[Dana Logo]
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 10-K/A-1
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF
THE SECURITIES EXCHANGE ACT OF 1934
For the Fiscal Year Ended December 31, 2000 Commission file number 1-1063
DANA CORPORATION
(Exact name of registrant as specified in its charter)
Virginia 34-4361040
(State or other jurisdiction of (IRS Employer Identification No.)
incorporation or organization)
4500 Dorr Street, Toledo, Ohio 43615
(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code (419) 535-4500
Securities registered pursuant to Section 12(b) of the Act:
Title of each class Name of each exchange on which registered
Common Stock, $1 par value New York Stock Exchange and Pacific Exchange
Securities registered pursuant to Section 12(g) of the Act:
None
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(Title of Class)
Indicate by check mark whether the registrant (1) has filed all reports required
to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during
the preceding 12 months (or for such shorter period that the registrant was
required to file such reports), and (2) has been subject to such filing
requirements for the past 90 days. Yes [X] No [ ]
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405
of Regulation S-K is not contained herein, and will not be contained, to the
best of registrant's knowledge, in definitive proxy or information statements
incorporated by reference in Part III of this Form 10-K or any amendment to this
Form 10-K. [ ]
The aggregate market value of the voting stock held by non-affiliates of the
registrant at February 16, 2001 was approximately $2,570,000,000.
There were 147,926,157 shares of registrant's Common Stock, $1 Par Value,
outstanding at February 16, 2001.
DOCUMENTS INCORPORATED BY REFERENCE
DOCUMENT WHERE INCORPORATED
1. Proxy Statement for Annual Meeting of Part III
Shareholders to be held on April 4, 2001.
2. Annual Report to Shareholders for year Parts I, II, IV
ended December 31, 2000.
The Exhibit Index is located at pages 18 - 19 of the sequential numbering
system.
1
The purpose of this amendment is to add Exhibits 4-H through 4-LL to the Exhibit
Index for this report and to the list of exhibits in Part IV, Item 14(a)(3).
The Exhibit Index is reprinted in full and, except for the added Exhibits, is
identical to the Exhibit Index in our originally filed report.
2
EXHIBIT INDEX
No. Description Method of Filing
3-A Restated Articles of Incorporation Filed by reference to Exhibit 3-A to our Form 10-Q
for the quarter ended June 30, 1998
3-B By-Laws, effective October 16, 2000 Filed by reference to Exhibit 3-B to our Form 10-Q
for the quarter ended September 30, 2000
4-A Specimen Single Denomination Stock Filed by reference to Exhibit 4-B to our
Certificate Registration Statement No. 333-18403 filed
December 20, 1996
4-B Rights Agreement, dated as of April 25, 1996, Filed by reference to Exhibit 1 to our Form 8-A
between Dana and ChemicalMellon Shareholder filed May 1, 1996
Services, L.L.C., Rights Agent
4-C Indenture for Senior Securities between Dana Filed by reference to Exhibit 4-B of our
and Citibank, N.A., Trustee, dated as of Registration Statement No. 333-42239 filed
December 15, 1997 December 15, 1997
4-D First Supplemental Indenture between Dana, as Filed by reference to Exhibit 4-B-1 to our Report
Issuer, and Citibank, N.A., Trustee, dated as on Form 8-K dated March 12, 1998
of March 11, 1998
4-E Form of 6.5% Notes due March 15, 2008 and Filed by reference to Exhibit 4-C-1 to our Report
7.00% Notes due March 15, 2028 on Form 8-K dated March 12, 1998
4-F Second Supplemental Indenture between Dana, Filed by reference to Exhibit 4.B.1 to our Form
as Issuer, and Citibank, N.A., Trustee, dated 8-K dated March 2, 1999
as of February 26, 1999
4-G Form of 6.25% Notes due 2004, 6.5% Notes due Filed by reference to Exhibit 4.C.1 to our Form
2009, and 7.0% Notes due 2029 8-K dated March 2, 1999
4-H Issuing and Paying Agent Agreement between This exhibit is not filed. We agree to furnish a
Dana Credit Corporation (DCC), as Issuer, and copy of this exhibit to the Commission upon
Bankers Trust Company, Issuing and Paying request.
agent, dated as of December 6, 1999, with
respect to DCC's $500 million medium-term
notes program
4-I Note Agreement dated April 8, 1997, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and copy of this exhibit to the Commission upon
Metropolitan Life Insurance Company for 7.18% request.
notes due April 8, 2006, in the principal
amount of $37 million
4-J Note Agreement dated April 8, 1997, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and Texas copy of this exhibit to the Commission upon
Life Insurance Company for 7.18% notes due request.
