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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/24/21 Brooks Automation, Inc. 10-K 9/30/21 187:18M Toppan Merrill Bridge/FA |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 2.24M
2: EX-10.08 Material Contract HTML 56K
3: EX-10.17 Material Contract HTML 59K
4: EX-10.21 Material Contract HTML 64K
5: EX-21.01 Subsidiaries List HTML 56K
6: EX-23.01 Consent of Expert or Counsel HTML 49K
7: EX-31.01 Certification -- §302 - SOA'02 HTML 54K
8: EX-31.02 Certification -- §302 - SOA'02 HTML 54K
9: EX-32 Certification -- §906 - SOA'02 HTML 52K
16: R1 Document and Entity Information HTML 113K
17: R2 Consolidated Balance Sheets HTML 194K
18: R3 Consolidated Balance Sheets (Parenthetical) HTML 73K
19: R4 Consolidated Statements of Operations HTML 171K
20: R5 Consolidated Statements of Comprehensive Income HTML 78K
21: R6 Consolidated Statements of Comprehensive Income HTML 54K
(Parenthetical)
22: R7 Consolidated Statements of Cash Flows HTML 171K
23: R8 Consolidated Statements of Cash Flows HTML 69K
(Parenthetical)
24: R9 Consolidated Statements of Changes in Stockholders HTML 105K
Equity
25: R10 Consolidated Statements of Changes in Stockholders HTML 57K
Equity (Parenthetical)
26: R11 Nature of Business HTML 57K
27: R12 Summary of Significant Accounting Policies HTML 152K
28: R13 Discontinued Operations HTML 352K
29: R14 Acquisitions HTML 93K
30: R15 Marketable Securities HTML 103K
31: R16 Property, Plant and Equipment HTML 72K
32: R17 Leases HTML 205K
33: R18 Goodwill and Intangible Assets HTML 134K
34: R19 Supplementary Balance Sheet Information HTML 151K
35: R20 Line of Credit HTML 59K
36: R21 Debt HTML 77K
37: R22 Income Taxes HTML 192K
38: R23 Derivative Instruments HTML 83K
39: R24 Stockholders' Equity HTML 103K
40: R25 Equity Incentive Plans HTML 88K
41: R26 Earnings per Share HTML 101K
42: R27 Revenue from Contracts with Customers HTML 99K
43: R28 Significant Customers HTML 51K
44: R29 Segment and Geographic Information HTML 171K
45: R30 Fair Value Measurements HTML 140K
46: R31 Commitments and Contingencies HTML 56K
47: R32 Quarterly Information (Unaudited) HTML 111K
48: R33 Subsequent Events HTML 52K
49: R34 Summary of Significant Accounting Policies HTML 208K
(Policies)
50: R35 Summary of Significant Accounting Policies HTML 90K
(Tables)
51: R36 Discontinued Operations (Tables) HTML 350K
52: R37 Acquisitions (Tables) HTML 81K
53: R38 Marketable Securities (Tables) HTML 101K
54: R39 Property, Plant and Equipment (Tables) HTML 71K
55: R40 Leases (Tables) HTML 240K
56: R41 Goodwill and Intangible Assets (Tables) HTML 132K
57: R42 Supplementary Balance Sheet Information (Tables) HTML 160K
58: R43 Debt (Tables) HTML 63K
59: R44 Income Taxes (Tables) HTML 188K
60: R45 Derivative Instruments (Tables) HTML 83K
61: R46 Stockholders' Equity (Tables) HTML 98K
62: R47 Equity Incentive Plans (Tables) HTML 79K
63: R48 Earnings per Share (Tables) HTML 100K
64: R49 Revenue from Contracts with Customers (Tables) HTML 92K
65: R50 Segment and Geographic Information (Tables) HTML 171K
66: R51 Fair Value Measurements (Tables) HTML 132K
67: R52 Quarterly Information (Unaudited) (Tables) HTML 110K
68: R53 Summary of Significant Accounting Policies - HTML 51K
Foreign Currency Translation (Details)
69: R54 Summary of Significant Accounting Policies - HTML 56K
Concentration of Credit Risk (Details)
70: R55 Summary of Significant Accounting Policies - Cash HTML 53K
and Cash Equivalents, and Restricted Cash
(Details)
71: R56 Summary of Significant Accounting Policies - HTML 68K
Property, Plant and Equipment (Details)
72: R57 Summary of Significant Accounting Policies - HTML 55K
Capitalized Direct Costs (Details)
