Symantec 1998 Annual Report Download - page 24

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SYMANTEC CORPORATION
34 SYMANTEC CORPORATION
10.10* Symantec Corporation 1996 Equity
Incentive Plan. (Incorporated by refer-
ence to Exhibit 4.01 filed with the
Registrant’s Registration Statement on
Form S-8 (No. 333-18355) filed
December 20, 1996.)
10.11* Symantec Corporation 1996 Equity
Incentive Plan, as amended.
(Incorporated by reference to
Exhibit 4.01 filed with the Registrant’s
Registration Statement on Form S-8
(No. 333-39175) filed October 31, 1997.)
10.12* Symantec Corporation Deferred
Compensation Plan dated as of
November 7, 1996. (Incorporated by ref-
erence to Exhibit 10.11 filed with the
Registrant’s Annual Report on Form
10-K for the year ended March 28, 1997.)
10.13 Participation Agreement dated as of
October 18, 1996, by and among
Symantec Corporation, Sumitomo Bank
Leasing and Financing, Inc., The
Sumitomo Bank, Limited, San Francisco
Branch and the other Various Financial
Institutions Identified Herein and the
Sumitomo Bank, Limited, San Francisco
Branch. (Incorporated by reference to
Exhibit 10.01 filed with the Registrants
Quarterly Report on Form 10-Q for the
quarter ended September 27, 1996.)
10.14 Appendix A to Participation Agreement,
Master Lease, Lease Supplements Loan
Agreements, Pledge Agreement, Lessor
Mortgages, and Guaranty. (Incorporated
by reference to Exhibit 10.02 filed with
the Registrants Quarterly Report on
Form 10-Q for the quarter ended
September 27, 1996.)
10.15 Master Lease and Deed of Trust, as
amended, dated as of October 18, 1996
between Symantec Corporation and
Sumitomo Bank Leasing and Finance,
Inc. (Incorporated by reference to
Exhibit 10.14 filed with the Registrant’s
Annual Report on Form 10-K for the
year ended March 28, 1997.)
10.16 Guaranty dated as of October 18, 1996,
made by Symantec Corporation in favor
of Various Financial Institutions and
The Sumitomo Bank, Limited, San
Francisco Branch. (Incorporated by ref-
erence to Exhibit 10.05 filed with the
Registrants Quarterly Report on Form
10-Q for the quarter ended
September 27, 1996.)
10.17 Pledge Agreement dated as of October 18,
1996, made by Symantec Corporation, in
favor of Sumitomo Bank, Limited, San
Francisco Branch for the benefit of the
Lenders, and Donaldson, Lufkin, Jenrette
Securities Corporations, as collateral
agent. (Incorporated by reference to
Exhibit 10.06 filed with the Registrants
Quarterly Report on Form 10-Q for the
quarter ended September 27, 1996.)
10.18 Assignment of Lease and Rent, as
amended, dated as of October 18, 1996,
from Sumitomo Bank Leasing and
Finance, Inc., to The Sumitomo Bank,
Limited, San Francisco Branch.
(Incorporated by reference to
Exhibit 10.17 filed with the Registrant’s
Annual Report on Form 10-K for the
year ended March 28, 1997.)
10.19 Agreement of Purchase and Sale of
Cupertino City Center One between
Cigna Property and Casualty Insurance
Company and Symantec Corporation.
(Incorporated by reference to
Exhibit 10.18 filed with the Registrant’s
Annual Report on Form 10-K for the
year ended March 28, 1997.)
10.20 Agreement for Purchase and Sale and
Escrow Instructions of 10201 Torre
Avenue, Cupertino, CA. (Incorporated
by reference to Exhibit 10.19 filed with
the Registrant’s Annual Report on Form
10-K for the year ended March 28, 1997.)
10.21 Agreement for Purchase and Sale and
Escrow Instructions, as amended, dated
as of May 31, 1996. (Incorporated by ref-
erence to Exhibit 10.20 filed with the
Registrant’s Annual Report on Form
10-K for the year ended March 28, 1997.)
10.22 Loan Agreement dated as of October 18,
1996, among Sumitomo Bank Leasing
and Finance, Inc., Various Financial
Institutions Identified Herein and The
Sumitomo Bank, Limited, San Francisco
Branch. (Incorporated by reference to
Exhibit 10.21 filed with the Registrant’s
Annual Report on Form 10-K for the
year ended March 28, 1997.)
10.23 Construction Agency Agreement dated
as of March 3, 1997, between Sumitomo
Bank Leasing and Finance, Inc., and
Symantec Corporation. (Incorporated by
reference to Exhibit 10.22 filed with the
Registrant’s Annual Report on Form
10-K for the year ended March 28, 1997.)
