Basic Stats
| CIK | 96763 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to PGIM ETF Trust - PGIM Ultra Short Bond ETF
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| April 15, 2015 |
FORM OF LETTER OF TRANSMITTAL TO SURRENDER SHARES OF COMMON STOCK OF Pulse Electronics Corporation Exhibit (a)(2) FORM OF LETTER OF TRANSMITTAL TO SURRENDER SHARES OF COMMON STOCK OF Pulse Electronics Corporation This Letter of Transmittal is being delivered to each record holder of shares of common stock, par value $0. |
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| April 15, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Amendment No. 3 to SCHEDULE 13E-3 (Rule 13e-100) Rule 13e-3 Transaction Statement under Section 13(e) of the Securities Exchange Act of 1934 Pulse Electronics Corporation Name of Subject Company (issuer) Pulse Electronics Corporation OCM PE Holdings, L.P. OCM PE Merger Sub, Inc. (Names of Filing Persons) Common Stock, Par Valu |
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| April 15, 2015 |
Pulse Electronics Corporation (the “Company”) NOTICE OF DISSENTERS RIGHTS April 17, 2015 Exhibit (a)(1) Pulse Electronics Corporation (the ?Company?) NOTICE OF DISSENTERS RIGHTS April 17, 2015 This Notice of Dissenters Rights (this ?Notice?) is being furnished to shareholders of the Company pursuant to, in accordance with, and constitutes the requisite notice under, Section 1575 of the Pennsylvania Business Corporation Law of 1988, as amended (the ?PBCL?), which requires notification to you of the Merger (as defined below) and your dissenters rights in connection with the acquisition of Pulse Electronics Corporation, a Pennsylvania corporation (which we refer to as ?Pulse? or the ?Company?), by OCM PE Holdings, L. |
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| April 15, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number : 001-05375 Pulse Electronics Corporation (Exact name of Issuer as specifie |
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| April 15, 2015 |
Exhibit (a)(3) Pulse Electronics Corporation (the ?Company?) DEMAND FOR PAYMENT Notice to Company of Exercise of Dissenters Rights, Demand for Payment of Fair Value of Shares and Transmittal of Certificates NOTICE: If you elect to exercise dissenters rights, this demand, along with your stock certificates, must be received by the Company no later than May 17, 2015 at the following address: Pulse Electronics Corporation Attention: Corporate Secretary 12220 World Trade Drive San Diego, CA 92128 THIS FORM SHOULD NOT BE USED BY PERSONS WHO AGREE TO RECEIVE $1. |
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| April 14, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) April 13, 2015 PULSE ELECTRONICS CORPORATION (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or Other Jurisdiction of Incorporation) (Co |
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| April 14, 2015 |
Exhibit 99.1 For Immediate Release OAKTREE COMPLETES ACQUISITION OF PULSE ELECTRONICS. Additional Infusion of New Capital Supports Pulse?s Investments in Products and Manufacturing SAN DIEGO, April 13, 2015? Pulse Electronics Corporation (OTC Pink: PULS) (?Pulse?) today announced that the acquisition of Pulse by certain affiliates of investment funds managed by Oaktree Capital Management, L.P. (su |
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| April 14, 2015 |
AMENDED AND RESTATED ARTICLES OF INCORPORATION OF PULSE ELECTRONICS CORPORATION EX-3.1 2 s000834x6ex3-1.htm EXHIBIT 3.1 Exhibit 3.1 AMENDED AND RESTATED ARTICLES OF INCORPORATION OF PULSE ELECTRONICS CORPORATION The above-stated corporation (hereinafter, the “Corporation”) hereby desires to amend and restate its Articles of Incorporation in their entirety as permitted under Section 1911(a) of the Pennsylvania Business Corporation Law of 1988 as amended as follows: 1. Name. Th |
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| April 14, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D (Rule 13d-101) (Amendment No. |
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| April 14, 2015 |
AMENDED AND RESTATED BYLAWS OF PULSE ELECTRONICS CORPORATION ARTICLE 1 - OFFICES AND FISCAL YEAR Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF PULSE ELECTRONICS CORPORATION ARTICLE 1 - OFFICES AND FISCAL YEAR Section 1.1. Registered Office. The registered office of the Corporation in the Commonwealth of Pennsylvania shall be at 1210 Northbrook Drive, Suite 470 in Trevose, Commonwealth of Pennsylvania 19053 until otherwise established by an amendment of the Articles of Incorporation or by the Boa |
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| April 9, 2015 |
April 9, 2015 VIA EDGAR Ms. Mellissa Campbell Duru Special Counsel Office of Mergers & Acquisitions Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-3628 Re: Pulse Electronics Corporation Schedule 13E-3 filed by Pulse Electronics Corporation, OCM PE Holdings, L.P. and OCM PE Merger Sub, Inc. Filed March 6, 2015, as amended April 3, 2015, as further amended April 8, 2015 |
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| April 8, 2015 |
April 8, 2015 VIA EDGAR Ms. Mellissa Campbell Duru Special Counsel Office of Mergers & Acquisitions Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-3628 Re: Pulse Electronics Corporation Schedule 13E-3 filed by Pulse Electronics Corporation, OCM PE Holdings, L.P. and OCM PE Merger Sub, Inc. Filed March 6, 2015, as amended April 3, 2015 File No. 005-16240 Dear Ms. Duru: |
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| April 8, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Amendment No. 2 to SCHEDULE 13E-3 (Rule 13e-100) Rule 13e-3 Transaction Statement under Section 13(e) of the Securities Exchange Act of 1934 Pulse Electronics Corporation Name of Subject Company (issuer) Pulse Electronics Corporation OCM PE Holdings, L.P. OCM PE Merger Sub, Inc. (Names of Filing Persons) Common Stock, Par Valu |
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| April 7, 2015 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No.1)* PULSE ELECTRONICS CORPORATION - (Name of Issuer) Common Stock, $0.125 par value - (Title of Class of Securities) 74586W106 - (CUSIP Number) AB Value Management LLC 84 E |
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| April 3, 2015 |
EX-4.1 2 s000833x1ex4-1.htm EXHIBIT 4.1 Exhibit 4.1 PROMISSORY NOTE $8,500,000.00 March 30, 2015 FOR VALUE RECEIVED, (a) PULSE ELECTRONICS CORPORATION, a Pennsylvania corporation (the “Company”), promises to pay to OCM PE Holdings, L.P., a Delaware limited partnership (together with its successors or assigns, the “Lender”), an amount equal to the principal sum of EIGHT MILLION FIVE HUNDRED THOUSAN |
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| April 3, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) March 30, 2015 PULSE ELECTRONICS CORPORATION (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or Other Jurisdiction of Incorporation) (Co |
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| April 3, 2015 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No.)* PULSE ELECTRONICS CORPORATION - (Name of Issuer) Common Stock, $0.125 par value - (Title of Class of Securities) 74586W106 - (CUSIP Number) AB Value Management LLC 84 El |
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| April 3, 2015 |
Exhibit (d)(2) PROMISSORY NOTE $8,500,000.00 March 30, 2015 FOR VALUE RECEIVED, (a) PULSE ELECTRONICS CORPORATION, a Pennsylvania corporation (the ?Company?), promises to pay to OCM PE Holdings, L.P., a Delaware limited partnership (together with its successors or assigns, the ?Lender?), an amount equal to the principal sum of EIGHT MILLION FIVE HUNDRED THOUSAND DOLLARS ($8,500,000.00), and (b) ea |
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| April 3, 2015 |
April 3, 2015 VIA EDGAR Ms. Mellissa Campbell Duru Special Counsel Office of Mergers & Acquisitions Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-3628 Re: Pulse Electronics Corporation Schedule 13E-3 filed by Pulse Electronics Corporation, OCM PE Holdings, L.P. and OCM PE Merger Sub, Inc. Filed March 6, 2015 File No. 005-16240 Dear Ms. Duru: On behalf of Pulse Electr |
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| April 3, 2015 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Amendment No. 1 to SCHEDULE 13E-3 (Rule 13e-100) Rule 13e-3 Transaction Statement under Section 13(e) of the Securities Exchange Act of 1934 Pulse Electronics Corporation Name of Subject Company (issuer) Pulse Electronics Corporation OCM PE Holdings, L.P. OCM PE Merger Sub, Inc. (Names of Filing Persons) Comm |
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| March 20, 2015 |
[remainder of page intentionally left blank] EX-10.28(3) 3 puls2014-12x26exibit10283.htm EXHIBIT 10.28(3) Exhibit 10.28(3) EMPLOYMENT AGREEMENT (the “Agreement”) dated as of November 28, 2014 between Pulse Electronics Corporation (the “Company”), and Mark Twaalfhoven (“Executive”). WHEREAS, the Company desires to enter into this Agreement with Executive pursuant to which the Company will employ Executive as its Chief Executive Officer on the |
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| March 20, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) March 20, 2015 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction Of incorporation) (Co |
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| March 20, 2015 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-K ý Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 26, 2014 or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 1-5375 PULSE ELECTRONICS CORPORATION (Ex |
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| March 20, 2015 |
Subsidiaries of the Registrant Exhibit 21 Subsidiaries of the Registrant Pulse Electronics Corporation, which has no parent, has the following subsidiaries: Name Incorporation Percent Owned AMI Doduco Components B. |
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| March 20, 2015 |
EX-99.1 2 a51059961ex991.htm EXHIBIT 99.1 Exhibit 99.1 Pulse Electronics Corporation Reports Fourth Quarter Results Improved Non-GAAP Operating Profit and EBITDA Despite Lower Revenue SAN DIEGO-(BUSINESS WIRE)-March 20, 2015-Pulse Electronics Corporation (OTC Pink: PULS), a leading provider of electronic components, today reported results for its fourth quarter ended December 26, 2014. Fourth Quar |
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| March 20, 2015 |
PULSE ELECTRONICS CORPORATION INDEMNIFICATION AGREEMENT EX-10.11 2 puls2014-12x26exhibit1011.htm EXHIBIT 10.11 Exhibit 10.11 PULSE ELECTRONICS CORPORATION INDEMNIFICATION AGREEMENT This Indemnification Agreement is made this [] day of [] between [] (“Indemnitee”) and PULSE ELECTRONICS CORPORATION, a Pennsylvania corporation (“Pulse”). In consideration of the mutual covenants and conditions set forth below, the parties hereto, intending to be legally bo |
