Item 15. Exhibits and Financial Statement Schedules
29K characters. Original on sec.gov ·
Item 15. Exhibits and Financial Statement Schedules
| (a) | The following documents are filed as part of this report: |
| 1. | Financial Statements. |
See Index to Consolidated Financial Statements under Item 8 on Page 51 of this report.
| 2. | Financial Statement Schedule. |
The following additional financial statement schedule should be considered in conjunction with our consolidated financial statements. All other schedules have been omitted because the required information is either not applicable or not sufficiently material to require submission of the schedule:
SCHEDULE II
SCHEDULE II
VALUATION AND QUALIFYING ACCOUNTS
| Column A | Column B | Column C | Column D | Column E | ||||||||||||
| Description | Balance at Beginning of Period | Additions Charged to Expenses or Other Accounts* | Deductions Credited to Expenses or Other Accounts** | Balance at End of Period | ||||||||||||
| (in millions) | ||||||||||||||||
| 2016 | ||||||||||||||||
| Tax valuation allowance | $ | 131 | $ | 22 | $ | (24 | ) | $ | 129 | |||||||
| 2015 | ||||||||||||||||
| Tax valuation allowance | $ | 134 | $ | 6 | $ | (9 | ) | $ | 131 | |||||||
| 2014 | ||||||||||||||||
| Tax valuation allowance | $ | 131 | $ | 3 | $ | — | $ | 134 |
- Additions include current year additions charged to expenses and current year build due to increases in net deferred tax assets, return to provision true-ups, other adjustments and OCI impact to deferred taxes.
** Deductions include current year releases credited to expenses and current year reductions due to decreases in net deferred tax assets, return to provision true-ups, other adjustments and OCI impact to deferred taxes.
| 3. | Exhibits. |
Exhibits are incorporated herein by reference or are filed with this report as indicated below (numbered in accordance with Item 601 of Regulation S-K):
| Exhibit Number | Description | Form | Date | Exhibit Number | Filed Herewith | |||||||
| 2.1 | Master Separation and Distribution Agreement between Hewlett‑Packard and Agilent Technologies, Inc., effective as of August 12, 1999. | S-1/A | 11/10/1999 | 2.1 | ||||||||
| 2.2 | General Assignment and Assumption Agreement between Hewlett‑Packard and Agilent Technologies, Inc. | S-1/A | 11/10/1999 | 2.2 | ||||||||
| 2.3 | Master Technology Ownership and License Agreement between Hewlett‑Packard and Agilent Technologies, Inc. | S-1/A | 11/10/1999 | 2.3 | ||||||||
| 2.4 | Master Patent Ownership and License Agreement between Hewlett‑Packard and Agilent Technologies, Inc. | S-1/A | 11/10/1999 | 2.4 | ||||||||
| 2.5 | Master Trademark Ownership and License Agreement between Hewlett‑Packard and Agilent Technologies, Inc. | S-1/A | 11/10/1999 | 2.5 | ||||||||
| 2.6 | ICBD Technology Ownership and License Agreement between Hewlett‑Packard and Agilent Technologies, Inc. | S-1/A | 11/10/1999 | 2.6 | ||||||||
| 2.7 | Employee Matters Agreement between Hewlett‑Packard and Agilent Technologies, Inc. | S-1/A | 11/10/1999 | 2.7 | ||||||||
| 2.8 | Tax Sharing Agreement between Hewlett‑Packard and Agilent Technologies, Inc. | S-1/A | 11/10/1999 | 2.8 | ||||||||
| 2.9 | Master IT Service Level Agreement between Hewlett‑Packard and Agilent Technologies, Inc. | S-1/A | 11/10/1999 | 2.9 | ||||||||
| 2.10 | Real Estate Matters Agreement between Hewlett‑Packard and Agilent Technologies, Inc. | S-1/A | 11/10/1999 | 2.10 | ||||||||
