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Biolase, Inc – ‘10-K’ for 12/31/13 – ‘R52’

On:  Monday, 3/17/14, at 4:22pm ET   ·   For:  12/31/13   ·   Accession #:  1564590-14-856   ·   File #:  0-19627

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/17/14  Biolase, Inc                      10-K       12/31/13   76:14M                                    ActiveDisclosure/FA

Annual Report   —   Form 10-K   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML   1.28M 
 2: EX-4        Ex-4.4                                              HTML     29K 
 3: EX-10       Ex-10.42                                            HTML     61K 
 4: EX-21       Ex-21.1                                             HTML     21K 
 5: EX-23       Ex-23.1                                             HTML     23K 
 6: EX-31       Ex-31.1                                             HTML     29K 
 7: EX-31       Ex-31.2                                             HTML     29K 
 8: EX-32       Ex-32.1                                             HTML     25K 
 9: EX-32       Ex-32.2                                             HTML     25K 
53: R1          Document and Entity Information                     HTML     53K 
43: R2          Consolidated Balance Sheets                         HTML    144K 
51: R3          Consolidated Balance Sheets (Parenthetical)         HTML     51K 
55: R4          Consolidated Statements Of Operations And           HTML    107K 
                Comprehensive Loss                                               
71: R5          Consolidated Statements Of Shareholders' Equity     HTML    101K 
                (Deficit)                                                        
45: R6          Consolidated Statements Of Cash Flows               HTML    176K 
50: R7          Basis of Presentation                               HTML     55K 
39: R8          Summary of Significant Accounting Policies          HTML    152K 
30: R9          Supplementary Balance Sheet Information             HTML    122K 
72: R10         Intangible Assets and Goodwill                      HTML     92K 
57: R11         Lines of Credit and Other Borrowings                HTML     44K 
56: R12         Income Taxes                                        HTML    190K 
62: R13         Commitments and Contingencies                       HTML     56K 
63: R14         Stockholders' Equity                                HTML    274K 
61: R15         Segment Information                                 HTML     49K 
64: R16         Concentrations                                      HTML     26K 
52: R17         Subsequent Events                                   HTML     38K 
54: R18         Schedule II-Consolidated Valuation and Qualifying   HTML     88K 
                Accounts and Reserves                                            
60: R19         Accounting Policies (Policies)                      HTML    306K 
76: R20         Summary of Significant Accounting Policies          HTML    109K 
                (Tables)                                                         
67: R21         Supplementary Balance Sheet Information (Tables)    HTML    129K 
47: R22         Intangible Assets and Goodwill (Tables)             HTML     83K 
58: R23         Income Taxes (Tables)                               HTML    183K 
49: R24         Commitments and Contingencies (Tables)              HTML     31K 
24: R25         Stockholders' Equity (Tables)                       HTML    229K 
68: R26         Segment Information (Tables)                        HTML     41K 
73: R27         Basis of Presentation - Additional Information      HTML     52K 
                (Detail)                                                         
34: R28         Estimated Useful Lives of Property, Plant and       HTML     28K 
                Equipment (Detail)                                               
33: R29         Changes in Initial Product Warranty Accrual and     HTML     41K 
                Expenses Under Initial and Extended Warranties                   
                (Detail)                                                         
37: R30         Classification of Compensation Expense Associated   HTML     32K 
                with Share-Based Payments (Detail)                               
38: R31         Assumptions Used in Estimating Fair Value of Stock  HTML     35K 
                Options Granted (Detail)                                         
40: R32         Summary of Significant Accounting Policies -        HTML     57K 
                Additional Information (Detail)                                  
22: R33         Components of Accounts Receivable, Net of           HTML     31K 
                Allowance (Detail)                                               
65: R34         Components of Inventory (Detail)                    HTML     34K 
46: R35         Summary of Property, Plant, and Equipment (Detail)  HTML     45K 
48: R36         Components of Accrued Liabilities (Detail)          HTML     51K 
27: R37         Summary of Deferred Revenue (Detail)                HTML     40K 
75: R38         Supplementary Balance Sheet Information -           HTML     48K 
                Additional Information (Detail)                                  
16: R39         Intangible Assets and Related Accumulated           HTML     56K 
                Amortization (Detail)                                            
41: R40         Intangible Assets and Goodwill - Additional         HTML     44K 
                Information (Detail)                                             
70: R41         Lines of Credit and Other Borrowings - Additional   HTML    137K 
                Information (Detail)                                             
26: R42         Summary of Income Tax Current and Deferred          HTML     69K 
                Provision (Benefit) (Detail)                                     
32: R43         Federal Income Tax Provision Compared With          HTML     63K 
                Statutory Rates (Detail)                                         
36: R44         Summary of Net Deferred Tax Assets and Net          HTML     87K 
                Deferred Tax Liabilities (Detail)                                
44: R45         Summary of Unrecognized Tax Benefits (Detail)       HTML     31K 
21: R46         Income Taxes - Additional Information (Detail)      HTML     58K 
29: R47         Commitments and Contingencies - Additional          HTML     41K 
                Information (Detail)                                             
18: R48         Future Minimum Rental Commitments Under Operating   HTML     45K 
                Lease Agreements (Detail)                                        
69: R49         Summary of Option Activity (Detail)                 HTML     81K 
25: R50         Options Outstanding and Exercisable (Detail)        HTML     70K 
66: R51         Cash Proceeds Along with Fair Value Disclosures     HTML     41K 
                Related to Grants Exercises and Vesting Options                  
                (Detail)                                                         
28: R52         Stockholders' Equity - Additional Information       HTML    251K 
                (Detail)                                                         
42: R53         Summary of Net Revenue by Geographic Location       HTML     27K 
                (Detail)                                                         
17: R54         Segment Information - Additional Information        HTML     32K 
                (Detail)                                                         
20: R55         Concentrations - Additional Information (Detail)    HTML     36K 
35: R56         Subsequent Events - Additional Information          HTML     67K 
                (Detail)                                                         
23: R57         Consolidated Valuation and Qualifying Accounts and  HTML     36K 
                Reserves (Detail)                                                
74: XML         IDEA XML File -- Filing Summary                      XML    111K 
19: EXCEL       IDEA Workbook of Financial Reports                  XLSX    190K 
31: EXCEL       IDEA Workbook of Financial Reports (.xls)            XLS   2.05M 
10: EX-101.INS  XBRL Instance -- biol-20131231                       XML   2.69M 
12: EX-101.CAL  XBRL Calculations -- biol-20131231_cal               XML    200K 
13: EX-101.DEF  XBRL Definitions -- biol-20131231_def                XML   1.08M 
14: EX-101.LAB  XBRL Labels -- biol-20131231_lab                     XML   1.53M 
15: EX-101.PRE  XBRL Presentations -- biol-20131231_pre              XML   1.21M 
11: EX-101.SCH  XBRL Schema -- biol-20131231                         XSD    220K 
59: ZIP         XBRL Zipped Folder -- 0001564590-14-000856-xbrl      Zip    215K