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| March 6, 2015 |
Exhibit (c)(2) CORPORATE FINANCE FINANCIAL ADVISORY SERVICES FINANCIAL RESTRUCTURING STRATEGIC CONSULTING HL. |
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| March 6, 2015 |
Exhibit (c)(3) Confidential CORPORATE FINANCE FINANCIAL ADVISORY SERVICES FINANCIAL RESTRUCTURING STRATEGIC CONSULTING HL. |
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| March 6, 2015 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 (Rule 13e-100) Rule 13e-3 Transaction Statement under Section 13(e) of the Securities Exchange Act of 1934 Pulse Electronics Corporation Name of Subject Company (issuer) Pulse Electronics Corporation OCM PE Holdings, L.P. OCM PE Merger Sub, Inc. (Names of Filing Persons) Common Stock, Par Value |
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| March 3, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D (Rule 13d-101) (Amendment No. |
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| March 2, 2015 |
EX-2.1 2 s000755x1ex2-1.htm EXHIBIT 2.1 TABLE OF CONTENTS Exhibit 2.1 INVESTMENT AGREEMENT AND AGREEMENT AND PLAN OF MERGER BY AND AMONG PULSE ELECTRONICS CORPORATION, OCM PE HOLDINGS, L.P. and OCM PE MERGER SUB, INC. DATED AS OF FEBRUARY 28, 2015 TABLE OF CONTENTS TABLE OF CONTENTS Page ARTICLE I THE TRANSACTIONS 1 Section 1.1 The Investment 1 Section 1.2 The Merger 2 Section 1.3 First Tranche Cl |
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| March 2, 2015 |
Exhibit 99.1 For Immediate Release PULSE ELECTRONICS TO BE ACQUIRED BY AFFILIATES OF OAKTREE CAPITAL MANAGEMENT, L.P. Additional Infusion of New Capital to Support Pulse’s Investments in Products and Manufacturing SAN DIEGO, March 2, 2015— Pulse Electronics Corporation (OTC Pink: PULS) today announced that it has entered into a definitive agreement with certain affiliates of investment funds manag |
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| March 2, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) February 28, 2015 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction Of incorporation) |
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| February 24, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) February 20, 2015 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction Of incorporation) |
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| February 24, 2015 |
SEPARATION AGREEMENT AND RELEASE OF CLAIMS Exhibit 99.1 SEPARATION AGREEMENT AND RELEASE OF CLAIMS This Separation Agreement (this ?Agreement?) is dated as of February 20, 2015, by and among Alan H. Benjamin (the ?Executive?),and Pulse Electronics Corporation(collectively, together with its successors and assigns (the ?Company?)). WHEREAS, the Company and the Executivehave agreed that Executive?s employment with the Companyshallterminate e |
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| February 24, 2015 |
Exhibit 99.2 For Immediate Release PULSE ELECTRONICS ANNOUNCES WITHDRAWAL OF FORM 15 – DEREGISTRATION WITH THE SECURITIES AND EXCHANGE COMMISSION SAN DIEGO, February 23, 2015 – Pulse Electronics Corporation (OTC: PULS), a leading provider of electronic components, today announced that it has filed an Amended Form 15 with the Securities and Exchange Commission (the "Commission") withdrawing the ear |
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| February 23, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 15/A AMENDMENT NO. 1 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number : 001-05375 Pulse Electronics Corporation (Exact name of |
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| December 29, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number : 001-05375 Pulse Electronics Corporation (Exact name of Issuer as specifie |
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| December 4, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 28, 2014 Date of Report (Date of earliest event reported) PULSE ELECTRONICS CORPORATION (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) |
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| December 4, 2014 |
Exhibit 99.1 For Immediate Release PULSE ELECTRONICS NAMES MARK TWAALFHOVEN CHIEF EXECUTIVE OFFICER Brings Deep Industry and Operational Expertise Joins Board of Directors; John E. Major Named Permanent Chairman of the Board SAN DIEGO, December 1, 2014-Pulse Electronics Corporation (OTC Pink: PULS), a leading provider of electronic components, today announced that its Board of Directors has named |
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| November 10, 2014 |
Exhibit 99.1 Pulse Electronics Corporation Reports Third Quarter Results Continued Growth in Operating Profit and EBITDA SAN DIEGO-(BUSINESS WIRE)-November 10, 2014-Pulse Electronics Corporation (OTC Pink: PULS), a leading provider of electronic components, today reported results for its third quarter ended September 26, 2014. Third Quarter Highlights Net sales were $88.2 million, down 7.0 percent |
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| November 10, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) November 10, 2014 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction Of incorporation) |
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| November 10, 2014 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ý The Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 26, 2014, or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission File No. 1-5375 PULSE ELECTRONICS |
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| October 16, 2014 |
As filed with the Securities and Exchange Commission on October 16, 2014 File Nos. |
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| October 16, 2014 |
As filed with the Securities and Exchange Commission on October 16, 2014 File Nos. |
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| October 16, 2014 |
PULS / PGIM Ultra Short Bond ETF 15-12B - - PULSE ELECTRONICS CORPORATION FORM 15-12B 10-16-2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number : 001-05375 Pulse Electronics Corporation (Exact name of Issuer as specifie |
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| October 16, 2014 |
As filed with the Securities and Exchange Commission on October 16, 2014 File Nos. |
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| October 16, 2014 |
As filed with the Securities and Exchange Commission on October 16, 2014 File Nos. |
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| October 16, 2014 |
As filed with the Securities and Exchange Commission on October 16, 2014 File Nos. |
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| October 16, 2014 |
As filed with the Securities and Exchange Commission on October 16, 2014 File Nos. |
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| October 16, 2014 |
As filed with the Securities and Exchange Commission on October 16, 2014 File Nos. |
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| October 16, 2014 |
S-8 POS 1 forms8pos.htm PULSE ELECTRONICS CORPORATION S-8 POS 10-16-2014 (333-178542) As filed with the Securities and Exchange Commission on October 16, 2014 File Nos. 333-178542 & 333-180107 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pulse Electronics Corporation (Exact |
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| October 16, 2014 |
As filed with the Securities and Exchange Commission on October 16, 2014 File Nos. |
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| October 16, 2014 |
As filed with the Securities and Exchange Commission on October 16, 2014 File Nos. |
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| October 6, 2014 |
PULS / PGIM Ultra Short Bond ETF 25 - - PULSE ELECTRONICS CORPORATION FORM 25 10-6-2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number : 001-05375 Pulse Electronics Corporation New York Stock Exchange (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registere |
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| September 30, 2014 |
EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 For Immediate Release PULSE ELECTRONICS ANNOUNCES INITIATIVE TO REDUCE COSTS THROUGH VOLUNTARY NYSE DELISTING AND SEC DEREGISTRATION SAN DIEGO, September 26, 2014— Pulse Electronics Corporation (“Pulse Electronics”) (NYSE: PULS), a leading provider of electronics components, announced today that it has submitted written notice to the New York Stock Exc |
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| September 30, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) September 25, 2014 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction Of incorporation) |
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| August 5, 2014 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x The Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 27, 2014, or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission File No. 1-5375 PULSE ELECTRONICS CORPO |
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| August 5, 2014 |
EX-99.1 2 a50919248-ex991.htm EXHIBIT 99.1 Exhibit 99.1 Pulse Electronics Corporation Reports Second Quarter Results Strong Sequential Growth in Revenue, Operating Profit, and EBITDA SAN DIEGO-(BUSINESS WIRE)-August 5, 2014-Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today reported results for its second quarter ended June 27, 2014. Second Quarter Highli |
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| August 5, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) August 5, 2014 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction Of incorporation) (Co |
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| July 16, 2014 |
Exhibit 99.2 PULSE ELECTRONICS CORPORATION July 16, 2014 Alan H. Benjamin Senior Vice President & Chief Operating Officer 12220 World Trade Drive, San Diego, CA 92128 Re: Appointment as Interim CEO Dear Alan: This letter confirms our understanding related to your appointment as interim Chief Executive Officer of Pulse Electronics Corporation (the “Company”). 1. Acceptance of Appointment. By signin |
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| July 16, 2014 |
SEPARATION AGREEMENT AND RELEASE OF CLAIMS Exhibit 99.3 SEPARATION AGREEMENT AND RELEASE OF CLAIMS This Separation Agreement (this “Agreement”) is dated as of July 14, 2014, by and among Ralph E. Faison (the “Executive”), and Pulse Electronics Corporation (collectively, together with its successors and assigns (the “Company”)). WHEREAS, the Company and the Executive have entered into an Employment Agreement, dated January 4, 2011, which wa |
