-----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, Oj+tJc42Q3WzSD4K/G5AhjgRRPIXkYMQd048omkuOSAJnq/5HAh8+DDea8HMjRRa PpmFWqPrT7x8aysMn3lcSQ== 0001104659-04-030504.txt : 20041014 0001104659-04-030504.hdr.sgml : 20041014 20041014172708 ACCESSION NUMBER: 0001104659-04-030504 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041008 ITEM INFORMATION: Other Events FILED AS OF DATE: 20041014 DATE AS OF CHANGE: 20041014 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DPL INC CENTRAL INDEX KEY: 0000787250 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 311163136 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-09052 FILM NUMBER: 041079546 BUSINESS ADDRESS: STREET 1: 1065 WOODMAN DRIVE CITY: DAYTON STATE: OH ZIP: 45432 BUSINESS PHONE: 937 259 7142 MAIL ADDRESS: STREET 1: 1065 WOODMAN DRIVE CITY: DAYTON STATE: OH ZIP: 45432 8-K 1 a04-11360_48k.htm 8-K

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 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):  October 8, 2004

 

DPL Inc.

(Exact Name of Registrant as Specified in Its Charter)

 

Ohio

1-9052

31-1163136

(State or Other Jurisdiction  of Incorporation)

(Commission File Number)

(IRS Employer Identification No.)

 

 

 

1065 Woodman Drive, Dayton, Ohio

45432

(Address of Principal Executive Offices)

(Zip Code)

 

Registrant’s telephone number, including area code:  (937) 224-6000

 

(Former Name or Former Address, if Changed Since Last Report)

 

        Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

        o    Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

        o    Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

        o    Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

        o    Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 


 

Item 8.01.  Other Events

 

On October 8, 2004, DPL Inc. received a letter from the Securities and Exchange Commission (“SEC”) that questions DPL Inc.’s exemption from registration under the Public Utility Holding Company Act of 1935.  Unless DPL Inc. files a formal application for an exemptive order from the SEC within thirty (30) days from the date of this letter, DPL Inc. risks losing its exempt status.  DPL Inc. plans to promptly file a formal application to preserve its exempt status.  By filing a formal application, DPL Inc. retains its exempt status until the SEC completes its review and holds a hearing on this matter.

 

2


 

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 hereunto duly authorized.

 

 Date:  October 14, 2004

DPL Inc.

 

 

 

/s/ James V. Mahoney

 

Name: James V. Mahoney
Title: President and Chief Executive Officer

 

3

 -----END PRIVACY-ENHANCED MESSAGE-----