| 2.11 | Environmental Matters Agreement between Hewlett‑Packard and Agilent Technologies, Inc. | S-1/A | 11/10/1999 | 2.11 | ||||||||
| 2.12 | Master Confidential Disclosure Agreement between Hewlett‑Packard and Agilent Technologies, Inc. | S-1/A | 11/10/1999 | 2.12 | ||||||||
| 2.13 | Indemnification and Insurance Matters Agreement between Hewlett‑Packard and Agilent Technologies, Inc. | S-1/A | 11/10/1999 | 2.13 | ||||||||
| 2.14 | Non U.S. Plan. | S-1/A | 11/10/1999 | 2.14 | ||||||||
| 2.15 | Share Purchase Agreement, dated as of August 12, 2005, by and among Agilent Technologies, Inc. and Agilent LED International, Philips Lumileds Holding B.V. and Koninklijke Philips Electronics N.V. | 8-K | 8/15/2005 | 2.2 | ||||||||
| 2.16 | Agreement and Plan of Merger dated as of July 26, 2009, by and among Agilent Technologies, Inc., Cobalt Acquisition Corp. and Varian, Inc. | 10-Q | 9/4/2009 | 2.1 | ||||||||
| 2.17 | Asset Purchase Agreement, dated February 10, 2010, by and between Agilent Technologies, Inc. and JDS Uniphase Corporation (pursuant to Item 601(b)(2) of Regulation S-K, schedules to the Asset Purchase Agreement have been omitted; they will be supplementally provided to the SEC upon request) | 10-Q | 3/10/2010 | 2.1 | ||||||||
| 2.18 | Separation and Distribution Agreement, dated August 1, 2014, by and between Agilent Technologies, Inc. and Keysight Technologies, Inc. (pursuant to Item 601(b)(2) of Regulation S-K, schedules to the Separation and Distribution Agreement have been omitted; they will be supplementally provided to the SEC upon request) | 8-K | 8/1/2014 | 2.1 |
| Incorporation by Reference | ||||||||||||
| Exhibit Number | Description | Form | Date | Exhibit Number | Filed Herewith | |||||||
| 3.1 | Amended and Restated Certificate of Incorporation. | S-1 | 8/16/1999 | 3.1 | ||||||||
| 3.2 | Amended and Restated Bylaws. | 8-K | 11/20/2012 | 3.1 | ||||||||
| 4.1 | Registration Rights Agreement between Agilent Technologies, Inc. and Credit Suisse First Boston Corporation, J.P. Morgan Securities, Inc. and Salomon Smith Barney, Inc. dated November 27, 2001. | 8-K | 11/27/2001 | 99.3 | ||||||||
| 4.2 | Indenture, dated October 24, 2007, between Agilent Technologies, Inc. and the trustee for the debt securities. | S-3ASR | 10/24/2007 | 4.01 | ||||||||
| 4.3 | Form of First Supplemental Indenture, dated as of October 29, 2007, between Agilent Technologies, Inc. and U.S. Bank National Association and Form of Global Note for Agilent Technologies, Inc. 6.50% Senior Notes due 2017. | 8-K | 10/26/2007 | 4.01 | ||||||||
| 4.4 | Fifth Supplemental Indenture, dated as of July 20, 2010, between the Company and U.S. Bank National Association and Form of Global Note for the Company's 5.00% Senior Notes due 2020. | 8-K | 7/20/2010 | 4.02 | ||||||||
| 4.5 | Sixth Supplemental Indenture, dated as of September 13, 2012, between the Company and U.S. Bank National Association | 8-K | 9/13/2012 | 4.01 | ||||||||
| 4.6 | Form of Global Note for the Company's 3.20% Senior Notes due 2022 (contained in Exhibit 4.01) | 8-K | 9/13/2012 | 4.02 | ||||||||
| 4.7 | Seventh Supplemental Indenture, dated as of June 21, 2013, between the Company and U.S. Bank National Association and Form of Global Note for the Company’s 3.875% Senior Notes due 2023. | 8-K | 6/21/2013 | 4.01 | ||||||||