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| July 16, 2014 |
Exhibit 99.1 Pulse Electronics Announces Chairman and CEO Transition Ralph E. Faison Resigns as Chairman and CEO; COO Alan H. Benjamin Appointed Interim CEO John E. Major Named Interim Chairman of the Board Company Provides Preliminary Q2 Results SAN DIEGO-(BUSINESS WIRE)-July 16, 2014-Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today announced that its |
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| July 16, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 July 14, 2014 Date of Report (Date of earliest event reported) PULSE ELECTRONICS CORPORATION (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Com |
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| July 1, 2014 |
8-K 1 a50898333.htm PULSE ELECTRONICS CORPORATION 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) June 25, 2014 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-12924 |
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| July 1, 2014 |
Pulse Electronics Receives Notice of Non-Compliance from NYSE Exhibit 99.1 Pulse Electronics Receives Notice of Non-Compliance from NYSE SAN DIEGO-(BUSINESS WIRE)-July 1, 2014-Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today announced that on June 25, 2014, it received notice from the New York Stock Exchange (“NYSE”) that the Company is not in compliance with a NYSE standard for continued listing of its common sto |
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| June 27, 2014 |
PULS / PGIM Ultra Short Bond ETF 11-K - - PULSE ELECTRONICS CORPORATION 11-K 12-31-2013 United States Securities and Exchange Commission Washington, D.C. 20549 FORM 11-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-5375 Pulse Electronics Corporation |
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| June 12, 2014 |
AMENDMENT TO THE PULSE ELECTRONICS CORPORATION 2012 OMNIBUS INCENTIVE COMPENSATION PLAN EX-10..35(2) 2 ex10352.htm EXHIBIT 10.35(2) Exhibit 10.35(2) AMENDMENT TO THE PULSE ELECTRONICS CORPORATION 2012 OMNIBUS INCENTIVE COMPENSATION PLAN The Pulse Electronics Corporation 2012 Omnibus Incentive Compensation Plan (the “2012 Plan”) is hereby amended as set forth below, effective April 25, 2014, subject to stockholder approval: I. Section 4.1(b) of the 2012 Plan is hereby amended to read |
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| June 12, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 6, 2014 Date of Report (Date of earliest event reported) PULSE ELECTRONICS CORPORATION (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Comm |
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| June 12, 2014 |
- PULSE ELECTRONICS CORPORATION S-8 6-12-2014 As filed with the Securities and Exchange Commission on June 12, 2014 Registration No. |
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| June 2, 2014 |
Exhibit 1.02 Conflict Minerals Report This Conflict Minerals Report (“Report”) of Pulse Electronics Corporation (“Pulse” or “we”) for the year ended December 31, 2013 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule”). Please refer to Rule 13p-1, Form SD and the 1934 Act Release No. 34-67716 for definitions to the terms used in this Report, unless otherwise d |
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| June 2, 2014 |
- PULSE ELECTRONICS CORPORATION SD 12-31-2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT PULSE ELECTRONICS CORPORATION (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification Number) 12220 World Trade Drive San Diego, CA (Address of principal ex |
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| May 12, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) May 12, 2014 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction Of incorporation) (Comm |
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| May 12, 2014 |
Exhibit 99.1 Pulse Electronics Corporation Reports First Quarter Results Results Meet Guidance; Strong Orders Momentum SAN DIEGO-(BUSINESS WIRE)-May 12, 2014-Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today reported results for its first quarter ended March 28, 2014. First Quarter Highlights Net sales were $81.7 million, down 3.7 percent from $84.8 mill |
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| May 12, 2014 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x The Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 28, 2014, or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission File No. 1-5375 PULSE ELECTRONICS CORP |
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| April 28, 2014 |
- PULSE ELECTRONICS CORPORATION DEF 14A 6-6-2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Ru |
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| April 7, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 2, 2014 Date of Report (Date of earliest event reported) PULSE ELECTRONICS CORPORATION (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Com |
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| March 13, 2014 |
Subsidiaries of the Registrant Exhibit 21 Subsidiaries of the Registrant Pulse Electronics Corporation, which has no parent, has the following subsidiaries: Name Incorporation Percent Owned AMI Doduco Components B. |
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| March 13, 2014 |
UNITED STATES SECURITIES & 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 December 27, 2013 or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 1-5375 PULSE ELECTRONICS CORPORATION (Ex |
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| March 13, 2014 |
EXHIBIT 10.30(3) PULSE ELECTRONICS CORPORATION 2012 Omnibus Incentive Compensation Plan Restricted Stock Units Award Certificate – Non-Employee Director This Restricted Stock Units Award Certificate (the “Award Certificate”) memorializes the grant on , 20 (the “Grant Date”) by PULSE ELECTRONICS CORPORATION (the "Company") to ("Director") of the number of Restricted Stock Units (the "Units") indica |
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| March 11, 2014 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) March 11, 2014 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Co |
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| March 11, 2014 |
Exhibit 99.1 Pulse Electronics Corporation Reports Fourth Quarter Results Significant Improvement in Full-Year 2013 Financial Results; Emphasis on Further EBITDA Growth in 2014 SAN DIEGO-(BUSINESS WIRE)-March 11, 2014-Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today reported results for its fourth quarter ended December 27, 2013. Fourth Quarter Highligh |
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| March 7, 2014 |
EXHIBIT 99.1 This Statement on Form 4 is filed jointly by the Reporting Persons listed below. The principal business address of each of these Reporting Persons is 333 South Grand Avenue, 28th Fl., Los Angeles, CA 90071. Name of Designated Filer: OCM PE HOLDINGS, L.P. Date of Event Requiring Statement: February 21, 2014 Date of Filing of Original Form 4: February 25, 2014 Date of Filing of Amended |
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| February 25, 2014 |
EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13(d)-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on Schedule 13D is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| February 25, 2014 |
PULS / PGIM Ultra Short Bond ETF / Oaktree Fund GP, LLC - AMENDMENT NO. 1 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D/A (Rule 13d-101) (Amendment No. |
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| February 21, 2014 |
EXHIBIT 99.1 PULSE ELECTRONICS CORPORATION ANNOUNCES CONVERTIBLE NOTE EXCHANGE TRANSACTIONS Reduces Debt, Extends Maturity, and Clarifies Capital Structure; Allows Company to Focus on Long Term Strategy SAN DIEGO, February 21, 2014—Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today announced it has reached agreements with the holders of approximately $20. |
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| February 21, 2014 |
Exhibit 10.41 EXECUTION VERSION NOTE EXCHANGE AGREEMENT Note Exchange Agreement dated February 21, 2014 (the “Exchange Agreement”) between Angelo Gordon & Co., L.P. (the “Holder”), Pulse Electronics Corporation, a corporation organized under the laws of the State of Pennsylvania (the “Company”), and Pulse Electronics (Singapore) Pte. Ltd. (the “Singapore Borrower”). In consideration of the mutual |
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| February 21, 2014 |
EX-10.43 7 ex1043.htm EXHIBIT 10.43 Exhibit 10.43 EXECUTION VERSION NOTE EXCHANGE AGREEMENT Note Exchange Agreement dated February 21, 2014 (the “Exchange Agreement”) between Harber Capital, LLC (the “Holder”), Pulse Electronics Corporation, a corporation organized under the laws of the State of Pennsylvania (the “Company”), and Pulse Electronics (Singapore) Pte. Ltd. (the “Singapore Borrower”). I |
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| February 21, 2014 |
Exhibit 10.36(3) PULSE ELECTRONICS CORPORATION PULSE ELECTRONICS (SINGAPORE) PTE LTD 12220 World Trade Drive San Diego, CA 92128 Cantor Fitzgerald Securities 110 East 59th Street New York, NY 10022 Attn: John W. Stelwagon, CFA OCM PE Holdings, L.P. 333 South Grand Avenue, 28th Floor Los Angeles, CA 90071 Attention: Kenneth Liang February 21, 2014 Re: Third Letter Agreement relating to certain amen |
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| February 21, 2014 |
Exhibit 10.44 EXECUTION VERSION NOTE EXCHANGE AGREEMENT Note Exchange Agreement dated February 21, 2014 (the “Exchange Agreement”) among Oppenheimer & Co. Inc. (the “Holder”), Pulse Electronics Corporation, a corporation organized under the laws of the State of Pennsylvania (the “Company”), and Pulse Electronics (Singapore) Pte. Ltd. (the “Singapore Borrower”). In consideration of the mutual promi |
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| February 21, 2014 |
Exhibit 10.45 EXECUTION VERSION NOTE EXCHANGE AGREEMENT Note Exchange Agreement dated February 21, 2014 (the “Exchange Agreement”) between Wolverine Flagship Fund Trading Limited (the “Holder”), Pulse Electronics Corporation, a corporation organized under the laws of the State of Pennsylvania (the “Company”), and Pulse Electronics (Singapore) Pte. Ltd. (the “Singapore Borrower”). In consideration |
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| February 21, 2014 |
Exhibit 3.1(2) Pulse Electronics Corporation Amendments to Amended and Restated Articles of Incorporation1 Amendment to Add an Event Triggering Conversion of the Company’s Series A Preferred Stock Section 5(a) of Article FIFTH(2) is hereby amended to read in its entirety as follows: “5. Conversion. (a) Immediately following such time as [either] any of (x) the applicable provisions of the Indentur |
