
20,256
|
|
||
Finished goods
|
17,851
|
|
|
17,357
|
|
||
|
$
|
96,701
|
|
|
$
|
97,719
|
|
Balance at
September 30, 2013 |
|
Adjustments for
Acquisitions and Divestitures |
|
Accruals
|
|
Costs Incurred
|
|
Balance at
December 31, 2013 |
||||||||||
$
|
7,349
|
|
|
$
|
—
|
|
|
$
|
1,916
|
|
|
$
|
(2,419
|
)
|
|
$
|
6,846
|
|
Balance at
September 30, 2012 |
|
Adjustments for
Acquisitions and Divestitures |
|
Accruals
|
|
Costs Incurred
|
|
Balance at
December 31, 2012 |
||||||||||
$
|
7,329
|
|
|
$
|
962
|
|
|
$
|
2,363
|
|
|
$
|
(2,930
|
)
|
|
$
|
7,724
|
|
Buy Currency
|
|
Notional Amount
of Buy Currency in U.S. Dollars
|
|
Sell Currency
|
|
Maturity
|
|
Notional Amount
of Sell Currency
in U.S. Dollars
|
|
Fair Value of
Assets
|
|
Fair Value of
Liabilities
|
||||||||
U.S. Dollar
|
|
$
|
2,037
|
|
|
Japanese Yen
|
|
April 2014
|
|
$
|
1,909
|
|
|
$
|
128
|
|
|
$
|
—
|
|
Buy Currency
|
|
Notional Amount
of Buy Currency |
|
Sell Currency
|
|
Maturity
|
|
Notional Amount
of Sell Currency in U.S. Dollars |
|
Fair Value of
Assets |
|
Fair Value of
Liabilities |
||||||||
U.S. Dollar
|
|
$
|
2,494
|
|
|
Japanese Yen
|
|
March 2014
|
|
$
|
2,494
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Buy Currency
|
|
Notional Amount
of Buy Currency in U.S. Dollars |
|
Sell Currency
|
|
Maturity
|
|
Notional Amount
of Sell Currency in U.S. Dollars |
|
Fair Value of
Assets |
|
Fair Value of
Liabilities |
||||||||
U.S. Dollar
|
|
$
|
2,770
|
|
|
Japanese Yen
|
|
October 2013 to December 2013
|
|
$
|
2,762
|
|
|
$
|
8
|
|
|
$
|
—
|
|
Korean Won
|
|
686
|
|
|
U.S. Dollar
|
|
October 2013
|
|
688
|
|
|
—
|
|
|
2
|
|
||||
U.S. Dollar
|
|
301
|
|
|
Israeli Shekel
|
|
October 2013
|
|
304
|
|
|
—
|
|
|
3
|
|
||||
U.S. Dollar
|
|
231
|
|
|
Singapore Dollar
|
|
October 2013
|
|
231
|
|
|
—
|
|
|
—
|
|
||||
|
|
$
|
3,988
|
|
|
|
|
|
|
$
|
3,985
|
|
|
$
|
8
|
|
|
$
|
5
|
|
|
Amortized
Cost |
|
Gross
Unrealized Gains |
|
Gross
Unrealized Losses |
|
Fair Value
|
||||||||
December 31, 2013:
|
|
|
|
|
|
|
|
||||||||
U.S. Treasury securities and obligations of U.S. government agencies
|
$
|
20,179
|
|
|
$
|
3
|
|
|
$
|
(22
|
)
|
|
$
|
20,160
|
|
Corporate securities
|
42,801
|
|
|
44
|
|
|
(55
|
)
|
|
42,790
|
|
||||
Mortgage-backed securities
|
1,075
|
|
|
26
|
|
|
(5
|
)
|
|
1,096
|
|
||||
Other debt securities
|
34
|
|
|
—
|
|
|
—
|
|
|
34
|
|
||||
Municipal securities
|
25,026
|
|
|
8
|
|
|
(11
|
)
|
|
25,023
|
|
||||
Bank certificate of deposits
|
8,551
|
|
|
—
|
|
|
(2
|
)
|
|
8,549
|
|
||||
|
$
|
97,666
|
|
|
$
|
81
|
|
|
$
|
(95
|
)
|
|
$
|
97,652
|
|
September 30, 2013:
|
|
|
|
|
|
|
|
||||||||
U.S. Treasury securities and obligations of U.S. government agencies
|
$
|
19,528
|
|
|
$
|
6
|
|
|
$
|
(13
|
)
|
|
$
|
19,521
|
|
Corporate securities
|
35,045
|
|
|
11
|
|
|
(47
|
)
|
|
35,009
|
|
||||
Mortgage-backed securities
|
1,093
|
|
|
25
|
|
|
(1
|
)
|
|
1,117
|
|
||||
Other debt securities
|
88
|
|
|
—
|
|
|
—
|
|
|
88
|
|
||||
Municipal securities
|
25,199
|
|
|
15
|
|
|
(7
|
)
|
|
25,207
|
|
||||
Bank certificate of deposits
|
9,451
|
|
|
—
|
|
|
(2
|
)
|
|
9,449
|
|
||||
|
$
|
90,404
|
|
|
$
|
57
|
|
|
$
|
(70
|
)
|
|
$
|
90,391
|
|
|
Fair Value
|
||
Due in one year or less
|
$
|
45,420
|
|
Due after one year through five years
|
48,842
|
|
|
Due after ten years
|
3,390
|
|
|
|
$
|
97,652
|
|
|
|
|
|
Fair Value Measurements at Reporting Date Using
|
||||||||||||
Description
|
|
December 31,
2013 |
|
Quoted Prices in
Active Markets for Identical Assets (Level 1) |
|
Significant Other
Observable Inputs (Level 2) |
|
Significant
Unobservable Inputs (Level 3) |
||||||||
Assets
|
|
|
|
|
|
|
|
|
||||||||
Cash equivalents
|
|
$
|
15,649
|
|
|
$
|
8,225
|
|
|
$
|
7,424
|
|
|
$
|
—
|
|
Available-for-sale securities
|
|
97,652
|
|
|
22,968
|
|
|
74,684
|
|
|
—
|
|
||||
Foreign exchange contracts
|
|
128
|
|
|
—
|
|
|
128
|
|
|
—
|
|
||||
Total Assets
|
|
$
|
113,429
|
|
|
$
|
31,193
|
|
|
$
|
82,236
|
|
|
$
|
—
|
|
|
|
|
|
Fair Value Measurements at Reporting Date Using
|
||||||||||||
Description
|
|
September 30,
2013 |
|
Quoted Prices in
Active Markets for Identical Assets (Level 1) |
|
Significant Other
Observable Inputs (Level 2) |
|
Significant
Unobservable Inputs (Level 3) |
||||||||
Assets
|
|
|
|
|
|
|
|
|
||||||||
Cash equivalents
|
|
$
|
7,754
|
|
|
$
|
6,152
|
|
|
$
|
1,602
|
|
|
$
|
—
|
|
Available-for-sale securities
|
|
90,391
|
|
|
2,199
|
|
|
88,192
|
|
|
—
|
|
||||
Foreign exchange contracts
|
|
31
|
|
|
—
|
|
|
31
|
|
|
—
|
|
||||
Total Assets
|
|
$
|
98,176
|
|
|
$
|
8,351
|
|
|
$
|
89,825
|
|
|
$
|
—
|
|
Liabilities
|
|
|
|
|
|
|
|
|
||||||||
Foreign exchange contracts
|
|
$
|
5
|
|
|
$
|
—
|
|
|
$
|
5
|
|
|
$
|
—
|
|
•
|