| 4.8 | Eighth Supplemental Indenture, dated as of September 22, 2016, between the Company and U.S. Bank National Association and Form of Global Note for the Company’s 3.050% Senior Note due 2026 | 8-K | 9/22/2016 | 4.01 | ||||||||
| 10.1 | Agilent Technologies, Inc. 1999 Stock Plan (Amendment and Restatement Effective November 14, 2006).* | 10-K | 12/22/2006 | 10.8 | ||||||||
| 10.2 | Form of Award Agreement (U.S.) for grants under the Agilent Technologies, Inc. 1999 Stock Plan.* | 8-K | 11/12/2004 | 10.1 | ||||||||
| 10.3 | Form of Award Agreement (Non-U.S.) for grants under the Agilent Technologies, Inc. 1999 Stock Plan.* | 8-K | 11/12/2004 | 10.2 | ||||||||
| 10.4 | Agilent Technologies, Inc. Employee Stock Purchase Plan (Amended and Restated, effective November 1, 2008).* | 10-Q | 9/5/2008 | 10.1 | ||||||||
| 10.5 | Agilent Technologies, Inc. 1999 Non-Employee Director Stock Plan (Amended and Restated Effective November 14, 2007).* | 10-K | 12/21/2007 | 10.23 | ||||||||
| 10.6 | Form of Stock Option Agreement for grants under the Agilent Technologies, Inc. 1999 Non-Employee Director Stock Plan.* | 8-K | 11/12/2004 | 10.3 | ||||||||
| 10.7 | Form of Stock Option Award Agreement for grants under the Agilent Technologies, Inc. 1999 Non-Employee Director Stock Plan.* | 10-Q | 9/5/2008 | 10.2 | ||||||||
| 10.8 | Agilent Technologies, Inc. 2009 Stock Plan.* | DEF14A | 1/27/2009 | Appendix A |
| Incorporation by Reference | ||||||||||||
| Exhibit Number | Description | Form | Date | Exhibit Number | Filed Herewith | |||||||
| 10.9 | Form of Stock Option Award Agreement under the 2009 Stock Plan for U.S. Employees (for awards made after October 31, 2010).* | 10‑K | 12/20/2010 | 10.17 | ||||||||
| 10.1 | Form of Stock Option Award Agreement under the 2009 Stock Plan for U.S. Employees.* | 10-K | 12/21/2009 | 10.31 | ||||||||
| 10.11 | Form of Stock Option Award Agreement under the 2009 Stock Plan for non-U.S. Employees (for awards made after October 31, 2010).* | 10‑K | 12/20/2010 | 10.19 | ||||||||
| 10.12 | Form of Stock Option Award Agreement under the 2009 Stock Plan for non-U.S. Employees.* | 10-K | 12/21/2009 | 10.32 | ||||||||
| 10.13 | Form of Stock Award Agreement for Standard Awards granted to Employees (for awards made after October 31, 2010).* | 10‑K | 12/20/2010 | 10.21 | ||||||||
| 10.14 | Form of Stock Award Agreement for Standard Awards granted to Employees.* | 10-K | 12/21/2009 | 10.33 | ||||||||
| 10.15 | Form of New Executive Stock Award Agreement under the 2009 Stock Plan.* | 8-K | 3/25/2009 | 10.4 | ||||||||
| 10.16 | Form of Non-Employee Director Stock Option Award Agreement under the 2009 Stock Plan.* | 8-K | 3/25/2009 | 10.5 | ||||||||
| 10.17 | Form of Long-Term Performance Program Stock Award Agreement under the 2009 Stock Plan.* | 10-K | 12/21/2009 | 10.36 | ||||||||
| 10.18 | Form of Stock Award Agreement under the 2009 Stock Plan for Standard Awards granted to Employees (for awards made after November 17, 2015).* | 10-K | 12/21/2015 | 10.26 | ||||||||
| 10.19 | Form of Stock Award Agreement under the 2009 Stock Plan for Standard Awards granted to Officers (for awards made after November 17, 2015). * | 10-K | 12/21/2015 | 10.27 | ||||||||
| 10.20 | Form of Stock Award Agreement under the 2009 Stock Plan for Long-Term Performance Program Awards (for awards made after November 17, 2015). * | 10-K | 12/21/2015 | 10.28 | ||||||||
