-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UzE6IHaLp6hgGkvB3SBCZu2ay9wG2ewyxxa63W+sZsZ9qE0T7QTBOv5O5CbyuA6Z RT4AA4z2VeAZM8XvCL/a1Q== 0000950152-03-007063.txt : 20030725 0000950152-03-007063.hdr.sgml : 20030725 20030725125134 ACCESSION NUMBER: 0000950152-03-007063 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20030714 ITEM INFORMATION: Other events ITEM INFORMATION: Financial statements and exhibits FILED AS OF DATE: 20030725 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RES CARE INC /KY/ CENTRAL INDEX KEY: 0000776325 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-NURSING & PERSONAL CARE FACILITIES [8050] IRS NUMBER: 610875371 STATE OF INCORPORATION: KY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-20372 FILM NUMBER: 03802783 BUSINESS ADDRESS: STREET 1: 10140 LINN STATION RD CITY: LOUISVILLE STATE: KY ZIP: 40223 BUSINESS PHONE: 5023942100 MAIL ADDRESS: STREET 1: 10140 LINN STATION RD CITY: LOUISVILLE STATE: KY ZIP: 40223 8-K 1 l02284ae8vk.htm RES-CARE, INC. 8-K Res-Care, Inc. 8-K
 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549


FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): July 14, 2003

RES-CARE, INC.
(Exact Name of Registrant as specified in Charter)

         
Kentucky   0-20372   61-0875371
(State or other   (Commission   (IRS Employer       
jurisdiction of   File Number)   Identification No.)
incorporation)        
     
10140 Linn Station Road, Louisville, Kentucky   40223
(Address of principal executive offices)   (Zip code)

(502) 394-2100
(Registrant’s telephone number, including area code)

N/A
(Former name or former address, if changed since last report.)

 


 

INFORMATION TO BE INCLUDED IN THE REPORT

Items 1 through 4, 6 and 8 through 12 are not applicable and are omitted from this report.

Item 5. Other

            The information in this Item 5 is being filed pursuant to Item 11 of Form 8-K, “Temporary Suspension of Trading under Registrant’s Employee Benefit Plan” as directed by the Securities and Exchange Commission in Release No. 34-47225.

            On July 25, 2003, ResCare sent a notice to its directors and executive officers of a blackout period in its Retirement Savings Plan. The blackout is due to a change of the recordkeeper of the plan by the plan trustee/custodian U.S. Bank. The blackout is expected to begin at 3:00 p.m. CDT on August 20, 2003 and end at 8:00 a.m. CDT on August 27, 2003. ResCare was notified of the blackout period on or about July 14, 2003. A copy of the notice sent to the directors and executive officers is attached as Exhibit 99.1 to this report.

Item 7. Financial Statements, Pro Forma Financial Information and Exhibits.

(a)   Financial Statements of Business Acquired.

    Not applicable
(b)   Pro Forma Financial Information
    Not applicable
(c)   Exhibits.
    The following exhibit is filed with the Report on Form 8-K:
     
REGULATION S-K
EXHIBIT NUMBERS EXHIBIT
     
99.1   Notice of Temporary Suspension of Trading Under
    Registrant’s Employee Benefit Plan.

 

 

 

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SIGNATURE

          Pursuant to the requirements 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.

         
        RES-CARE, INC.
         
         
Date: July 25, 2003   By      /s/ Ronald G. Geary
        Ronald G. Geary
        Chairman, CEO and President

 

 

 

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EX-99 3 l02284aexv99.htm EXHIBIT 99 Exhibit 99
 

Exhibit 99.1

 
Res-Care, Inc.

Memo

         
To:   ResCare Board of Directors and Executive Officers    
From:   Randy Wiley Peters VIA FACSIMILE OR EMAIL AND
CC:   Barbara Nevin US MAIL
Date:   7/25/03    
Re:   Pension Fund Blackout Notice IMPORTANT INFORMATION


     This notice is being sent to you pursuant to Regulation BTR of the Securities and Exchange Commission to advise you that you will not be able to trade in ResCare stock for the duration of the Blackout Period that is described below.

     Section 306 of the Sarbanes-Oxley Act prohibits trades in ResCare stock, with certain exceptions, by insiders during a blackout that applies to the Company’s 401k Plan (the “Plan”), or any other pension plan. The Company’s employees who participate in the Company’s 401k Plan have been notified that a “Blackout Period” is being imposed because U.S. Bank, the trustee/custodian of the Plan, is changing its recordkeeper. Attached is a copy of the notice of the Blackout Period that was sent by U.S. Bank to participants in the Plan.

     The Blackout Period is expected to begin at 3:00 p.m. CDT on August 20, 2003 and end at 8:00 a.m. CDT on August 27, 2003. Pursuant to Section 306 of Sarbanes-Oxley, you, as members of the Board of Directors and Executive Officers are also prohibited from directly or indirectly trading in ResCare stock for the duration of the Blackout Period, with certain exceptions.

     If you have any questions, please contact me at 502-394-2384. Barbara Nevin in the Human Resources Department can also answer questions about the Blackout Period and her phone number is 502-394-2208.

 

Page 1


 

Important Notice Concerning Your Rights

Under Your Retirement Plan (the “Plan”)

July 18, 2003

As a result of servicing enhancements to your retirement plan, you will temporarily be unable to direct or diversify your investments, obtain a loan from the Plan, or obtain a distribution from the Plan. This period, during which you will be unable to exercise these rights otherwise available under the Plan, is called a “blackout period”. Whether or not you are planning retirement in the near future, we encourage you to carefully consider how this blackout period may affect your retirement planning, as well as your overall financial plan.

The blackout period for the Plan is expected to begin on August 20, 2003 at 3:00 p.m. CDT and expected to end on August 27, 2003 at 8:00 a.m. CDT.

During the blackout period you will be unable to direct or diversify the assets held in your Plan account. For this reason, it is very important that you review and consider the appropriateness of your current investments in light of your inability to direct or diversify those investments during the blackout period. For your long term retirement security, you should give careful consideration to the importance of a well-balanced and diversified portfolio, taking into account all your assets, income and investments.

If your Plan includes employer stock, you should be aware that there is a risk to holding substantial portions of your assets in the securities of any one company, as individual securities tend to have wider price swings, up and down, in short periods of time, than investments in diversified funds. Stocks that have wide price swings might have a large loss during the blackout period, and you would not be able to direct the sale of such stocks from your Plan account during the blackout period.

If you have any questions concerning this notice, please call the Getting There Information Line at 1-800-236-3982.

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