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| February 21, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 21, 2014 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) |
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| February 21, 2014 |
Exhibit 10.42 EXECUTION VERSION NOTE EXCHANGE AGREEMENT Note Exchange Agreement dated February 21, 2014 (the “Exchange Agreement”) between Cannell Capital LLC (the “Holder”), Pulse Electronics Corporation, a corporation organized under the laws of the State of Pennsylvania (the “Company”), and Pulse Electronics (Singapore) Pte. Ltd. (the “Singapore Borrower”). In consideration of the mutual promis |
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| February 21, 2014 |
Exhibit 10.37(3) EXECUTED VERSION AMENDMENT NO. 3 TO INVESTMENT AGREEMENT This Amendment No. 3 (this “Amendment”) to the Investment Agreement dated as of November 7, 2012, between Pulse Electronics Corporation (the “Company”), Pulse Electronics (Singapore) Pte. Ltd. (“Pulse Singapore”), and OCM PE Holdings, L.P., as amended by that certain Amendment No. 1 to the Agreement dated March 11, 2013, and |
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| February 13, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 February 7, 2014 Date of Report (Date of earliest event reported) PULSE ELECTRONICS CORPORATION (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) ( |
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| January 21, 2014 |
Ira L. Kotel Partner [email protected] D +1 (212) 398-5787 Salans FMC SNR Denton dentons.com Dentons US LLP 1221 Avenue of the Americas New York, NY 10020-1089 USA T +1 212 768 6700 F +1 212 768 6800 VIA EDGAR AND COURIER January 21, 2014 Mr. Kevin L. Vaughn Accounting Branch Chief U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 2054 |
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| December 20, 2013 |
Ira L. Kotel [email protected] Salans FMC SNR Denton Partner D +1 (212) 398-5787 dentons.com Dentons US LLP 1221 Avenue of the Americas New York, NY 10020-1089 USA T +1 212 768 6700 F +1 212 768 6800 VIA EDGAR AND COURIER December 20, 2013 Mr. Kevin L. Vaughn Accounting Branch Chief U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 205 |
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| November 5, 2013 |
Exhibit 99.1 Pulse Electronics Corporation Reports Third Quarter Results Fourth Consecutive Quarterly Increase in EBITDA; Revenue and Operating Profit within Guidance SAN DIEGO-(BUSINESS WIRE)-November 5, 2013-Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today reported results for its third quarter ended September 27, 2013. Third Quarter Highlights Net sa |
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| November 5, 2013 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x The Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 27, 2013, or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission File No. 1-5375 PULSE ELECTRONICS |
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| November 5, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 5, 2013 Date of Report (Date of earliest event reported) PULSE ELECTRONICS CORPORATION (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) ( |
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| October 11, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 October 7, 2013 Date of Report (Date of earliest event reported) PULSE ELECTRONICS CORPORATION (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (C |
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| October 11, 2013 |
EXHIBIT 99.1 For Immediate Release PULSE ELECTRONICS CORPORATION ANNOUNCES THE APPOINTMENT OF MICHAEL C. BOND AS CHIEF FINANCIAL OFFICER SAN DIEGO, October 11, 2013—Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today announced that Michael C. Bond has been appointed Senior Vice President and Chief Financial Officer replacing Drew A. Moyer, who resigned fro |
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| October 11, 2013 |
EXHIBIT 10.32 EXHIBIT A1 ELIGIBILITY TO PARTICIPATE IN THE SEVERANCE POLICY From and as of April 6, 2012: John R. D. Dickson John Houston From and as of July 30, 2012: Alan H. Benjamin From and as of November 6, 2013 Michael C. Bond 1 As adopted by the Compensation Committee on April 6, 2012, and as amended as of October 11, 2013. |
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| October 11, 2013 |
PULSE ELECTRONICS CORPORATION 12220 World Trade Drive San Diego, California 92128 EXHIBIT 10.41 PULSE ELECTRONICS CORPORATION 12220 World Trade Drive San Diego, California 92128 October 11, 2013 Mr. Michael C. Bond [Address 1] [Address 2] Dear Michael, This letter confirms the terms of your continued employment with Pulse Electronics Corporation (“Pulse” or the “Company”). Your employment from and after November 6, 2013 will continue on an at will basis. Your title will be Seni |
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| August 7, 2013 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x The Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 28, 2013, or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission File No. 1-5375 PULSE ELECTRONICS CORPO |
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| August 6, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 6, 2013 Date of Report (Date of earliest event reported) PULSE ELECTRONICS CORPORATION (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Co |
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| August 6, 2013 |
Exhibit 99.1 Pulse Electronics Corporation Reports Second Quarter Results Operating Profit Exceeds Guidance; Company Commences New Expense Reductions Resulting From Improved Efficiency SAN DIEGO-(BUSINESS WIRE)-August 6, 2013-Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today reported results for its second quarter ended June 28, 2013. Second Quarter High |
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| July 2, 2013 |
Exhibit 16.1 KPMG LLP July 2, 2013 Securities and Exchange Commission Washington, D.C. 20549 Ladies and Gentlemen: We were previously principal accountants for Pulse Electronics Corporation and, under the date of March 13, 2013, we reported on the consolidated financial statements of Pulse Electronics Corporation as of and for the years ended December 28, 2012 and December 30, 2011, and the effect |
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| July 2, 2013 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 26, 2013 Date of Report (Date of earliest event reported) PULSE ELECTRONICS CORPORATION (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Com |
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| July 1, 2013 |
- PULSE ELECTRONICS CORP 11-K 12-31-2012 United States Securities and Exchange Commission Washington, D.C. 20549 FORM 11-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2012 OR o TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-5375 Pulse Electronics Corporation |
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| May 20, 2013 |
EX-3.3 2 ex33.htm EXHIBIT 3.3 Exhibit 3.3 Pulse Electronics Corporation Amendments to the Amended and Restated Articles of Incorporation Amendment to Increase the Company’s Authorized Stock and Change the Terms of the Conversion Ratio of the Company’s Series A Preferred Stock The Amended and Restated Articles of Incorporation of Pulse Electronics Corporation are hereby amended to read as follows: |
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| May 20, 2013 |
PULSE ELECTRONICS CORPORATION ANNOUNCES REVERSE STOCK SPLIT Exhibit 99.1 For Immediate Release PULSE ELECTRONICS CORPORATION ANNOUNCES REVERSE STOCK SPLIT SAN DIEGO, May 20, 2013— Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today announced that it has filed an amendment to its Amended and Restated Articles of Incorporation to implement a 1-for-10 reverse stock split that will become effective at 12:01 a.m. Easter |
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| May 20, 2013 |
AMENDMENT TO THE PULSE ELECTRONICS CORPORATION 2012 OMNIBUS INCENTIVE COMPENSATION PLAN Exhibit 10.35(1) AMENDMENT TO THE PULSE ELECTRONICS CORPORATION 2012 OMNIBUS INCENTIVE COMPENSATION PLAN The Pulse Electronics Corporation 2012 Omnibus Incentive Compensation Plan (the “Plan”) is hereby amended as set forth below, effective March 28, 2013: I. Section 4.3(b) of the Plan is hereby amended to read as follows: (b) Annual Individual Limitations. No Grantee may be granted Awards (other |
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| May 20, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 17, 2013 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Comm |
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| May 7, 2013 |
AMENDMENT NO. 2 TO INVESTMENT AGREEMENT Exhibit 10.37(2) AMENDMENT NO. 2 TO INVESTMENT AGREEMENT This Amendment No. 2 (this ?Amendment?) to the Investment Agreement dated as of November 7, 2012 (the ?Investment Agreement?) is made as of the 15th day of April, 2013, and, solely with respect to Section 2, to be effective as of the Effective Time (as defined below) by and among Pulse Electronics Corporation, Pulse Electronics (Singapore) P |
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| May 7, 2013 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x The Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 29, 2013, or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission File No. 1-5375 PULSE ELECTRONICS CORP |
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| May 7, 2013 |
Exhibit 99.1 Pulse Electronics Corporation Reports First Quarter Results Notable Improvements in Gross Margin and Non-GAAP Operating Profit SAN DIEGO-(BUSINESS WIRE)-May 7, 2013-Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today reported results for its first quarter ended March 29, 2013. First Quarter Highlights Net sales were $84.8 million, down 9.9% fr |
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| May 7, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 7, 2013 Date of Report (Date of earliest event reported) PULSE ELECTRONICS CORPORATION (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Commi |
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| April 15, 2013 |
- PULSE ELECTRONICS CORPORATION DEF 14A 5-17-2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement oConfidential, for Use of the Commission Only (as permitted by Rul |
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| April 4, 2013 |
- PULSE ELECTRONICS CORPORATION PRE 14A 5-17-2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant R Filed by a Party other than the Registrant £ Check the appropriate box: R Preliminary Proxy Statement £ Confidential, for Use of the Commission Only (as permitted by Ru |