‘R52’   —   Stockholders’ Equity – Additional Information (Detail)

This is an IDEA Financial Report.  [ Alternative Formats ]

 
v2.4.0.8
Stockholders' Equity - Additional Information (Detail) (USD $)
 3 Months Ended 12 Months Ended 12 Months Ended 1 Months Ended 0 Months Ended 1 Months Ended 12 Months Ended 1 Months Ended 1 Months Ended 12 Months Ended 1 Months Ended 1 Months Ended 12 Months Ended 1 Months Ended
Stock repurchase program
Stock repurchase program
June 2011 Securities Purchase Agreement
Coo
Consultant
Sun Dental Warrant
2013 IR Warrant
CMR Warrant
2012 IR Warrant
2010 IR Warrant
2010 IR Warrant
Valam First Tranche
Valam
Original Agreed Price
Fda Clearance
Second Ent Laser
Third Ent Laser
First Tranche
2010 IR Warrant
Mar. 23, 2013 Maximum Second Tranche CMR Warrant Cancelled Dec 2013
2010 IR Warrant
2002 Stock Incentive Plan
Subsequent Event
Subsequent Event
Series B Junior Participating Cumulative Preferred Stock
Preferred Stock Purchase Rights Under Stockholder Rights Plan
Preferred Stock Purchase Rights Under Stockholder Rights Plan
Initial
February 2014 Subscription Agreement
Subsequent Event
Maximum
Maximum
Sun Dental Warrant
Maximum
2013 IR Warrant
Maximum
CMR Warrant
Maximum
2012 IR Warrant
Maximum
First Tranche
CMR Warrant
Maximum
Mar. 23, 2013 Maximum Second Tranche CMR Warrant Cancelled Dec 2013
CMR Warrant
Minimum
Preferred Stock Purchase Rights Under Stockholder Rights Plan
Minimum
Preferred Stock Purchase Rights Under Stockholder Rights Plan
Initial
Minimum
Preferred Stock Purchase Rights Under Stockholder Rights Plan
Subsequent Event
Oracle Group
Oracle Group
Northland Securities Inc
Stockholders Equity [Line Items]                                                                                                
Preferred stock, shares authorized 1,000,000       1,000,000 1,000,000                                                   500,000       1,000,000                        
Preferred stock, shares outstanding 0       0 0                                                           0                        
Single person ownership percentage that triggers preferred stock rights                                                                                       15.00% 20.00%      
Sale of assets or earning power that triggers preferred stock rights                                                                                     50.00%          
Exercise price of right, initially                                                                   30.00                            
Preferred stock purchase right expiration date                                                                 Dec. 31, 2018                              
Preferred stock purchase right redemption price per share prior to becoming exercisable                                                                 0.001                              
Common stock, shares issued 37,336,000       37,336,000 33,248,000                                                                                    
Common stock, shares outstanding 35,372,000       35,372,000 31,284,000                                                                                    
Common stock, shares authorized 50,000,000       50,000,000 50,000,000                                                                                    
Treasury stock, shares repurchased 1,964,000       1,964,000 1,964,000                                                                                    
Maximum stock offering price                                                             $ 12,500,000                                  
Issuance of stock, net, shares                         1,625,947                                           1,945,525                       340,000 2,688,172
Common stock issued, price per share                         $ 5.55                                           $ 2.57                     $ 1.80   $ 1.86
Proceeds from equity offering, gross                         9,000,000                                           5,000,000                     612,000   5,000,000
Proceeds from equity offering, net of expenses         5,201,000   17,223,000           8,400,000                                           4,800,000                     578,000   4,600,000
Cost associated with transaction                         622,000                                           208,000                     34,000   408,000
Maximum stock offering price               5,000,000                                                                                
Warrants issued to purchase common stock                         812,974                 165,000                             500,000 60,000 100,000 50,000 50,000 50,000            
Warrants price of warrants                         6.50     5.90 5.10   2.50     4.00 6.00                                   4.50 4.50            
Vesting of Valam warrant                                           30,000   55,000 40,000 40,000                                            