73: R58 Summary of Significant Accounting Policies - HTML 63K
Finite-lived Intangible Assets (Details)
74: R59 Summary of Significant Accounting Policies - HTML 54K
Deferred Financing Costs (Details)
75: R60 Summary of Significant Accounting Policies - HTML 54K
Payment Terms (Details)
76: R61 Summary of Significant Accounting Policies - HTML 57K
Stock-Based Compensation Expense (Details)
77: R62 Summary of Significant Accounting Policies - HTML 61K
Valuation Assumptions for an Employee Stock
Purchase Plan (Details)
78: R63 Summary of Significant Accounting Policies - HTML 102K
Recently Issued and Adopted Accounting
Pronouncements (Details)
79: R64 Discontinued Operations - General Information HTML 85K
(Details)
80: R65 Discontinued Operations - Financial Results HTML 110K
(Details)
81: R66 Discontinued Operations - Unconsolidated HTML 86K
Subsidiaries - Statements of Operations (Details)
82: R67 Discontinued Operations - Non-cash Items and HTML 65K
Capital Expenditures (Details)
83: R68 Discontinued Operations - Assets and Liabilities HTML 135K
(Details)
84: R69 Discontinued Operations - Aquisitions (Details) HTML 83K
85: R70 Acquisitions - General Information (Details) HTML 63K
86: R71 Acquisitions - Purchase Consideration (Details) HTML 76K
87: R72 Acquisitions - Amounts of Assets and Liabilities HTML 117K
at Fair Value as of Acquisition Date (Details)
88: R73 Acquisitions - Goodwill (Details) HTML 76K
89: R74 Acquisitions - Intangible Assets Acquired HTML 71K
(Details)
90: R75 Acquisitions - Escrow (Details) HTML 58K
91: R76 Acquisitions - Transaction Costs (Details) HTML 53K
92: R77 Acquisitions - Pro Forma Information - Tabular HTML 54K
Disclosure (Details)
93: R78 Acquisitions - Pro Forma Information - Additional HTML 53K
Information (Details)
94: R79 Acquisitions - Results of Operations (Details) HTML 61K
95: R80 Marketable Securities - General Information HTML 61K
(Details)
96: R81 Marketable Securities - Summary of Amortized Cost HTML 64K
and Fair Value (Details)
97: R82 Marketable Securities - Fair Value of Marketable HTML 58K
Securities by Contractual Maturity (Details)
98: R83 Marketable Securities - Unrealized Loss Position HTML 52K
(Details)
99: R84 Property, Plant and Equipment - Schedule (Details) HTML 75K
100: R85 Property, Plant and Equipment - Depreciation HTML 51K
Expense (Details)
101: R86 Property, Plant and Equipment - Expenditures HTML 51K
Incurred but Not Yet Paid (Details)
102: R87 Leases - Operating Lease Expense (Details) HTML 65K
103: R88 Leases - Assets and Liabilities - Operating Leases HTML 61K
(Details)
104: R89 Leases - Assets and Liabilities - Finance Leases HTML 70K
(Details)
105: R90 Leases - Additional Information (Details) HTML 58K
106: R91 Leases - Supplemental Cash Flow Information HTML 56K
(Details)
107: R92 Leases - Assets Obtained in Exchange for Lease HTML 51K
Liabilities (Details)
108: R93 Leases - Future Lease Payments - Operating Leases HTML 64K
(Details)
109: R94 Leases - Gross Difference - Operating Leases HTML 55K
(Details)
110: R95 Leases - Future Lease Payments - Finance Leases HTML 53K
(Details)
111: R96 Leases - Gross Difference - Finance Leases HTML 55K
(Details)
112: R97 Goodwill and Intangible Assets - Reporting Units HTML 60K
(Details)
113: R98 Goodwill and Intangible Assets - Goodwill HTML 56K
Impairment Test (Details)
114: R99 Goodwill and Intangible Assets - Goodwill Roll HTML 59K
Forward (Details)
115: R100 Goodwill and Intangible Assets - Goodwill Acquired HTML 51K
(Details)
116: R101 Goodwill and Intangible Assets - Components of HTML 73K
Identifiable Intangible Assets (Details)
117: R102 Goodwill and Intangible Assets - Amortization HTML 52K
Expense (Details)