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| March 14, 2013 |
- PULSE ELECTRONICS CORPORATION S-8 POS 3-14-2013 As filed with the Securities and Exchange Commission on March 14, 2013 Registration No. |
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| March 13, 2013 |
Exhibit 10.36(2) PULSE ELECTRONICS CORPORATION PULSE ELECTRONICS (SINGAPORE) PTE LTD 12220 World Trade Drive San Diego, CA 92128 JPMorgan Chase Bank, NA. 277 Park Avenue, Floor 23 New York, NY 10172 Attention: Deborah Winkler OCM PE Holdings, L.P. 333 South Grand Avenue, 28th Floor Los Angeles, CA 90071 Attention: Kenneth Liang March [], 2013 Re: Second Amendment Letter Agreement relating to certa |
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| March 13, 2013 |
OCM PE Holdings, L.P. 333 South Grand Avenue, 28th Floor Los Angeles, CA 90071 Exhibit 10.40 OCM PE Holdings, L.P. 333 South Grand Avenue, 28th Floor Los Angeles, CA 90071 March 11, 2013 Pulse Electronics Corporation Pulse Electronics (Singapore) Pte Ltd 12220 World Trade Drive San Diego, CA 92128 Attention: Drew Moyer Forbearance and Commitment Letter Ladies and Gentlemen: Reference is made to the Credit Agreement, dated as of February 28, 2008, as amended and restated as o |
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| March 13, 2013 |
Exhibit 10.36(1) PULSE ELECTRONICS CORPORATION PULSE ELECTRONICS (SINGAPORE) PTE LTD 12220 World Trade Drive San Diego, CA 92128 JPMorgan Chase Bank, NA. 277 Park Avenue, Floor 23 New York, NY 10172 Attention: Deborah Winkler OCM PE Holdings, L.P. Oaktree Opportunities Fund VIIIb Delaware, L.P. Oaktree Value Opportunities Fund Holdings, L.P. 333 South Grand Avenue, 28th Floor Los Angeles, CA 90071 |
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| March 13, 2013 |
UNITED STATES SECURITIES & 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 December 28, 2012 or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 1-5375 PULSE ELECTRONICS CORPORATION (Ex |
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| March 13, 2013 |
Exhibit 10.30 (2) PULSE ELECTRONICS CORPORATION 2012 Omnibus Incentive Compensation Plan Restricted Stock Units Award Certificate – Non-Employee Director This Restricted Stock Units Award Certificate (the “Award Certificate”) memorializes the grant on , 20 (the “Grant Date”) by PULSE ELECTRONICS CORPORATION (the "Company") to ("Director") of the number of Restricted Stock Units (the "Units") indic |
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| March 13, 2013 |
Pulse Electronics Corporation Directors Compensation Policy ARTICLE I. Exhibit 10.30(1) Pulse Electronics Corporation Directors Compensation Policy ARTICLE I. PURPOSE This Policy (“the Policy”) has been adopted by the Board of Directors pursuant to its authority under the Pulse Electronics Corporation’s Amended and Restated Articles of Incorporation, its Amended and Restated By-Laws, and Article 3 of the Pulse Electronics Corporation 2012 Omnibus Incentive Compensati |
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| March 13, 2013 |
Exhibit 10.39 EXECUTION VERSION VOTING AND SUPPORT AGREEMENT THIS VOTING AND SUPPORT AGREEMENT, dated as of March 11, 2013 (the “Agreement”), among PULSE ELECTRONICS CORPORATION, a Pennsylvania corporation (“Pulse”) and the undersigned stockholders (each, a “Holder”) of Pulse. RECITALS: WHEREAS, Pulse, the investors signatory thereto (the “Investors”)and Pulse Electronics (Singapore) Pte. Ltd., ha |
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| March 13, 2013 |
AMENDMENT NO. 1 TO INVESTMENT AGREEMENT Exhibit 10.37(1) EXECUTION VERSION AMENDMENT NO. 1 TO INVESTMENT AGREEMENT This Amendment No. 1 (this ?Amendment?) to the Investment Agreement dated as of November 7, 2012 (the ?Investment Agreement?) is made as of the 11th day of March, 2013, and, solely with respect to Section 2, to be effective as of the Effective Time (as defined below) by and among Pulse Electronics Corporation, Pulse Electro |
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| March 13, 2013 |
Subsidiaries of the Registrant Exhibit 21 Subsidiaries of the Registrant Pulse Electronics Corporation, which has no parent, has the following significant subsidiaries: Name Incorporation Percent Owned AMI Doduco, Inc. |
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| March 11, 2013 |
Exhibit 99.1 For Immediate Release PULSE ELECTRONICS CORPORATION REPORTS FOURTH QUARTER RESULTS Notable Gross Margin Improvements; Substantial Improvement in Wireless Operating Results SAN DIEGO, March 11, 2013—Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today reported results for its fourth quarter and fiscal year ended December 28, 2012. Fourth Quarter |
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| March 11, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 11, 2013 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Co |
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| February 11, 2013 |
PULS / PGIM Ultra Short Bond ETF / VANGUARD GROUP INC Passive Investment pulseelectronicscorp.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1 )* Name of issuer: Pulse Electronics Corp Title of Class of Securities: COMMON STOCK CUSIP Number: 74586W106 Date of Event Which Requires Filing of this Statement: December 31, 2012 Check the appropri |
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| January 22, 2013 |
AMENDED AND RESTATED ARTICLES OF INCORPORATION PULSE ELECTRONICS CORPORATION EXHIBIT 3.1 AMENDED AND RESTATED ARTICLES OF INCORPORATION OF PULSE ELECTRONICS CORPORATION The Amended and Restated Articles of Incorporation of Pulse Electronics Corporation (the “Corporation”) are hereby amended and restated in their entirety to read as follows: FIRST: The name of the Corporation is: Pulse Electronics Corporation. SECOND: The name of the commercial registered office provider an |
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| January 22, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 21, 2013 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) ( |
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| January 22, 2013 |
EXHIBIT 3.2 STATEMENT WITH RESPECT TO SHARES OF PULSE ELECTRONICS CORPORATION Pursuant to Section 1522 of the Pennsylvania Business Corporation Law WHEREAS, pursuant to the Articles of Incorporation, Pulse Electronics Corporation, a Pennsylvania corporation (the “Corporation”), is authorized to issue up to 275,000,000 shares of common stock, par value $0.125 per share (the “Common Stock”) and 1,00 |
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| December 17, 2012 |
- PULSE ELECTRONICS CORPORATION DEF 14A 1-21-2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confide |
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| December 5, 2012 |
- PULSE ELECTRONICS CORPORATION PRE 14A 1-21-2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confide |
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| November 23, 2012 |
EX-99.1 2 eh1201225ex9901.htm EXHIBIT 1 EXHIBIT 1 JOINT FILING AGREEMENT Pursuant to Rule 13(d)-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on Schedule 13D is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of t |
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| November 23, 2012 |
EXHIBIT 2 Units for Convertible Notes are aggregate principal amounts in dollars. Units for Purchase Price per Unit for Convertible Notes are dollars per face-value $1,000 aggregate principal amount. Purchaser Security Date Units Purchase Price per Unit Oaktree Opportunities Fund VIIIb Delaware, L.P. Common Stock 9/21/2012 210,900 0.6676 Oaktree Opportunities Fund VIIIb Delaware, L.P. Common Stock |
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| November 23, 2012 |
EXHIBIT 4 EXECUTION VERSION CONTRIBUTION AGREEMENT Contribution Agreement (this “Agreement”), dated as of November 15, 2012, by and among OCM PE Holdings, L. |
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| November 23, 2012 |
EXHIBIT 5 EXECUTION VERSION REGISTRATION RIGHTS AGREEMENT among Pulse Electronics Corporation and OCM PE Holdings, L. |
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| November 23, 2012 |
PULS / PGIM Ultra Short Bond ETF / OCM PE Holdings, Inc. - SCHEDULE 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Pulse Electronics Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 74586W106 (CUSIP Number) Todd E. |
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| November 16, 2012 |
Exhibit 10.36 CREDIT AGREEMENT dated as of February 28, 2008, as amended and restated as of February 19, 2009, as further amended and restated as of August 5, 2011, as further amended and restated as of March 9, 2012, and as further amended and restated as of November 7, 2012 among PULSE ELECTRONICS CORPORATION and CERTAIN SUBSIDIARIES as Borrowers, JPMORGAN CHASE BANK, N.A., as the Administrative |
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| November 16, 2012 |
Exhibit 10.37 INVESTMENT AGREEMENT dated as of November 7, 2012, among Pulse Electronics Corporation, Technitrol Delaware, Inc., Pulse Electronics (Singapore) Pte. Ltd., Oaktree Opportunities Fund VIIIb Delaware, L.P., Oaktree Value Opportunities Fund Holdings, L.P., and OCM PE Holdings, L.P. TABLE OF CONTENTS Page ARTICLE I Closing 2 Section 1.01. Purchase of Term A Notes and Warrant for Term A L |
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| November 16, 2012 |
Exhibit 10.36 CREDIT AGREEMENT dated as of February 28, 2008, as amended and restated as of February 19, 2009, as further amended and restated as of August 5, 2011, as further amended and restated as of March 9, 2012, and as further amended and restated as of November 7, 2012 among PULSE ELECTRONICS CORPORATION and CERTAIN SUBSIDIARIES as Borrowers, JPMORGAN CHASE BANK, N.A., as the Administrative |
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| November 16, 2012 |
Exhibit 10.37 INVESTMENT AGREEMENT dated as of November 7, 2012, among Pulse Electronics Corporation, Technitrol Delaware, Inc., Pulse Electronics (Singapore) Pte. Ltd., Oaktree Opportunities Fund VIIIb Delaware, L.P., Oaktree Value Opportunities Fund Holdings, L.P., and OCM PE Holdings, L.P. TABLE OF CONTENTS Page ARTICLE I Closing 2 Section 1.01. Purchase of Term A Notes and Warrant for Term A L |
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| November 16, 2012 |
Merger Prospectus - PULSE ELECTRONICS CORPORATION 8-K 11-7-2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 7, 2012 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) ( |
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| November 16, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 7, 2012 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) ( |