April 8, 2006, in the principal amount of $3
million
4-K Note Agreement dated April 8, 1997, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and copy of this exhibit to the Commission upon
Nationwide Life Insurance Company for 6.93% request.
notes due April 8, 2006, in the principal
amount of $35 million
3
4-L Note Agreement dated April 8, 1997, by This exhibit is not filed. We agree to furnish a
and between Dana Credit Corporation and The copy of this exhibit to the Commission upon
Great-West Life & Annuity Insurance Company request.
for 7.03% notes due April 8, 2006, in the
aggregate principal amount of $13 million
4-M Note Agreement dated April 8, 1997, by and This exhibit is not filed. We agree to furnish
between Dana Credit Corporation and The a copy of this exhibit to the Commission upon
Great-West Life Assurance Company for request.
7.03% notes due April 8, 2006, in the
principal amount of $7 million
4-N Note Agreements (three) dated August 28, This exhibit is not filed. We agree to furnish a
1997, by and between Dana Credit Corporation copy of this exhibit to the Commission upon
and Connecticut General Life Insurance request.
Company for 6.79% notes due August 28, 2004,
in the aggregate principal amount of $16
million
4-O Note Agreement dated August 28, 1997, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and Life copy of this exhibit to the Commission upon
Insurance Company of North America for request.
6.79% notes due August 28, 2004, in the
principal amount of $4 million
4-P Note Agreement dated August 28, 1997, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and The copy of this exhibit to the Commission upon
Northwestern Mutual Life Insurance Company request.
for 6.88% notes due August 28, 2006, in the
principal amount of $20 million
4-Q Note Agreements (four) dated August 28, 1997, This exhibit is not filed. We agree to furnish a
by and between Dana Credit Corporation and copy of this exhibit to the Commission upon
Sun Life Assurance Company of Canada for request.
6.88% notes due August 28, 2006, in the
aggregate principal amount of $9 million
4-R Note Agreement dated August 28, 1997, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and copy of this exhibit to the Commission upon
Massachusetts Casualty Insurance Company for request.
6.88% notes due August 28, 2006, in the
principal amount of $1 million
4-S Note Agreements (four) dated December 18, This exhibit is not filed. We agree to furnish a
1998, by and between Dana Credit Corporation copy of this exhibit to the Commission upon
and Sun Life Assurance Company of Canada for request.
6.59% notes due December 1, 2007, in the
aggregate principal amount of $12 million
4-T Note Agreements (five) dated December 18, This exhibit is not filed. We agree to furnish a
1998, by and between Dana Credit Corporation copy of this exhibit to the Commission upon
and The Lincoln National Life Insurance request.
Company for 6.59% notes due December 1, 2007,
in the aggregate principal amount of $25
million
4
4-U Note Agreement dated December 18, 1998, by This exhibit is not filed. We agree to furnish a
and between Dana Credit Corporation and The copy of this exhibit to the Commission upon
Northwestern Mutual Life Insurance Company request.
for 6.48% notes due December 1, 2005, in the
principal amount of $15 million
4-V Note Agreement dated August 16, 1999, by This exhibit is not filed. We agree to furnish a
and between Dana Credit Corporation copy of this exhibit to the Commission upon
and Connecticut General Life Insurance request.
Company for 7.91% notes due August 16, 2006,
in the principal amount of $15 million
4-W Note Agreements (two) dated August 16, 1999, This exhibit is not filed. We agree to furnish a
by and between Dana Credit Corporation and copy of this exhibit to the Commission upon
The Northwestern Mutual Life Insurance request.
Company for 7.91% notes due August 16, 2006,
in the aggregate principal amount of $15
million
4-X Note Agreement dated August 16, 1999, This exhibit is not filed. We agree to furnish a
by and between Dana Credit Corporation and copy of this exhibit to the Commission upon
Allstate Life Insurance Company for 7.58% request.
notes due August 16, 2004, in the
principal amount of $10 million
4-Y Note Agreement dated August 16, 1999, by This exhibit is not filed. We agree to furnish a
and between Dana Credit Corporation and copy of this exhibit to the Commission upon
Allstate Insurance Company for 7.58% notes request.
due August 16, 2004, in the principal amount
of $5 million
4-Z Note Agreement dated August 16, 1999, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and New York copy of this exhibit to the Commission upon
Life Insurance and Annuity Corporation request.
Institutionally Owned Life Insurance Separate
Account for 7.58% notes due August 16, 2004,
in the principal amount of $5 million
4-AA Note Agreement dated August 16, 1999, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and New York copy of this exhibit to the Commission upon
Life Insurance and Annuity Corporation for request.
7.58% notes due August 16, 2004, in the
principal amount of $10 million
4-BB Note Agreement dated August 16, 1999, This exhibit is not filed. We agree to furnish a
by and between Dana Credit Corporation copy of this exhibit to the Commission upon
and Principal Life Insurance Company for request.
7.58% notes due August 16, 2004, in the
principal amount of $30 million
4-CC Note Agreement dated August 16, 1999, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and First copy of this exhibit to the Commission upon
Trenton Indemnity Company for 7.58% notes due request.