118: R103 Goodwill and Intangible Assets - Intangible Assets HTML 54K
Impairment (Details)
119: R104 Goodwill and Intangible Assets - Estimated Future HTML 65K
Amortization Expense of Intangible Assets
(Details)
120: R105 Supplementary Balance Sheet Information - Summary HTML 57K
of Account Receivable (Details)
121: R106 Supplementary Balance Sheet Information - HTML 57K
Allowance for Expected Credit Losses Activity
(Details)
122: R107 Supplementary Balance Sheet Information - Summary HTML 59K
of Inventories (Details)
123: R108 Supplementary Balance Sheet Information - Summary HTML 58K
of Inventory Reserves (Details)
124: R109 Supplementary Balance Sheet Information - HTML 58K
Valuation Allowance for Deferred Tax Assets
Activity (Details)
125: R110 Supplementary Balance Sheet Information - Product HTML 57K
Warranty and Retrofit Activity on Gross Basis
(Details)
126: R111 Line of Credit (Details) HTML 79K
127: R112 Debt - General Information (Details) HTML 82K
128: R113 Debt - Payment Terms (Details) HTML 53K
129: R114 Debt - Additional Information (Details) HTML 70K
130: R115 Debt - Term Loans (Details) HTML 83K
131: R116 Debt - Long-term Debt - Future Minimum Principal HTML 61K
Payment Obligations (Details)
132: R117 Debt - Long-term Debt - Current and Non-current HTML 57K
(Details)
133: R118 Income Taxes - Components of Income Tax Provision HTML 76K
(Benefit) (Details)
134: R119 Income Taxes - Components of Income Before Income HTML 60K
Taxes and Equity in Earnings of Equity Method
Investments (Details)
135: R120 Income Taxes - Differences Between Income Tax HTML 88K
Provision (Benefit) and Income Taxes Computed
using Applicable U.S. Statutory Federal Tax Rate
(Details)
136: R121 Income Taxes - Provision (Benefit) (Details) HTML 55K
137: R122 Income Taxes - Unremitted Earnings of Foreign HTML 52K
Subsidiaries (Details)
138: R123 Income Taxes - Deferred Tax Assets (Details) HTML 71K
139: R124 Income Taxes - Deferred Tax Liabilities (Details) HTML 58K
140: R125 Income Taxes - Net Deferred Tax Assets and HTML 58K
Liabilities (Details)
141: R126 Income Taxes - Net Deferred Tax Assets (Liability) HTML 53K
Held for Sale (Details)
142: R127 Income Taxes - Deferred Charges Related to HTML 54K
Intercompany Profit Elimination (Details)
143: R128 Income Taxes - Establishment of Valuation HTML 51K
Allowance (Details)
144: R129 Income Taxes - Net Operating Loss Carry-forwards HTML 56K
(Details)
145: R130 Income Taxes - Tax Credit Carry-forwards (Details) HTML 57K
146: R131 Income Taxes - Tax Reform (Details) HTML 55K
147: R132 Income Taxes - Unrecognized Tax Benefits - Tabular HTML 59K
Disclosure (Details)
148: R133 Income Taxes - Unrecognized Tax Benefits - General HTML 60K
Information (Details)
149: R134 Income Taxes - Unrecognized Tax Benefits - HTML 53K
Acquisitions (Details)
150: R135 Income Taxes - Unrecognized Tax Benefits - HTML 51K
Reasonably Possible Change (Details)
151: R136 Derivative Instruments - Additional Information HTML 54K
(Details)
152: R137 Derivative Instruments - Realized Gains (Losses) HTML 52K
on Derivative Instruments (Details)
153: R138 Derivative Instruments - Notional Amounts HTML 54K
Outstanding under Foreign Currency Contracts -
Fair Value of Assets (Details)
154: R139 Derivative Instruments - Notional Amounts HTML 54K
Outstanding under Foreign Currency Contracts -
Fair Value of Liabilities (Details)
155: R140 Stockholders' Equity - Preferred Stock (Details) HTML 58K
156: R141 Stockholders' Equity - Accumulated Other HTML 75K
Comprehensive Income (Details)
157: R142 Equity Incentive Plans - General Information HTML 65K
(Details)
158: R143 Equity Incentive Plans - Restricted Stock Unit HTML 74K
Activity - Tabular Disclosure (Details)
