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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Abaxis, Inc. (delisted) | NASDAQ:ABAX | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 83.00 | 82.85 | 83.01 | 0 | 01:00:00 |
x | ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
o | TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
A. | Full title of the plan and the address of the plan, if different from that of the issuer named below: |
B. | Name of issuer of the securities held pursuant to the plan and address of its principal executive office: |
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Page
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3
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4
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5
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6-13
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15
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16
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17
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Exhibit 23.1
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/s/ Burr Pilger Mayer, Inc.
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San Jose, California
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June 27, 2014
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2013
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2012
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||||||
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||||||
Assets:
|
|
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||||||
Investments, at fair value
|
$
|
22,782,208
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$
|
17,951,933
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||||
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||||||||
Receivables:
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||||||||
Notes receivable from participants
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458,564
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411,569
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||||||
Employer contribution
|
-
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145,899
|
||||||
Other receivables
|
-
|
2,527
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||||||
Total receivables
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458,564
|
559,995
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||||||
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||||||||
Total assets
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23,240,772
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18,511,928
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||||||
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||||||||
Net assets available for benefits at fair value
|
23,240,772
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18,511,928
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||||||
Adjustment from fair value to contract value for fully benefit-responsive investment contracts
|
5,861
|
(91,947
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)
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|||||
Net assets available for benefits
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$
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23,246,633
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$
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18,419,981
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Additions:
|
|
|||
Additions to net assets attributed to:
|
|
|||
Investment income:
|
|
|||
Net appreciation in fair value of investments
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$
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2,647,514
|
||
Interest, dividend and other income
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661,339
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|||
Total investment income
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3,308,853
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|||
|
||||
Interest on notes receivable from participants
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23,965
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|||
|
||||
Contributions:
|
||||
Participants
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2,046,972
|
|||
Employer
|
464,874
|
|||
Rollovers
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748,381
|
|||
Total contributions
|
3,260,227
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|||
|
||||
Total additions
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6,593,045
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|||
|
||||
Deductions:
|
||||
Deductions from net assets attributed to:
|
||||
Benefits paid to participants
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1,730,275
|
|||
Administrative expenses
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36,118
|
|||
Total deductions
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1,766,393
|
|||
|
||||
Net increase
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4,826,652
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|||
|
||||
Net assets available for benefits at:
|
||||
Beginning of year
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18,419,981
|
|||
|
||||
End of year
|
$
|
23,246,633
|
1. | Description of the Plan |
1. | Description of the Plan , continued |
1. | Description of the Plan , continued |
1. | Description of the Plan , continued |