| 10.21 | Form of Stock Award Agreement under the 2009 Stock Plan for New Executives (for awards made after November 17, 2015). * | 10-K | 12/21/2015 | 10.29 | ||||||||
| 10.22 | Agilent Technologies, Inc. Supplemental Benefit Retirement Plan (Amended and Restated Effective January 1, 2005).* | 10-K | 12/21/2007 | 10.25 | ||||||||
| 10.23 | Agilent Technologies, Inc. Long-Term Performance Program (Amended and Restated through November 1, 2005).* | 10-Q | 3/9/2006 | 10.63 | ||||||||
| 10.24 | Agilent Technologies, Inc. 2005 Deferred Compensation Plan for Non-Employee Directors (Amended and Restated Effective November 18, 2009).* | 10-K | 12/21/2009 | 10.39 | ||||||||
| 10.25 | Agilent Technologies, Inc. 2005 Deferred Compensation Plan (Amended and Restated Effective January 1, 2011).* | 10‑K | 12/20/2010 | 10.29 | ||||||||
| 10.26 | Agilent Technologies, Inc. 2010 Performance‑Based Compensation Plan for Covered Employees. (as adopted on November 19. 2014) | DEF14A | 2/6/2015 | Annex A | ||||||||
| 10.27 | Form of Amended and Restated Indemnification Agreement between Agilent Technologies, Inc. and Directors of the Company, Section 16 Officers and Board‑elected Officers of the Company.* | 8-K | 4/10/2008 | 10.1 |
| Incorporation by Reference | ||||||||||||
| Exhibit Number | Description | Form | Date | Exhibit Number | Filed Herewith | |||||||
| 10.28 | Form of Tier I Change of Control Severance Agreement between Agilent Technologies, Inc. and the Chief Executive Officer* | 10-K | 12/22/2014 | 10.35 | ||||||||
| 10.29 | Form of Amended and Restated Change of Control Severance Agreement between Agilent Technologies, Inc. and Section 16 Officers (other than the Company's Chief Executive Officer).* | 8-K | 4/10/2008 | 10.3 | ||||||||
| 10.30 | Form of Tier II Change of Control Severance Agreement between Agilent Technologies, Inc. and Section 16 Officers (other than the Company’s Chief Executive Offier)* | 10-K | 12/22/2014 | 10.37 | ||||||||
| 10.31 | Form of New Executive Officer Change of Control Severance Agreement between Agilent Technologies, Inc. and specified executives of the Company (for executives hired, elected or promoted after July 14, 2009).* | 10-K | 12/21/2009 | 10.50 | ||||||||
| 10.32 | Form of Tier III Change of Control Severance Agreement between Agilent Technologies, Inc. and specified executives of the Company* | 10-K | 12/22/2014 | 10.39 | ||||||||
| 10.33 | Tax Matters Agreement, dated August 1, 2014, by and between Agilent Technologies, Inc. and Keysight Technologies, Inc. | 8-K | 8/5/2014 | 10.1 | ||||||||
| 10.34 | Employee Matters Agreement, dated August 1, 2014, by and between Agilent Technologies, Inc. and Keysight Technologies, Inc. | 8-K | 8/5/2014 | 10.2 | ||||||||
| 10.35 | Intellectual Property Matters Agreement, dated August 1, 2014, by and between Agilent Technologies, Inc. and Keysight Technologies, Inc. | 8-K | 8/5/2014 | 10.3 | ||||||||
| 10.36 | Trademark License Agreement, dated August 1, 2014, by and between Agilent Technologies, Inc. and Keysight Technologies, Inc. | 8-K | 8/5/2014 | 10.4 | ||||||||
| 10.37 | Real Estate Matters Agreement, dated August 1, 2014, by and between Agilent Technologies, Inc. and Keysight Technologies, Inc. | 8-K | 8/5/2014 | 10.5 | ||||||||
| 10.38 | Underwriting Agreement, dated October 24, 2007, by and among Agilent Technologies, Inc., Citigroup Global Markets Inc. and J.P. Morgan Securities Inc., on behalf of the several underwriters named therein. | 8-K | 10/26/2007 | 1.01 | ||||||||