10.24 Symantec - CC5 Office Building and
Parking Structure, as amended, dated as
of May 5, 1997, made by and between
Symantec Corporation and Webcor
Builders. (Incorporated by reference to
Exhibit 10.23 filed with the Registrant’s
Annual Report on Form 10-K for the
year ended March 28, 1997.)
10.25 Office building lease dated as of April 10,
1991, between the Registrant and
Maguire Thomas Partners Colorado
Place regarding property located in Santa
Monica, California. (Incorporated by ref-
erence to Exhibit 10.25 filed with the
Registrant’s Annual Report on Form
10-K for the year ended March 31, 1991.)
10.26 Office building lease dated as of
February 27, 1991, between the
Registrant and Kim Camp No. VII
regarding property located in Sunnyvale,
California. (Incorporated by reference to
Exhibit 10.26 filed with the Registrant’s
Annual Report on Form 10-K for the
year ended March 31, 1991.)
10.27 Office building lease dated as of April 19,
1995, between the Registrant and
CIGNA Property and Casualty
Insurance Company regarding property
located in Cupertino, California.
(Incorporated by reference to
Exhibit 10.16 filed with the Registrant’s
Annual Report on Form 10-K for the
year ended March 31, 1995.)
10.28 Office building lease, as amended,
dated as of December 1, 1995 between
Delrina (Canada) Corporation and
Sherway Centre Limited regarding prop-
erty located in Toronto, Canada.
(Incorporated by reference to
Exhibit 10.01 filed with the Registrants
Quarterly Report on Form 10-Q for the
quarter ended December 29, 1995.)
10.29 Form of Indemnity Agreement with
Officers and Directors. (Incorporated by
reference to Exhibit 10.17 filed with the
Registrant’s Registration Statement on
Form S-1 (No. 33-28655) originally filed
May 19, 1989, and amendment No. 1
thereto filed June 21, 1989, which
Registration Statement became effective
June 22, 1989.)
10.30* Full Recourse Promissory Note and
Pledge Agreement between the Company
and Gordon E. Eubanks, Jr.
(Incorporated by reference to
Exhibit 10.19 filed with the Registrant’s
Annual Report on Form 10-K for the
year ended April 2, 1993.)
10.31* Form of Promissory Note and Pledge
Agreement between the Company and
certain executives. (Incorporated by ref-
erence to Exhibit 10.20 filed with the
Registrant’s Annual Report on Form
10-K for the year ended April 2, 1993.)
10.32* Form of Housing Assistance Agreement
between the Company and certain execu-
tives. (Incorporated by reference to
Exhibit 10.26 filed with the Registrant’s
Registration Statement on Form S-4
(No. 33-35385) initially filed June 13, 1990.)
10.33 Note Purchase Agreement, dated April 2,
1993, among Symantec Corporation,
Morgan Guaranty Trust Company of
New York, as Trustee, J. P. Morgan
Investments Management, Inc., as
Investment Manager and The
Northwestern Mutual Life Insurance
Company, including Form of
Convertible Subordinated Notes.
(Incorporated by reference to
Exhibit 10.30 filed with the Registrant’s
Annual Report on Form 10-K for the
year ended April 2, 1993.)
(a) The following documents are filed as part of this report:
1. Consolidated Financial Statements Page Number
Report of Ernst & Young LLP, Independent Auditors 37
Consolidated Balance Sheets as of March 31, 1998 and 1997 38
Consolidated Statements of Operations for the Years Ended
March 31, 1998, 1997 and 1996 39
Consolidated Statements of Stockholders’ Equity for the Years
Ended March 31, 1998, 1997 and 1996 40
Consolidated Statements of Cash Flow for the Years Ended
March 31, 1998, 1997 and 1996 41
Summary of Significant Accounting Policies and Notes to
Consolidated Financial Statements 42
2. Financial Statement Schedules
The following financial statement schedule of Symantec Corporation for the years ended
March 31, 1998, 1997 and 1996 is filed as part of this Form 10-K and should be read in
conjunction with the Consolidated Financial Statements of Symantec Corporation.
Schedule
II Valuation and Qualifying Accounts 57
Schedules other than that listed above have been omitted since they are either not
required, not applicable, or the information is otherwise included.
4.06 Form of Voting and Exchange Trust
Agreement dated July 5, 1996 between
Symantec and Delrina. (Incorporated by
reference to Annex F filed with the
Registrant’s Joint Management
Information Circular and Proxy
Statement dated October 17, 1995.)