2. | Significant Accounting Policies |
Level 1: | Quoted prices (unadjusted) in active markets for identical assets or liabilities. |
2. | Significant Accounting Policies , continued |
|
2013
|
2012
|
||||||
|
|
|
||||||
Investments:
|
|
|
||||||
Abaxis Common Stock Fund (1)
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$
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1,986,340
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$
|
-
|
||||
Abaxis Stock Portfolio (unitized managed account) (1)
|
-
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1,911,630
|
||||||
American Funds the Growth Fund of America
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1,196,139
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956,690
|
||||||
Fidelity Spartan 500 Index
|
1,412,985
|
1,167,660
|
||||||
JPMCB Stable Asset Income Fund (2)
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2,795,919
|
-
|
||||||
Metlife Stable Value (2)
|
-
|
1,766,760
|
||||||
Pimco Total Return
|
1,193,065
|
1,195,265
|
||||||
Vanguard Target Retirement 2030
|
1,516,997
|
1,031,580
|
||||||
Vanguard Target Retirement 2035
|
1,486,252
|
*
|
||||||
Other funds less than 5% of net assets available for benefits
|
11,194,511
|
9,922,348
|
||||||
Total assets held for investment purposes
|
$
|
22,782,208
|
$
|
17,951,933
|
(1) | In September 2013, the accounting for the Plan's investment in Abaxis Common Stock Fund was changed from unitized to share accounting. |
(2) | In September 2013, the Plan's investment in Metlife Stable Value was transferred to the JPMCB Stable Asset Income Fund. |
* | Less than five percent of the Plan's net assets available for benefits at December 31, 2012. |
3. | Investments and Fair Value Measurements , continued |
|
2013
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|||
|
|
|||
Mutual funds
|
$
|
2,555,189
|
||
Common stock fund
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148,347
|
|||
Collective investment fund
|
(56,022
|
)
|
||
Net increase in fair value of investments
|
$
|
2,647,514
|
|
Assets at Fair Value as of December 31, 2013
|
|||||||||||||||
|
Level 1
|
Level 2
|
Level 3
|
Total
|
||||||||||||
Mutual funds:
|
|
|
|
|
||||||||||||
Balanced funds
|
$
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7,841,750
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$
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-
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$
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-
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$
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7,841,750
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||||||||
Blend funds
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4,265,028
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-
|
-
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4,265,028
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||||||||||||
Fixed income funds
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1,382,624
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-
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-
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1,382,624
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||||||||||||
Growth funds
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2,643,869
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-
|
-
|
2,643,869
|
||||||||||||
Value funds
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1,274,690
|
-
|
-
|
1,274,690
|
||||||||||||
Others
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591,988
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-
|
-
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591,988
|
||||||||||||
Total mutual funds
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17,999,949
|
-
|
-
|
17,999,949
|
||||||||||||
Common stock fund
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1,986,340
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-
|
-
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1,986,340
|
||||||||||||
Collective investment fund
|
-
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2,795,919
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-
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2,795,919
|
||||||||||||
Total assets held for investment at fair value
|
$
|
19,986,289
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$
|
2,795,919
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$
|
-
|
$
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22,782,208
|
|
Assets at Fair Value as of December 31, 2012
|
|||||||||||||||
|
Level 1
|
Level 2
|
Level 3
|
Total
|
||||||||||||
Mutual funds:
|
|
|
|
|
||||||||||||
Balanced funds
|
$
|
5,424,366
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$
|
-
|
$
|
-
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$
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5,424,366
|
||||||||
Blend funds
|
3,590,638
|
-
|
-
|
3,590,638
|
||||||||||||
Fixed income funds
|
1,378,861
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-
|
-
|
1,378,861
|
||||||||||||
Growth funds
|
1,915,281
|
-
|
-
|
1,915,281
|
||||||||||||
Value funds
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1,063,707
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-
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-
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1,063,707
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||||||||||||