| 10.39 | Underwriting Agreement, dated September 9, 2009, by and among the Company, Barclays Capital Inc., Citigroup Global Markets Inc. and Credit Suisse Securities (USA) LLC, on behalf of the several underwriters named therein. | 8-K | 9/14/2009 | 1.01 | ||||||||
| 10.40 | Underwriting Agreement, dated July 13, 2010, by and among the Company, Banc of America Securities LLC, Barclays Capital Inc. and Credit Suisse Securities (USA) LLC, on behalf of the several underwriters named therein. | 8-K | 7/19/2010 | 1.01 | ||||||||
| 10.41 | Underwriting Agreement, dated September 10, 2012, by and among the Company, Barclays Capital Inc., J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated, on behalf of the several underwriters named therein | 8-K | 9/13/2012 | 1.01 |
| Incorporation by Reference | ||||||||||||
| Exhibit Number | Description | Form | Date | Exhibit Number | Filed Herewith | |||||||
| 10.42 | Underwriting Agreement, dated June18, 2013, by and among the Company, BNP Paribas Securities Corp., Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated, on behalf of the several underwriters named therein. | 8-K | 6/21/2013 | 1.01 | ||||||||
| 10.43 | Credit Agreement, dated September 15, 2014, by and among the Company, the Lenders party thereto and BNP Paribas, as Administrative Agent. | 8-K | 9/15/2014 | 10.2 | ||||||||
| 10.44 | Letter Agreement dated as of June 9, 2015 by and among the Company, BNP Paribas, as Administrative Agent under the Credit Agreement and certain banks | 8-K | 6/10/2015 | 10.1 | ||||||||
| 10.45 | Share Purchase Agreement by and among Delphi S.a.r.l., Agilent Technologies Europe B.V. and Agilent Technologies, Inc., dated May 16, 2012. | 8-K | 5/22/2012 | 10.1 | ||||||||
| 10.46 | Contract of Employment - Corporate Vice President, by and among Dako Denmark A/S and Jacob Thaysen* | 10-K | 12/22/2014 | 10.61 | ||||||||
| 10.47 | Letter of Terms and Conditions International Long Term Assignment, by and among Jacob Thaysen and the Company* | 10-K | 12/22/2014 | 10.62 | ||||||||
| 10.48 | Bonus Retention Agreement, by and among Jacob Thaysen and the Company* | 10-K | 12/22/2014 | 10.63 | ||||||||
| 10.49 | Bonus Retention Notification for FY 13 and FY13-FY15 Performance Periods, by and among Jacob Thaysen and the Company* | 10-K | 12/22/2014 | 10.64 | ||||||||
| 10.50 | Letter of Terms and Conditions Localization Program by and among Jacob Thaysen and the Company * | 10-K | 12/21/2015 | 10.70 | ||||||||
| 10.51 | Letter of Terms and Conditions Localization Program by and among Patrick Kaltenbach and the Company * | 10-K | 12/21/2015 | 10.71 | ||||||||
| 10.52 | Letter of Terms and Conditions of U.S. Indefinite Relocation and U.S. Domestic Relocation Agreement, each by and among Michael R. McMullen and the Company* | 10-Q | 3/8/2016 | 10.1 | ||||||||
| 11.1 | See Note 6, “Net Income Per Share”, to our Consolidated Financial Statements on page 76. | X | ||||||||||
| 12.1 | Computation of ratio of earnings to fixed charges. | X | ||||||||||
| 14.1 | See Investor Information in Item 1: Business on page 16 of this Annual Report on Form 10-K. | X | ||||||||||
| 21.1 | Significant subsidiaries of Agilent Technologies, Inc. as of October 31, 2016. | X | ||||||||||
| 23.1 | Consent of Independent Registered Public Accounting Firm. | X | ||||||||||