August 16, 2004, in the principal amount of
$2.5 million
5
4-DD Note Agreement dated August 16, 1999, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and Travelers copy of this exhibit to the Commission upon
Casualty and Surety Company for 7.58% notes request.
due August 16, 2004, in the principal amount
of $10 million
4-EE Note Agreement dated August 16, 1999, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and The copy of this exhibit to the Commission upon
Travelers Insurance Company for 7.58% notes request.
due August 16, 2004, in the principal amount
of $2.5 million
4-FF Note Agreement dated December 7, 1999, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and Allstate copy of this exhibit to the Commission upon
Life Insurance Company for 7.42% notes due request.
December 15, 2004, in the principal amount of
$14 million
4-GG Note Agreement dated December 7, 1999, by This exhibit is not filed. We agree to furnish a
and between Dana Credit Corporation and copy of this exhibit to the Commission upon
Columbia Universal Life Insurance Co. for request.
7.42% notes due December 15, 2004, in the
principal amount of $1 million
4-HH Note Agreement dated December 7, 1999, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and The copy of this exhibit to the Commission upon
Northwestern Mutual Life Insurance Company request.
for 7.42% notes due December 15, 2004, in the
principal amount of $14 million
4-II Note Agreement dated December 7, 1999, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and The copy of this exhibit to the Commission upon
Northwestern Mutual Life Insurance Company request.
for its Group Annuity Separate Account for
7.42% notes due December 15, 2004, in the
principal amount of $1 million
4-JJ Note Agreement dated December 7, 1999, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and Pacific copy of this exhibit to the Commission upon
Life and Annuity Company for 7.42% notes due request.
December 15, 2004, in the principal amount of
$5 million
4-KK Note Agreement dated December 7, 1999, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and United copy of this exhibit to the Commission upon
Life Insurance Company for 7.42% notes due request.
December 15, 2004, in the principal amount of
$3 million
4-LL Note Agreement dated December 7, 1999, by and This exhibit is not filed. We agree to furnish a
between Dana Credit Corporation and copy of this exhibit to the Commission upon
Companion Life Insurance Company for 7.42% request.
notes due December 15, 2004, in the principal
amount of $2 million
10-A Additional Compensation Plan Filed by reference to Exhibit A to our Proxy
Statement dated March 3, 2000
10-B 1997 Stock Option Plan Filed by reference to Exhibit A to our Proxy
Statement dated March 5, 1999
10-B(1) First Amendment to 1997 Stock Option Plan Filed by reference to Exhibit B to our Proxy
Statement dated March 2, 2001
6
10-C Excess Benefits Plan Filed by reference to Exhibit 10-F to our Form
10-K for the year ended December 31, 1998
10-C(1) First Amendment to Excess Benefits Plan Filed by reference to Exhibit 10-C(1) to our Form
10-Q for the quarter ended September 30, 2000
10-D Director Deferred Fee Plan Filed by reference to Exhibit B to our Proxy
Statement dated February 28, 1997
10-D(1) First Amendment to Director Deferred Fee Plan Filed by reference to Exhibit 10-I(1) to our Form
10-Q for the quarter ended March 31, 1998
10-D(2) Second Amendment to Director Deferred Fee Filed by reference to Exhibit 10-I(2) to our Form
Plan 10-K for the year ended December 31, 1998
10-E Employment Agreement between Dana and J.M. Filed with this Report
Magliochetti
10-F Change of Control Agreement between Dana and Filed by reference to Exhibit 10-J(4) to our Form
W.J. Carroll. There are substantially 10-K for the year ended December 31, 1997
similar agreements with R.L. Clayton, B.N.
Cole, M.A. Franklin, C.F. Heine, J.M.
Laisure, R.C. Richter, and E.J. Shultz
10-G Collateral Assignment Split-Dollar Insurance Filed with this Report
Agreement for Universal Life Policies between
Dana and J.M. Magliochetti. There are
substantially similar agreements with W.J.
Carroll, M.A. Franklin, and E.J. Shultz
10-H Supplemental Benefits Plan Filed by reference to Exhibit 10-K to our Form
10-K for the year ended December 31, 1998
10-I 1999 Restricted Stock Plan Filed by reference to Exhibit B to our Proxy
Statement dated March 5, 1999
10-J 1998 Directors' Stock Option Plan Filed by reference to Exhibit A to our Proxy
Statement dated February 27, 1998
10-K Supplementary Bonus Plan Filed by reference to Exhibit 10-N to our Form
10-Q for the quarter ended June 30, 1995
13 Those sections of our 2000 Annual Report that Filed with this Report
are referred to in this Form 10-K
21 Subsidiaries of Dana Filed with this Report
23 Consent of PricewaterhouseCoopers LLP Filed with this Report
24 Power of Attorney Filed with this Report
7
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.
DANA CORPORATION
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(Registrant)
Date: October 23, 2001 By: /s/ Michael L. DeBacker
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Michael L. DeBacker, Vice President
8