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| November 16, 2012 |
Exhibit 10.38 VOTING AND SUPPORT AGREEMENT THIS VOTING AND SUPPORT AGREEMENT, dated as of November 7, 2012 (the “Agreement”), among PULSE ELECTRONICS CORPORATION, a Pennsylvania corporation (“Pulse”) and the undersigned stockholders (each, a “Holder”) of Pulse. RECITALS: WHEREAS, Pulse, Technitrol Delaware, Inc., the investors signatory thereto (the “Investors”)and solely for purposes of Sections |
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| November 16, 2012 |
Exhibit 10.38 VOTING AND SUPPORT AGREEMENT THIS VOTING AND SUPPORT AGREEMENT, dated as of November 7, 2012 (the “Agreement”), among PULSE ELECTRONICS CORPORATION, a Pennsylvania corporation (“Pulse”) and the undersigned stockholders (each, a “Holder”) of Pulse. RECITALS: WHEREAS, Pulse, Technitrol Delaware, Inc., the investors signatory thereto (the “Investors”)and solely for purposes of Sections |
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| November 7, 2012 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x The Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 28, 2012, or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission File No. 1-5375 PULSE ELECTRONICS |
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| November 7, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 7, 2012 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) ( |
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| November 7, 2012 |
Exhibit 99.1 For Immediate Release PULSE ELECTRONICS CORPORATION REPORTS THIRD QUARTER RESULTS Revenue and Operating Profit within Guidance; Secures $102.7 Million Investment from Affiliates of Funds Managed by Oaktree Capital Management, L.P.; Company Recapitalizes Using NYSE Financial Viability Exception SAN DIEGO, November 7, 2012—Pulse Electronics Corporation (NYSE:PULS), a leading provider of |
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| October 17, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 October 10, 2012 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) ( |
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| October 17, 2012 |
PULSE ELECTRONICS RECEIVES SECOND NOTICE OF NON-COMPLIANCE FROM NYSE EXHIBIT 99.1 PULSE ELECTRONICS RECEIVES SECOND NOTICE OF NON-COMPLIANCE FROM NYSE SAN DIEGO, October 16, 2012—Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today announced that on October 10, 2012, it received notice from the New York Stock Exchange (“NYSE”) that the Company is not in compliance with a NYSE standard for continued listing of its common stoc |
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| October 9, 2012 |
SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| October 3, 2012 |
PULSE ELECTRONICS RECEIVES NOTICE OF NON-COMPLIANCE FROM NYSE Exhibit 99.1 For Immediate Release PULSE ELECTRONICS RECEIVES NOTICE OF NON-COMPLIANCE FROM NYSE SAN DIEGO, October 3, 2012—Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today announced that on September 27, 2012, it received notice from the New York Stock Exchange (“NYSE”) that the Company is not in compliance with a NYSE standard for continued listing of |
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| October 3, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 September 27, 2012 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) |
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| September 13, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 September 13, 2012 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) |
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| September 13, 2012 |
EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 Pulse Electronics Corporation CL King 10th Annual Best Ideas Conference Ralph Faison, Chairman, President & CEO Drew Moyer, CFO September 13, 2012 2 Administrative Items Safe Harbor This presentation contains statements, including projections of future business objectives and financial results, that are "forward-looking" within the meaning of the Priva |
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| September 5, 2012 |
Schedule 13D Amendment No. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* PULSE ELECTRONICS CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 74586W106 (CUSIP Number) Becker Drapkin Management, L.P. Attn: Steven R. Becker 500 Crescent Court, Suite 230 Dallas, Texas 75201 (214 |
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| August 8, 2012 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x The Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 29, 2012, or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission File No. 1-5375 PULSE ELECTRONICS CORPO |
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| August 7, 2012 |
Exhibit 99.1 For Immediate Release PULSE ELECTRONICS CORPORATION REPORTS SECOND QUARTER RESULTS Revenue and Operating Profit Within Guidance; Asset Sales and Refinancing Efforts Continue SAN DIEGO, August 7, 2012—Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today reported results for its second quarter ended June 29, 2012. Second Quarter Highlights · Net |
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| August 7, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 7, 2012 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Co |
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| August 3, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 July 30, 2012 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Com |
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| August 3, 2012 |
PULSE ELECTRONICS CORPORATION 12220 World Trade Drive San Diego, California 92128 EX-10.27.1 2 ex1027-1.htm EXHIBIT 10.27.1 Exhibit 10.27.1 PULSE ELECTRONICS CORPORATION 12220 World Trade Drive San Diego, California 92128 July 30, 2012 Mr. Drew A. Moyer 922 Intrepid Court Del Mar, CA 92014 Dear Drew, This letter confirms the terms of your continued employment with Pulse Electronics Corporation (“Pulse” or the “Company”). Your employment from and after July 30, 2012 will continu |
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| August 3, 2012 |
Exhibit 10.32.1 EXHIBIT A1 ELIGIBILITY TO PARTICIPATE IN THE SEVERANCE POLICY From and as of April 6, 2012: John R. D. Dickson John Houston From and as of July 30, 2012: Alan H. Benjamin Drew A. Moyer 1 As adopted by the Compensation Committee on April 6, 2012, and as amended as of July 30, 2012. |
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| August 3, 2012 |
PULSE ELECTRONICS CORPORATION 12220 World Trade Drive San Diego, California 92128 EX-10.29.1 3 ex1029-1.htm EXHIBIT 10.29.1 Exhibit 10.29.1 PULSE ELECTRONICS CORPORATION 12220 World Trade Drive San Diego, California 92128 July 30, 2012 Mr. Alan H. Benjamin 1486 Paint Mountain Road Elfin Forest, CA 92029 Dear Alan, This letter confirms the terms of your continued employment with Pulse Electronics Corporation (“Pulse” or the “Company”). Your employment from and after July 30, 201 |
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| June 28, 2012 |
- PULSE ELECTRONIC CORP 11-K 12-31-2011 United States Securities and Exchange Commission Washington, D.C. 20549 FORM 11-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2011 OR o TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-5375 Pulse Electronics Corporation |
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| June 27, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 27, 2012 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Com |
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| June 27, 2012 |
Exhibit 99.1 For Immediate Release PULSE ELECTRONICS CORPORATION SCHEDULES SECOND QUARTER EARNINGS RELEASE AND CONFERENCE CALL Provides Update on Asset Sales, Refinancing, and Second Quarter 2012 Outlook SAN DIEGO—June 27, 2012— Pulse Electronics Corporation (NYSE: PULS), a leading provider of electronic components, today announced that it plans to report financial results for its second quarter o |
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| June 14, 2012 |
- PULSE ELECTRONICS CORPORATION S-8 06-14-2012 As filed with the Securities and Exchange Commission on June 14, 2012 Registration No. |
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| June 7, 2012 |
Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* PULSE ELECTRONICS CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 74586W106 (CUSIP Number) Becker Drapkin Management, L.P. Attn: Steven R. Becker 500 Crescent Court, Suite 230 Dallas, Texas 75201 (214) 756-6016 with a |
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| June 7, 2012 |
POWER OF ATTORNEY June 7, 2012 EX-24.1 2 d364046dex241.htm POWER OF ATTORNEY Exhibit 24.1 POWER OF ATTORNEY June 7, 2012 Know all men by these presents, that each of Becker Drapkin Management, L.P., Becker Drapkin Partners (QP), L.P., Becker Drapkin Partners, L.P., BC Advisors, LLC, Steven R. Becker and Matthew A. Drapkin hereby constitutes and appoints Ashley Sekimoto, as the true and lawful attorney-in-fact and agent of such |
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| June 7, 2012 |
JOINT FILING AGREEMENT June 7, 2012 Joint Filing Agreement Exhibit 99.1 JOINT FILING AGREEMENT June 7, 2012 Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule o |
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| May 24, 2012 |
PULSE ELECTRONICS CORPORATION 2012 OMNIBUS INCENTIVE COMPENSATION PLAN TABLE OF CONTENTS Exhibit 10.35 PULSE ELECTRONICS CORPORATION 2012 OMNIBUS INCENTIVE COMPENSATION PLAN TABLE OF CONTENTS PAGE ARTICLE 1 Effective Date, Objectives and Duration 1 Section 1.1 Effective Date of the Plan 1 Section 1.2 Objectives of the Plan 1 Section 1.3 Duration of the Plan 1 ARTICLE 2 Definitions 1 Section 2.1 “Affiliate” 1 Section 2.2 “Award 1 Section 2.3 “Award Agreement 1 Section 2.4 “Board 1 Sect |
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| May 24, 2012 |
8-K 1 form8k.htm PULSE ELECTRONICS CORPORATION 8-K 5-18-2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 18, 2012 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23 |
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| May 8, 2012 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x The Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 30, 2012, or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission File No. 1-5375 PULSE ELECTRONICS CORP |
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| May 8, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 8, 2012 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Commi |
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| May 8, 2012 |