The Brooks Product Solutions segment provides a variety of products critical to technology equipment productivity and availability. Those products include atmospheric and vacuum tool automation systems, atmospheric and vacuum robots and robotic modules and cryogenic vacuum pumping, thermal management and vacuum measurement solutions which are used to create, measure and control critical process vacuum applications.
|
•
|
The Brooks Global Services segment provides an extensive range of support services including on-and off-site repair services, on-and off-site diagnostic support services, and installation services that enable our customers to maximize process tool uptime and productivity. This segment also provides end-user customers with spare parts support services to maximize customer tool productivity.
|
•
|
The Brooks Life Science Systems segment provides automated sample management systems for automated cold sample storage, equipment for sample preparation and handling, consumables, and parts and support
|
Period
|
Total
Number
of Shares
Purchased
|
|
Average Price Paid
per Share
|
|
Total Number of
Shares Purchased as
Part of Publicly
Announced Plans
or Programs
|
||||
October 1 — 31, 2013
|
—
|
|
|
$
|
—
|
|
|
—
|
|
November 1 — 30, 2013
|
99,925
|
|
|
9.54
|
|
|
99,925
|
|
|
December 1 — 31, 2013
|
—
|
|
|
—
|
|
|
—
|
|
|
Total
|
99,925
|
|
|
$
|
9.54
|
|
|
99,925
|
|
|
|
|
Exhibit
No.
|
|
Description
|
|
|
|
31.01
|
|
Certification of the Registrant's Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
|
|
|
|
31.02
|
|
Certification of the Registrant's Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
|
|
|
|
32
|
|
Certification of the Registrant's Chief Executive Officer and Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
|
|
|
|
101
|
|
The following material from the Company’s Quarterly Report on Form 10-Q, for the quarter ended December 31, 2013, formatted in XBRL (Extensible Business Reporting Language): (i) the Consolidated Balance Sheets; (ii) the Consolidated Statements of Operations; (iii) Consolidated Statements of Comprehensive Income; (iv) the Consolidated Statements of Cash Flows; and (v) the Notes to Consolidated Financial Statements.
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BROOKS AUTOMATION, INC.
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DATE: February 6, 2014
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/
S
/ Lindon G. Robertson
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Lindon G. Robertson
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Executive Vice President and Chief Financial Officer
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(Principal Financial Officer)
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DATE: February 6, 2014
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/
S
/ David Pietrantoni
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David Pietrantoni
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Vice President-Finance and Corporate Controller
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(Principal Accounting Officer)
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Exhibit
No.
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Description
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31.01
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Certification of the Registrant's Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
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31.02
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Certification of the Registrant's Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
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32
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Certification of the Registrant's Chief Executive Officer and Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
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101
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The following material from the Company’s Quarterly Report on Form 10-Q, for the quarter ended December 31, 2013, formatted in XBRL (Extensible Business Reporting Language): (i) the Consolidated Balance Sheets; (ii) the Consolidated Statements of Operations; (iii) Consolidated Statements of Comprehensive Income; (iv) the Consolidated Statements of Cash Flows; and (v) the Notes to Consolidated Financial Statements.
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No information found
* THE VALUE IS THE MARKET VALUE AS OF THE LAST DAY OF THE QUARTER FOR WHICH THE 13F WAS FILED.
FUND | NUMBER OF SHARES | VALUE ($) | PUT OR CALL |
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DIRECTORS | AGE | BIO | OTHER DIRECTOR MEMBERSHIPS |
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No information found
Customers
Customer name | Ticker |
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Laboratory Corporation of America Holdings | LH |
No Suppliers Found
Price
Yield
Owner | Position | Direct Shares | Indirect Shares |
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