Others
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415,652
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-
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-
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415,652
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||||||||||||
Total mutual funds
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13,788,505
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-
|
-
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13,788,505
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||||||||||||
Money market funds
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485,038
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-
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-
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485,038
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||||||||||||
Unitized managed account - Cash
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56,111
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-
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-
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56,111
|
||||||||||||
Unitized managed account - Abaxis common stock
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1,855,519
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-
|
-
|
1,855,519
|
||||||||||||
Common/collective trust funds
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-
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1,766,760
|
-
|
1,766,760
|
||||||||||||
Total assets held for investment at fair value
|
$
|
16,185,173
|
$
|
1,766,760
|
$
|
-
|
$
|
17,951,933
|
3. | Investments and Fair Value Measurements , continued |
4. | Related Party and Party-In-Interest Transactions |
Equivalent
|
|
|||||||
|
Shares
|
Fair Value
|
||||||
|
|
|
||||||
2013
|
49,632
|
$
|
1,986,340
|
|||||
2012
|
50,014
|
$
|
1,855,519
|
*
|
5. | Income Tax Status |
5. | Income Tax Status , continued |
6. | Reconciliation to Form 5500 |
2013
|
2012
|
|||||||
Net assets available for benefits per the financial statements
|
$
|
23,246,633
|
$
|
18,419,981
|
||||
Adjustment from contract value to fair value for fully benefit-responsive investment contracts
|
(5,861
|
)
|
91,947
|
|||||
Net assets available for benefits per the Form 5500
|
$
|
23,240,772
|
$
|
18,511,928
|
||||
|
||||||||
Change in net assets available for benefits per the financial statements
|
$
|
4,826,652
|
$
|
4,449,208
|
||||
Change in adjustment from contract value to fair value for fully benefit-responsive investment contracts
|
(97,808
|
)
|
91,947
|
|||||
Change in net assets available for benefits per the Form 5500
|
$
|
4,728,844
|
$
|
4,541,155
|
7. | Risk and Uncertainties |
8. | Subsequent Events |
(a)
|
(b)
Identity of issuer, borrower, lessor or similar party
|
(c)
Description of investment, including maturity date, rate of interest, collateral, par, or maturity value
|
(e)
Fair Value
|
|||||
|
|
|
|
|
||||
*
|
Abaxis Common Stock Fund
|
Common Stock
|
$
|
1,986,340
|
||||
* |
JPMCB Stable Asset Income Fund
|
Collective investment fund
|
2,795,919
|
|||||
*
|
Participant Loans
|
Interest rate of 3.25% to 5.25% with maturities ranging from 2014 to 2018
|
458,564
|
|||||
American Funds EuroPacific Growth
|
Mutual Fund
|
667,374
|
||||||
American Funds Smallcap World
|
Mutual Fund
|
184,290
|
||||||
American Funds the Growth Fund of America
|
Mutual Fund
|
1,196,139
|
||||||
Columbia Mid Cap Growth
|
Mutual Fund
|
841,026
|
||||||
Davis New York Venture
|
Mutual Fund
|
939,131
|
||||||
Dodge & Cox International Stock
|
Mutual Fund
|
683,624
|
||||||
Dodge & Cox Stock
|
Mutual Fund
|
459,477
|
||||||
Fidelity Spartan 500 Index
|
Mutual Fund
|
1,412,985
|
||||||
Fidelity Spartan Extended Market Index
|
Mutual Fund
|
319,846
|
||||||
Goldman Sachs Mid Cap Value
|
Mutual Fund
|
815,213
|
||||||
Hartford Small Company
|
Mutual Fund
|
205,042
|
||||||
* |
JPMorgan Large Cap Growth
|
Mutual Fund
|
217,372
|
|||||
Pimco Total Return
|
Mutual Fund
|
1,193,065
|
||||||
Royce Low-Priced Stock Fund
|
Mutual Fund
|
242,068
|
||||||
T Rowe Price Small Cap Value
|
Mutual Fund
|
330,259
|
||||||
Vanguard Intermediate-Term U.S. Treasury
|
Mutual Fund
|
189,559
|
||||||
Vanguard Target Retirement Income
|
Mutual Fund
|
37,891
|
||||||
Vanguard Target Retirement 2010
|
Mutual Fund
|
449,672
|
||||||
Vanguard Target Retirement 2015
|
Mutual Fund
|
795,631
|
||||||
Vanguard Target Retirement 2020
|
Mutual Fund
|
1,082,202
|
||||||
Vanguard Target Retirement 2025
|
Mutual Fund
|
976,600
|
||||||
Vanguard Target Retirement 2030
|
Mutual Fund
|
1,516,997
|
||||||
Vanguard Target Retirement 2035
|
Mutual Fund
|
1,486,252
|
||||||
Vanguard Target Retirement 2040
|
Mutual Fund
|
618,436
|
||||||
Vanguard Target Retirement 2045
|
Mutual Fund
|
607,149
|
||||||
Vanguard Target Retirement 2050
|
Mutual Fund
|
258,011
|
||||||
Vanguard Target Retirement 2055
|
Mutual Fund
|
12,909
|
||||||
Vanguard Total Bond Market Index
|
Mutual Fund
|
261,729
|
||||||
Total
|
$
|
23,240,772
|
*
|
Party-in-interest
|
|
|
Abaxis 401(K) Plan
|
||
|
|
|
|
|
Date:
|
June 27, 2014
|
By:
|
/s/ Alberto R. Santa Ines
|
|
|
|
|
Alberto R. Santa Ines
|
|
|
|
|
Member of Abaxis 401(k) Plan Administrative
|
|
Committee, as Plan Administrator
|
Exhibit No.
|
|
Description
|
|
|
|
|
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
|
1 Year Abaxis, Inc. (delisted) Chart |
1 Month Abaxis, Inc. (delisted) Chart |
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