EX-99.1 2 ex991.htm EXHIBIT 99.1 EXHIBIT 99.1 For Immediate Release PULSE ELECTRONICS CORPORATION REPORTS FIRST QUARTER RESULTS Continued Growth in Wireless; Progress in Delevering Actions SAN DIEGO, May 8, 2012—Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today reported results for its first quarter ended March 30, 2012. First Quarter Highlights ● Net sa |
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| April 12, 2012 |
Pulse Electronics Corporation Executive Severance Policy ARTICLE I. Exhibit 10.32 Pulse Electronics Corporation Executive Severance Policy ARTICLE I. PURPOSE The Pulse Electronics Executive Severance Policy (“the Policy”) is established to provide eligible executives of Pulse Electronics Corporation (the “Company”) or its wholly-owned subsidiaries (collectively, the “Employers”) who incur an Involuntary Termination of Employment (as defined below) with severance p |
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| April 12, 2012 |
PULSE ELECTRONICS CORPORATION 12220 World Trade Drive San Diego, California 92128 Exhibit 10.34 PULSE ELECTRONICS CORPORATION 12220 World Trade Drive San Diego, California 92128 April 6, 2012 Mr. John R. D. Dickson PO Box 1985 8049 Camino de Arriba Rancho Santa Fe, CA 92067 Dear John, This letter supersedes your relocation offer letter from Pulse Electronics Corporation (“Pulse” or the “Company”) dated March 23, 2011, as it may have been amended from time to time, which, except |
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| April 12, 2012 |
PULSE ELECTRONICS CORPORATION 12220 World Trade Drive San Diego, California 92128 Exhibit 10.33 PULSE ELECTRONICS CORPORATION 12220 World Trade Drive San Diego, California 92128 April 6, 2012 Mr. John Houston 17037 Castello Circle San Diego, CA 92127 Dear John, This letter confirms the terms of your continued employment with Pulse Electronics Corporation (“Pulse” or the “Company”). Your employment after April 6, 2012 will continue on an at will basis. Your title will remain as |
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| April 12, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 6, 2012 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Com |
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| April 11, 2012 |
- PULSE ELECTRONICS DEF 14A 5-18-2012 DEF 14A 1 formdef14a.htm PULSE ELECTRONICS DEF 14A 5-18-2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant o Check |
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| March 30, 2012 |
- PULSE ELECTRONICS CORPORATION 11-K 12-31-2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2011 o TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-5375 A: Full title of the plan and the |
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| March 14, 2012 |
UNITED STATES SECURITIES & 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 December 30, 2011 or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 1-5375 PULSE ELECTRONICS CORPORATION (Ex |
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| March 14, 2012 |
PULSE ELECTRONICS CORPORATION 2001 STOCK OPTION PLAN STOCK OPTION AGREEMENT Exhbit 10.3(1) PULSE ELECTRONICS CORPORATION 2001 STOCK OPTION PLAN STOCK OPTION AGREEMENT THIS STOCK OPTION AGREEMENT (this “Agreement”) is made and entered into as of this day of , 201 by and between PULSE ELECTRONICS CORPORATION, a Pennsylvania corporation (the “Company”) and (“Optionee”). Background The Company adopted the 2001 Stock Option Plan, as amended and restated effective November 8, 2 |
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| March 14, 2012 |
EXHIBIT 10.6(1) EXECUTIVE COPY WARRANT SHARES REGISTRATION RIGHTS AGREEMENT dated as of March 9, 2012, by and among PULSE ELECTRONICS CORPORATION (formerly known as TECHNITROL, INC.) and THE HOLDERS FROM TIME TO TIME OF THE WARRANTS REFERRED TO HEREIN Table of Contents Page ARTICLE I Definitions ARTICLE II Registration Under the Securities Act SECTION 2.01. Demand Registration 5 SECTION 2.02. Unde |
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| March 14, 2012 |
Exhibit 10.5(5) EXECUTION COPY THIRD AMENDMENT AGREEMENT dated as of March 9, 2012 (this “Agreement”), to the Credit Agreement dated as of February 28, 2008, as heretofore amended and restated as of February 19, 2009, as further amended and restated as of August 5, 2011, and as further amended prior to the date hereof (the “Existing Credit Agreement”), among PULSE ELECTRONICS CORPORATION (formerly |
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| March 14, 2012 |
- PULSE ELECTRONIC CORPORATION S-8 3-14-2012 As filed with the Securities and Exchange Commission on March 14, 2012 Registration No. |
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| March 14, 2012 |
Schedule of Board of Director and Committee Fees Effective January 1, 2007 (revised July 1, 2011) Exhibit 10.30 Schedule of Board of Director and Committee Fees Effective January 1, 2007 (revised July 1, 2011) Annual Director Fees Retainer $39,600 (payable quarterly in arrears) Stock $40,000 valued at closing price of TNL on the day immediately prior to the Annual Meeting, payable in a lump sum. Annual Committee Fees (all paid quarterly in arrears) Audit Compensation Governance Chairman $ 22,5 |
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| March 14, 2012 |
Subsidiaries of the Registrant Exhibit 21 Subsidiaries of the Registrant Pulse Electronics Corporation, which has no parent, has the following significant subsidiaries: Name Incorporation Percent Owned AMI Doduco, Inc. |
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| March 14, 2012 |
EXHIBIT 10.6 EXECUTION COPY WARRANT AGREEMENT dated as of March 9, 2012, by and among PULSE ELECTRONICS CORPORATION (formerly known as TECHNITROL, INC.) and THE HOLDERS FROM TIME TO TIME OF THE WARRANTS ISSUED HEREUNDER TABLE OF CONTENTS Page ARTICLE I Definitions ARTICLE II Issuance and Exercise of Warrants SECTION 2.01. Issuance of Warrants; Manner of Exercise; Vesting 6 SECTION 2.02. When Exerc |
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| March 12, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 form8k.htm PULSE ELECTRONICS CORPORATION 8-K 3-12-2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 12, 2012 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 |
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| March 12, 2012 |
Exhibit 99.1 For Immediate Release PULSE ELECTRONICS CORPORATION REPORTS FOURTH QUARTER RESULTS Wireless Sales Increase 43% from Previous Quarter; Company Accelerates its Plan to Delever the Balance Sheet SAN DIEGO, March 12, 2012—Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today reported results for its fourth quarter ended December 30, 2011. Fourth Qua |
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| February 13, 2012 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 Pulse Electronics Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 74586W106 (CUSIP Number) December 31, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fil |
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| February 13, 2012 |
to Schedule 13G Joint Filing Agreement Joint Filing Agreement Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 13, 2012 in connection with their beneficial ownership of Pulse Electronics Corp. |
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| February 13, 2012 |
Identification and Classification of the Subsidiary Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 10, 2012 |
PULS / PGIM Ultra Short Bond ETF / VANGUARD GROUP INC Passive Investment pulseelectronicscorp.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.:0 )* Name of issuer: Pulse Electronics Corp Title of Class of Securities: Common Stock CUSIP Number: 74586W106 Date of Event Which Requires Filing of this Statement: December 31, 2011 Check the appropria |
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| January 27, 2012 |
Financial Statements and Exhibits, Other Events - PULSE ELECTRONICS CORPORATION 8-K 1-25-2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 25, 2012 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) ( |
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| January 27, 2012 |
Exhibit 99.1 PULSE ELECTRONICS CORPORATION SCHEDULES FOURTH QUARTER EARNINGS RELEASE AND CONFERENCE CALL Affirms Its Fourth Quarter 2011 Outlook and Provides Update on Debt Refinancing Activities SAN DIEGO—January 25, 2012— Pulse Electronics Corporation (NYSE: PULS), a leading provider of electronic components, today announced that it plans to report financial results for its fourth quarter on Mar |
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| December 19, 2011 |
EXPLANATION OF RESPONSES: REMARKS: UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| December 16, 2011 |
As filed with the Securities and Exchange Commission on December 16, 2011 Registration No. |
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| November 17, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 11, 2011 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) |
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| November 17, 2011 |
AMENDMENT TO EMPLOYMENT AGREEMENT BETWEEN RALPH E. FAISON AND PULSE ELECTRONICS CORPORATION EXHIBIT 10.31 AMENDMENT TO EMPLOYMENT AGREEMENT BETWEEN RALPH E. FAISON AND PULSE ELECTRONICS CORPORATION WHEREAS, Pulse Electronics Corporation (the “Company”) and Ralph E. Faison (the “Executive”) entered into an employment agreement dated January 4, 2011, as amended as of September 16, 2011 (as amended, the “Agreement”) pursuant to which the Company employed the Executive as the Company’s Presi |
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| November 9, 2011 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x The Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2011, or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission File No. 1-5375 PULSE ELECTRONICS |
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| November 8, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 8, 2011 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) ( |
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| November 8, 2011 |
Exhibit 99.1 For Immediate Release PULSE ELECTRONICS CORPORATION REPORTS THIRD QUARTER RESULTS Strong Turnaround Progress: Wireless Revenue Growth and Expense Reductions SAN DIEGO, November 8, 2011—Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today reported results for its third quarter ended September 30, 2011. Third Quarter Highlights · Net sales were $ |
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| October 31, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 October 28, 2011 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) ( |
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| October 31, 2011 |