ENT laser revenues required during a 12-month period                                                 5,000,000 10,000,000                                            
Warrants and rights outstanding                                           30,000                                                    
Stock-based compensation         1,609,000 1,600,000 1,528,000                             41,000                             1,000                      
Plan expiration date                         Jun. 29, 2016     Apr. 24, 2014 Apr. 17, 2018 Mar. 22, 2018         Jul. 14, 2020                                                  
Sun Dental Warrant vesting rate per assisted sale                               1,000                                                                
Minimum required closing price of common stock on the NASDAQ in order to exercise                                 $ 7.50 $ 6.00 $ 7.00                                                          
Number of warrant vesting upon early termination                                     25,000                                                          
Allocated Share-based Compensation Expense         1,609,000 1,600,000 1,528,000                       64,000                                                          
Stock based compensation, shares issued                                     9,296                                                          
IR Warrants to purchase common stock granted                                                     50,000 50,000                                        
IR warrants issued to purchase common stock                                                     $ 0.74 $ 0.74                                        
Recognized expense related to the IR Warrants                                       23,000 273,000                                                      
Common stock authorized for issuance under the 2002 Plan                                                         7,750,000                                      
Common stock issued pursuant to options exercised                                                         2,841,000                                      
Options outstanding 4,441,000       4,441,000 3,860,000 3,858,000     4,130,000                                     4,441,000                                      
Options available for future grant                                                         468,000                                      
Stock options granted to COO                           350,000                                                                    
Grant price of stock options         $ 1.82 $ 1.39 $ 2.97             $ 4.00 $ 2.55                                                                  
Stock options expiration date                           Jun. 06, 2020                                                                    
Stock options granted - Consultant                             65,000                                                                  
Vesting period of stock options granted - Consultant                             5 years                                                                  
Warrants issued for term                         5 years                                                                      
Total number of warrants repurchased                         90,000                                                                      
Value of warrants repurchased                         99,900                                                                      
Warrant repurchase price per share                         $ 1.11                                                                      
Warrant repurchase expense                         $ 30,000                                                                      
Special stock dividends declared 0.50% 0.50% 0.50% 0.50%                                                                                        
Stock dividend policy adopted                                                           2.00%                                    
Number of shares authorized to repurchase                 2,000,000                                                                              
Total number of shares purchased                     133,365 100,500                                                                        
Average price paid per share           $ 1.73 $ 2.68                                                                                  

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-K’ Filing    Date    Other Filings
7/14/20
6/6/20
12/31/1810-K,  SD
4/17/18
3/22/18
6/29/16
4/24/14
Filed on:3/17/148-K/A,  DEFA14A
2/28/148-K,  8-K/A
2/10/144,  8-K
1/17/14S-3
For Period end:12/31/1310-K/A,  SD
12/19/134
9/30/1310-Q
9/23/138-K
7/26/13S-3
7/12/13
6/30/1310-Q
6/6/134,  8-K,  DEF 14A,  PRE 14A
4/26/13
4/18/13
3/31/1310-Q
3/23/134
12/31/1210-K
11/8/124
5/7/12
12/31/1110-K,  10-K/A
8/10/118-K,  UPLOAD
6/30/1110-Q
12/31/1010-K
9/30/1010-Q,  4
9/15/09
 List all Filings 
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