159: R144 Equity Incentive Plans - Restricted Stock Unit HTML 58K
Activity - Additional Information (Details)
160: R145 Equity Incentive Plans - Restricted Stock Unit HTML 55K
Activity - Unrecognized Compensation Cost
(Details)
161: R146 Equity Incentive Plans - Restricted Stock Units HTML 60K
Granted - Tabular Disclosure (Details)
162: R147 Equity Incentive Plans - Restricted Stock Units HTML 58K
Granted - Discontinued Operations (Details)
163: R148 Equity Incentive Plans - Time-Based Restricted HTML 61K
Stock Unit Grants (Details)
164: R149 Equity Incentive Plans - Performance-Based HTML 58K
Restricted Stock Unit Grants (Details)
165: R150 Equity Incentive Plans - Employee Stock Purchase HTML 61K
Plan (Details)
166: R151 Earnings per Share - Tabular Disclosure (Details) HTML 135K
167: R152 Earnings per Share - Anti-dilutive Securities HTML 54K
(Details)
168: R153 Revenue from Contracts with Customers - HTML 69K
Disaggregated By Reporting Unit (Details)
169: R154 Revenue from Contracts with Customers - Contract HTML 65K
Balances (Details)
170: R155 Revenue from Contracts with Customers - Remaining HTML 59K
Performance Obligations (Details)
171: R156 Revenue from Contracts with Customers - Costs to HTML 51K
Obtain and Fulfill a Contract (Details)
172: R157 Segment and Geographic Information - General HTML 56K
Information (Details)
173: R158 Segment and Geographic Information - HTML 109K
Reconciliation of Reportable Segment Operating
Income (Loss) to Corresponding Consolidated
Amounts (Details)
174: R159 Segment and Geographic Information - Financial HTML 64K
Information for Business Segments - Assets
(Details)
175: R160 Segment and Geographic Information - HTML 72K
Reconciliation of Reportable Segment Assets to
Corresponding Consolidated Amounts (Details)
176: R161 Segment and Geographic Information - Net Revenues HTML 68K
Based upon Source of Order by Geographic Area
(Details)
177: R162 Segment and Geographic Information - Long-Lived HTML 61K
Assets, Consisting of Property, Plant and
Equipment by Geographic Area (Details)
178: R163 Fair Value Measurements (Details) HTML 77K
179: R164 Commitments and Contingencies - Tariff Matter HTML 61K
(Details)
180: R165 Commitments and Contingencies - Letters of Credit HTML 50K
(Details)
181: R166 Commitments and Contingencies - Purchase HTML 59K
Commitments (Details)
182: R167 Quarterly Information (Unaudited) (Details) HTML 101K
183: R168 Subsequent Events (Details) HTML 60K
185: XML IDEA XML File -- Filing Summary XML 360K
15: XML XBRL Instance -- brks-20210930x10k_htm XML 5.20M
184: EXCEL IDEA Workbook of Financial Reports XLSX 220K
11: EX-101.CAL XBRL Calculations -- brks-20210930_cal XML 438K
12: EX-101.DEF XBRL Definitions -- brks-20210930_def XML 1.28M
13: EX-101.LAB XBRL Labels -- brks-20210930_lab XML 2.35M
14: EX-101.PRE XBRL Presentations -- brks-20210930_pre XML 2.11M
10: EX-101.SCH XBRL Schema -- brks-20210930 XSD 344K
186: JSON XBRL Instance as JSON Data -- MetaLinks 757± 1.14M
187: ZIP XBRL Zipped Folder -- 0001558370-21-016314-xbrl Zip 500K
Exhibit 10.17
[NAME]
BROOKS AUTOMATION, INC.
2020 EQUITY INCENTIVE PLAN
Stock Unit – Award Notice
This award notice sets forth the terms of the award (the “Award”), described below, of restricted Stock Units (the “RSUs”) under the Brooks Automation, Inc. 2020 Equity Incentive Plan (the “Plan”) to the Participant identified below. The Award is subject to the terms of the Plan, which are incorporated herein by reference. Any initially capitalized term not defined herein shall have the meaning assigned to it in the Plan. The term “vest” as used in this notice with respect to any RSU means the lapsing of the restrictions described herein with respect to the right to payment under the Award.