10.01 Amended Agreement Respecting Certain
Rights of Publicity. (Incorporated by ref-
erence to Exhibit 10.04 filed with the
Registrant’s Registration Statement on
Form S-4 (No. 33-35385) initially filed
June 13, 1990.)
10.02 Non-Competition and Non-Solicitation
Agreement between Registrant and Peter
Norton and Ronald Posner.
(Incorporated by reference to Exhibit
10.06 filed with the Registrant’s
Registration Statement on Form S-4
(No. 33-35385) initially filed June 13, 1990.)
10.03* 1988 Employees Stock Option Plan, as
amended to date. (Incorporated by refer-
ence to Exhibit 4.02 filed with the
Registrant’s Registration Statement on
Form S-8 (No. 33-88694) filed
January 23, 1995.)
10.04* 1989 Employee Stock Purchase Plan, as
amended to date. (Incorporated by refer-
ence to Exhibit 4.01 filed with the
Registrant’s Registration Statement on
Form S-8 (No. 333-18353) filed
December 20, 1996.)
10.05* Form of Stock Option Agreement and
Form of Stock Option Exercise Request,
as currently in effect, under the
Registrant’s 1988 Employees Stock
Option Plan. (Incorporated by reference
to Exhibit 10.10 filed with the
Registrant’s Registration Statement on
Form S-4 (No. 33-35385) initially filed
June 13, 1990.)
10.06* 1988 Directors Stock Option Plan, as
amended to date. (Incorporated by refer-
ence to Exhibit 10.09 filed with the
Registrant’s Annual Report on Form
10-K for the year ended April 2, 1993.)
10.07* 1993 Directors Stock Option Plan, as
amended. (Incorporated by reference to
Exhibit 10.07 filed with the Registrant’s
Quarterly Report on Form 10-Q for the
quarter ended September 30, 1994.)
10.08* Form of Stock Option Grant and Stock
Option Exercise Notice and Agreement
under the Registrant’s 1988 Directors
Stock Option Plan. (Incorporated by ref-
erence to Exhibit 10.12 filed with the
Registrant’s Registration Statement on
Form S-4 (No. 33-35385) initially filed
June 13, 1990.)
10.09* 1994 Patent Incentive Plan.
(Incorporated by reference to
Exhibit 4.01 filed with the Registrant’s
Registration Statement on Form S-8
(No. 33-60141) filed June 9, 1995.)
3. Exhibits
The following exhibits are filed as part of, or
incorporated by reference into, this Form 10-K:
3.01 The Registrant’s Restated Certificate
of Incorporation. (Incorporated by ref-
erence to Annex G filed with the
Registrant’s Joint Management
Information Circular and Proxy
Statement (No. 000-17781) dated
October 17, 1995.)
3.02 The Registrant’s Bylaws, as currently
in effect. (Incorporated by reference to
Exhibit 3.02 filed with the Registrant’s
Registration Statement on Form S-1
(No. 33-28655) originally filed May 19,
1989, and amendment No. 1 thereto
filed June 21, 1989, which Registration
Statement became effective June 22, 1989.)
4.01 Registration Rights Agreement.
(Incorporated by reference to Exhibit 4.02
filed with the Registrant’s Registration
Statement on Form S-4 (No. 33-35385)
initially filed June 13, 1990.)
4.02 Amendment No. One to Registration
Rights Agreement. (Incorporated by ref-
erence to Exhibit 4.03 filed with the
Registrant’s Annual Report on Form 10-K
for the year ended April 2, 1993.)
4.03 Amendment No. Two to Registration
Rights Agreement (Incorporated by ref-
erence to Exhibit 4.04 filed with the
Registrant’s Annual Report on Form
10-K for the year ended April 2, 1993.)
4.04 Plan of Arrangement and Exchangeable
Share Provisions related to the acquisi-
tion of Delrina. (Incorporated by refer-
ence to Annex D filed with the
Registrant’s Joint Management
Information Circular and Proxy
Statement dated October 17, 1995.)
4.05 Support Agreement dated July 5, 1995
between Symantec and Delrina.
(Incorporated by reference to Annex E
filed with the Registrant’s Joint
Management Information Circular and
Proxy Statement dated October 17, 1995.)
Upon written request, the Company will provide, without charge, a copy of the
Company’s annual report on Form 10-K, including the consolidated financial state-
ments, financial statement schedules and any exhibits for the Company’s most recent
fiscal year. All requests should be sent to: Shelley Wilson
Investor Relations
Symantec Corporation
10201 Torre Avenue
Cupertino, California 95014-2132
408-446-8891
*Indicates a management contract or compensatory
plan or arrangement.
*Indicates a management contract or compensatory
plan or arrangement.