| 24.1 | Powers of Attorney. Contained in the signature page of this Annual Report on Form 10-K. | X | ||||||||||
| 31.1 | Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes‑Oxley Act of 2002. | X | ||||||||||
| 31.2 | Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes‑Oxley Act of 2002. | X | ||||||||||
| 32.1 | Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes‑Oxley Act of 2002. | X |
| Incorporation by Reference | ||||||||||||
| Exhibit Number | Description | Form | Date | Exhibit Number | Filed Herewith | |||||||
| 32.2 | Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes‑Oxley Act of 2002. | X | ||||||||||
| 101.INS | XBRL Instance Document. | X | ||||||||||
| 101.SCH | XBRL Taxonomy Extension Schema Document. | X | ||||||||||
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document. | X | ||||||||||
| 101.LAB | XBRL Taxonomy Extension Label Linkbase Document. | X | ||||||||||
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document. | X | ||||||||||
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document. | X |
| * | Indicates management contract or compensatory plan, contract or arrangement. |
+ Pursuant to a request for confidential treatment, confidential portions of this Exhibit have been redacted and have been
filed separately with the Securities and Exchange Commission.
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| AGILENT TECHNOLOGIES, INC. | ||||
| BY | /s/ MICHAEL TANG | |||
| Michael Tang | ||||
| Senior Vice President, | ||||
| General Counsel and Secretary |
Date: December 20, 2016
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Michael Tang and P. Diana Chiu, or either of them, his or her attorneys-in-fact, for such person in any and all capacities, to sign any amendments to this report and to file the same, with exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, hereby ratifying and confirming all that any of said attorneys-in-fact, or substitute or substitutes, may do or cause to be done by virtue hereof. Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
| Signature | Title | Date | ||
| /s/ MICHAEL R. MCMULLEN | Director, President and Chief Executive Officer | December 20, 2016 | ||
| Michael R. McMullen | (Principal Executive Officer) | |||
| /s/ DIDIER HIRSCH | Senior Vice President and Chief Financial Officer | December 20, 2016 | ||
| Didier Hirsch | (Principal Financial Officer) | |||
| /s/ RODNEY GONSALVES | Vice President, Corporate Controllership | December 20, 2016 | ||
| Rodney Gonsalves | (Principal Accounting Officer) | |||
| /s/ JAMES G. CULLEN | Chairman of the Board of Directors | December 20, 2016 | ||
| James G. Cullen | ||||
| /s/ PAUL N. CLARK | Director | December 20, 2016 | ||
| Paul N. Clark | ||||
| /s/ HEIDI FIELDS | Director | December 20, 2016 | ||
| Heidi Fields | ||||
| /s/ ROBERT J. HERBOLD | Director | December 20, 2016 | ||
| Robert J. Herbold | ||||
| /s/ KOH BOON HWEE | Director | December 20, 2016 | ||
| Koh Boon Hwee | ||||
| /s/ DANIEL K. PODOLSKY, M.D. | Director | December 20, 2016 | ||
| Daniel K. Podolsky, M.D. | ||||
| /s/ SUE H. RATAJ | Director | December 20, 2016 | ||
| Sue H. Rataj | ||||
| /s/ GEORGE A. SCANGOS, Ph D | Director | December 20, 2016 | ||
| George A. Scangos, Ph D. | ||||
| /s/ TADATAKA YAMADA, M.D. | Director | December 20, 2016 | ||
| Tadataka Yamada, M.D. |
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