10KSB/A 1 sionix_10ka2-093001.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-KSB/A AMENDMENT NO. 2 TO ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended September 30, 2001 Commission File No.2-95626-D SIONIX CORPORATION (Name of small business issuer in its charter) UTAH 87-0428526 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification Number) 9272 JERONIMO ROAD, SUITE 108, IRVINE, CA 92618 (Address of principal executive offices) (Zip Code) Issuer's Telephone Number: (949) 454-9283 Securities registered under Section 12(b) of the Exchange Act: NONE Securities registered under Section 12(g) of the Exchange Act: COMMON STOCK, PAR VALUE $.001 PER SHARE (Title of Class) Check whether the issuer (1) filed all reports required to be filed by Section 12 or 15(d) of the Exchange Act during the past 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 [ ] Check if there is no disclosure of delinquent filers in response to Item 405 of Regulation S-B is contained in this form, and no disclosure will 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-KSBor any amendment to this Form 10-KSB. [X] The issuer's revenues for the year ended September 30, 2001 were $0. The aggregate market value of the voting stock held by non-affiliates as of September 30, 2001, computed based on the average of the bid and ask prices reported on the OTC Bulletin Board, was $9,035,630. As of September 30, 2001, there were 62,688,698 shares of Common Stock of the issuer outstanding. Documents Incorporated by Reference: NONE Transitional Small Business Disclosure Format (Check one): Yes [ ] No [X] ITEM 9. DIRECTORS, EXECUTIVE OFFICERS, PROMOTERS AND CONTROL PERSONS; COMPLIANCE WITH SECTION 16(a) OF THE EXCHANGE ACT. The directors and executive officers of the Company are as follows: Name Age Position ----- --- --------- James J. Houtz 62 President, Chief Operating Officer and a Director Robert E. McCray 65 Chief Financial Officer and a Director Joan C. Horowitz 59 Secretary/Treasurer and a Director Rodney Anderson 74 Director Mr. Houtz has been President and Chief Operating Officer of the Company since March 1998. For more than five years prior to that time he was a self-employed consultant in the areas of engineering and new product development. Mr. Houtz is married to Joan C. Horowitz, Secretary/Treasurer of the Company. Mr. McCray has been Chief Financial Officer of the Company since July 1998. Prior to that time he was employed by San Clemente Hospital and Medical Center, as Supervisor-Accounts Payable and Supervisor-Data Processing. Ms. Horowitz has been Secretary/Treasurer and Office Manager of the Company since April 1998. Prior to that time she was employed by Coldwell Banker in office management. Ms. Horowitz is married to James J. Houtz, President of the Company. Mr. Anderson has been a director of the Company since 2001. He has been President of R.J Metal Products for the past 20 years, and has been involved in the engineering and manufacturing of metal products for more than fifty years. He has also served on the board of directors of three corporations. The term of office of each director is one year or until his successor is elected at the Company's annual meeting. Each officer is appointed by the Board of Directors and serves at the pleasure of the Board. In 1998 the Company entered into a five-year employment agreement with James J. Houtz, which was amended and restated in October 2000.The amended agreement calls for salary to Mr. Houtz of $85,000 per year, which amount is increased by 10% each year. In 1998 the Company entered into an employment agreement with Robert E. McCray, which was amended and restated in October 2000, and which expires in September 2001. The amended agreement calls for salary to Mr. McCray of $50,000 per year, which amount is increased by 8% each year. In 1998 the Company entered into an employment agreement with Joan C. Horowitz, which was amended and restated in October 2000, and which expires in September 2001. The amended agreement calls for salary to Ms. Horowitz of $32,000 per year, which amount is increased by 8% each year. SIGNATURES In accordance with Section 13 or 15(d) of the Exchange Act, the Registrant caused this Amendment to be signed on its behalf by the undersigned, thereunto duly authorized. Sionix Corporation Date: July 2, 2002 By: /s/ James J. Houtz --------------------------- James J. Houtz, President Pursuant to the requirements of the Securities Exchange Act of 1934, this Amendment to 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 ---------- ----- ---- (1) Principal Executive Officer /S/ JAMES J. HOUTZ President and a Director July 2, 2002 ----------------------- James J. Houtz (2) Principal Financial and Accounting Officer /S/ ROBERT MCCRAY Chief Financial Officer July 2, 2002 ----------------------- and a Director Robert McCray (3) Directors /S/ JOAN HOROWITZ Director July 2, 2002 ----------------------- Joan Horowitz /S/ RODNEY ANDERSON Director July 2, 2002 ----------------------- Rodney Anderson