| 1. | Name of Participant. The Participant to whom the Award has been granted is [NAME]. |
| 2. | Type and Amount of Award. Subject to such adjustments as are required or permitted under Section 3(a) of the Plan, the Award shall consist of [______] RSUs. |
| 3. | Grant Date. The Award was granted to the Participant on [_________, _____] (the “Grant Date”). |
| 4. | Nature of Award. The Award consists of the conditional right to receive, on the terms and subject to the restrictions set forth herein and in the Plan, one share of Common Stock for each RSU forming part of the Award. |
| 5. | Forfeiture Risk. If the Participant ceases to be an employee for any reason, any then outstanding and unvested RSUs shall be automatically and immediately forfeited. Notwithstanding the foregoing, the Company may elect to have the Award, in whole or in part, continue to vest during any period in which the Participant serves as a consultant to the Company upon termination of employment. However, a change in the Participant’s employment status from full-time to part-time shall not affect the Award, which shall continue to vest in accordance with the terms described herein. In addition, if the Participant is employed by a wholly owned subsidiary of the Company and such subsidiary is subsequently sold or transferred to another Person (as defined below) who is not also wholly owned by the Company, then the Participant’s employment with the Company for purposes of this Section 5 shall be deemed to cease immediately upon such sale or transfer. |
| 6. | Vesting of Award. The Award (unless earlier forfeited) shall vest as follows unless earlier forfeited in accordance with Section 5 above: |
| (a) | Time-Restriction – One-third of the total RSUs will vest on [_________, _____]; one-third on [_________, _____]; and the final one-third on [_________, _____]. |
| (b) | If there is a Qualifying Termination (as defined in the Plan) of the Participant’s employment by the Company or one of its subsidiaries that occurs within the one-year period following a Change in Control, (as defined below), any RSUs that were unvested but outstanding |
| immediately prior to the Qualifying Termination shall be treated as having vested immediately prior to the Qualifying Termination. |
| (c) | For purposes hereof, the following definitions shall apply: |
| (1) | “Board” means the Board of Directors of the Company. |
| (2) | “Employer” means the Company and its subsidiaries. |
| (3) | “Qualifying Termination” means a termination by the Company or by a subsidiary of the Company of the Participant’s employment with the Company and its subsidiaries, other than a termination for Cause. |
| 7. | Delivery of Shares. Subject to Section 11 below, the remaining provisions of this Section 7, and Section 10 of the Plan, the Company shall deliver to the Participant (or, in the event of the Participant's death, to the executor or administrator of the Participant’s estate or to the person or persons to whom the RSUs pass by will or by the laws of descent and distribution) one share of Common Stock for each RSU that vests. Delivery shall be made not later than thirty (30) days following the date of vesting. |
| 8. | Dividends, etc. The Participant shall not be entitled to any rights as a shareholder, including rights to vote or rights to dividends or other distributions, with respect to any RSU, except as to shares of Common Stock actually delivered under Section 7 above. |
| 9. | Adjustments for Stock Splits, etc. If there is any stock split, reverse stock split, stock dividend, stock distribution or other reclassification of the Common Stock, any and all new, substituted or additional securities to which the Employee is entitled by reason of his ownership of the RSUs shall be immediately subject to the risk of forfeiture and transfer restrictions described herein in the same manner and to the same extent, if any, as such RSUs. |
| 10. | Nontransferability. The Award is not transferable except as death in accordance with Section 7 above. |
| 11. | No Special Employment Rights. The grant of the Award shall not be construed as limiting in any way the right of the Company and its Affiliates, subject to applicable law, to terminate the Participant’s employment. Any loss of profit or potential profit under the Award shall not be an element of damages in any claim relating to termination of the Participant’s employment. The grant of the Award shall not entitle the Participant to the grant of any other awards under the Plan. |
| 12. | Certain Tax Matters. The Award consists of an unfunded and unsecured conditional promise by the Company to deliver cash or property in the future. The Award is intended to qualify for the "short-term deferral" exemption from coverage under Section 409A. The Company may hold back shares otherwise deliverable under the Award to satisfy any taxes required to be withheld in connection with the vesting of, or any payment under, the Award, but reserves the right to take such other or additional steps as it deems necessary to satisfy its tax withholding obligations, including imposing as a condition to the delivery of any shares hereunder the payment by the Participant, or other person to whom such shares are to be delivered, of cash sufficient to satisfy such obligations. |
| 13. | Clawback. The Award is subject to clawback and forfeiture in accordance with any Clawback Policy of the Company in effect from time to time. |
| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 11/24/21 | None on these Dates | ||
| For Period end: | 9/30/21 | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/21/23 Azenta, Inc. 10-K 9/30/23 171:17M Toppan Merrill Bridge/FA 11/25/22 Azenta, Inc. 10-K 9/30/22 165:17M Toppan Merrill Bridge/FA 8/09/22 Azenta, Inc. 10-Q 6/30/22 121:13M Toppan Merrill Bridge/FA 5/16/22 Azenta, Inc. 10-Q 3/31/22 118:13M Toppan Merrill Bridge/FA 2/09/22 Azenta, Inc. 10-Q 12/31/21 123:10M Toppan Merrill Bridge/FA |