AMENDED AND RESTATED PULSE ELECTRONICS CORPORATION (as of October 28, 2011) ARTICLE I Exhibit 3.3 AMENDED AND RESTATED BY-LAWS OF PULSE ELECTRONICS CORPORATION (as of October 28, 2011) ARTICLE I OFFICES Section 1. The location of the registered office of the corporation shall at all times be within the limits of the Commonwealth of Pennsylvania Section 2. The corporation may also have offices at such other places, both within and without the Commonwealth of Pennsylvania, as the boa |
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| October 20, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 October 17, 2011 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) ( |
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| September 20, 2011 |
AMENDMENT TO EMPLOYMENT AGREEMENT BETWEEN RALPH E. FAISON AND PULSE ELECTRONICS CORPORATION Exhibit 10.29 AMENDMENT TO EMPLOYMENT AGREEMENT BETWEEN RALPH E. FAISON AND PULSE ELECTRONICS CORPORATION WHEREAS, Pulse Electronics Corporation (the “Company”) and Ralph E. Faison (the “Executive”) entered into an employment agreement dated January 4, 2011 (the “Agreement”) pursuant to which the Company employed the Executive as the Company’s President and Chief Executive Officer; and WHEREAS, Se |
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| September 20, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 September 16, 2011 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) |
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| August 10, 2011 |
EXHIBIT 10.5(3) EXECUTION VERSION SECOND AMENDMENT AGREEMENT dated as of August 5, 2011 (this “Agreement”), to the Credit Agreement dated as of February 28, 2008, as heretofore amended and restated as of February 19, 2009, and as further amended prior to the date hereof (the “Existing Credit Agreement”), among PULSE ELECTRONICS CORPORATION (formerly known as Technitrol, Inc.), a Pennsylvania corpo |
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| August 10, 2011 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x The Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the six months ended July 1, 2011, 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 No. 1-5375 PULSE ELECTRONICS CORPORATION |
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| August 9, 2011 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 9, 2011 Date of Report (Date of earliest event reported) Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Pennsylvania 001-05375 23-1292472 (State or other jurisdiction of incorporation) (Co |
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| August 9, 2011 |
Exhibit 99.1 For Immediate Release PULSE ELECTRONICS CORPORATION REPORTS SECOND QUARTER RESULTS Company’s Strong Progress on Four Strategic Turnaround Objectives Continues; Further Actions to Reduce Costs Detailed; Sales to New Antenna Customers Were 59% of Wireless Segment Sales SAN DIEGO, August 9, 2011—Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today |
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| June 2, 2011 |
e8vkza UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 8-K/A Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 31, 2011 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Commission File Number: 001-05375 PA (State or other jurisdiction of incorporation) 23-1292472 (IRS Employer Identification No. |
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| May 24, 2011 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 24, 2011 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Commission File Number: 001-05375 PA 23-1292472 (State or other jurisdiction of (IRS Employer incorporation) Identification No. |
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| May 24, 2011 |
AMENDED AND RESTATED ARTICLES OF INCORPORATION OF PULSE ELECTRONICS CORPORATION exv3w1 Exhibit 3.1 AMENDED AND RESTATED ARTICLES OF INCORPORATION OF PULSE ELECTRONICS CORPORATION The above-stated corporation (hereinafter, the “Corporation”) hereby desires to amend and restate its Articles of Incorporation in their entirety as permitted under Section 1911(a)(1) and (5) of the Pennsylvania Business Corporation Law of 1988, as amended (the “BCL”) as follows: FIRST: The name of t |
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| May 24, 2011 |
AMENDED AND RESTATED PULSE ELECTRONICS CORPORATION ARTICLE I Exhibit 3.3 AMENDED AND RESTATED BY-LAWS OF PULSE ELECTRONICS CORPORATION ARTICLE I OFFICES Section 1. The principal office shall be at 1210 Northbrook Drive, Suite 470, in Trevose, Commonwealth of Pennsylvania. The location of the principal office shall, at all times, be within the limits of the Commonwealth of Pennsylvania. Section 2. The corporation may also have offices at such other places, b |
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| May 19, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 19, 2011 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Commission File Number: 001-05375 PA (State or other jurisdiction of incorporation) 23-1292472 (IRS Employer Identification No. |
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| May 11, 2011 |
defa14a UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| May 10, 2011 |
UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x The Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the three months ended April 1, 2011, or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission File No. 1-5375 PULSE ELECTRONICS CORPORATI |
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| May 9, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defi |
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| May 5, 2011 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2011 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Commission File Number: 001-05375 PA (State or other jurisdiction of incorporation) 23-1292472 (IRS Employer Identification No. |
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| May 5, 2011 |
defa14a UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| May 4, 2011 |
defa14a UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| May 4, 2011 |
defa14a UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| May 3, 2011 |
Exhibit 99.1 Bel Fuse Issues Shareholder Presentation and Mails Letter in Connection with Pulse Electronics' Upcoming Annual Meeting of Shareholders Urges Shareholders to Vote the GOLD Proxy Card FOR the Election of Two Highly-Qualified, Independent Director Nominees JERSEY CITY, N.J.- Bel Fuse Inc. (NASDAQ:BELFA) and (NASDAQ:BELFB - News) today announced that it has issued a shareholder presentat |
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| May 3, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2011 BEL FUSE INC. (Exact name of registrant as specified in its charter) New Jersey 0-11676 22-1463699 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 3, 2011 |
VOTE YOUR GOLD PROXY CARD TODAY Exhibit 99.2 VOTE YOUR GOLD PROXY CARD TODAY May 3, 2011 Dear Pulse Electronics Shareholder: DO NOT BE MISLED ABOUT THE FACTS DEMAND ACCOUNTABILITY FROM THE PULSE BOARD SEND A CLEAR MESSAGE THAT THE STATUS QUO IS NO LONGER ACCEPTABLE The Board of Directors of Pulse Electronics has recently made statements regarding Bel?s solicitation of proxies to elect two independent nominees to the Pulse Board |
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| May 3, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement ? Confide |
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| May 3, 2011 |
exv99w1 Exhibit 99.1 For Immediate Release PULSE ELECTRONICS CORPORATION REPORTS FIRST QUARTER RESULTS Company Executing Cost and Expense Reduction Plan; Details Actions That are Expected to Result in $6.6 Million of Annual Savings PHILADELPHIA, May 3, 2011—Pulse Electronics Corporation (NYSE:PULS), a leading provider of electronic components, today reported results for its first quarter ended Apr |
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| May 3, 2011 |
e8vk UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2011 Pulse Electronics Corporation (Exact name of registrant as specified in its charter) Commission File Number: 001-05375 PA 23-1292472 (State or other jurisdiction of (IRS Employer incorporation) Identification No. |
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| April 28, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement ? Confide |
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| April 28, 2011 |
Bel Reports First Quarter Results Exhibit 99.1 Bel Reports First Quarter Results JERSEY CITY, N.J. - Bel Fuse Inc. (NASDAQ:BELFA) (NASDAQ:BELFB) today announced preliminary unaudited financial results for the first quarter of 2011. First quarter highlights ? Sales increased 27% to a first quarter record $71.4 million compared to $56.1 million for the first quarter of 2010. ? Net earnings increased to $3.2 million versus a net loss |
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| April 28, 2011 |
Exhibit 99.2 Conference Call Script April 28, 2011 Dan Thank you operator, and a welcome to our Conference call to review Bel’s first quarter 2011 results. Before we start, I would like to hand over to Colin Dunn, our Vice President of Finance. Colin Thank you Dan. Before we begin, I would like to read the following rather lengthy statements: Except for historical information contained in this fir |
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| April 28, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2011 BEL FUSE INC. (Exact name of registrant as specified in its charter) New Jersey 0-11676 22-1463699 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| April 27, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2011 BEL FUSE INC. (Exact name of registrant as specified in its charter) New Jersey 0-11676 22-1463699 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| April 27, 2011 |
Exhibit 99.1 |
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| April 27, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement ¨ Confide |
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| April 22, 2011 |
defa14a UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| April 20, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement ¨ Confide |
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| April 20, 2011 |
Exhibit 99.1 |
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| April 20, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 20, 2011 BEL FUSE INC. (Exact name of registrant as specified in its charter) New Jersey 0-11676 22-1463699 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| April 15, 2011 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 15, 2011 PULSE ELECTRONICS CORPORATION (Exact name of registrant as specified in its charter) Commission File Number: 001-05375 PA (State or other jurisdiction of incorporation) |
