-----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, SSImSPySoX2JDcXIbZs7M1bckKM1hR+oO3J0qqdmr6K/PbbIDMv71lzGwJj5GKDz o0QatTqlqVSD/hte64d9aQ== 0000950109-97-003091.txt : 19970423 0000950109-97-003091.hdr.sgml : 19970423 ACCESSION NUMBER: 0000950109-97-003091 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19970421 SROS: NYSE FILER: COMPANY DATA: COMPANY CONFORMED NAME: ICF KAISER INTERNATIONAL INC CENTRAL INDEX KEY: 0000856200 STANDARD INDUSTRIAL CLASSIFICATION: HAZARDOUS WASTE MANAGEMENT [4955] IRS NUMBER: 541437073 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-12248 FILM NUMBER: 97584414 BUSINESS ADDRESS: STREET 1: 9300 LEE HWY CITY: FAIRFAX STATE: VA ZIP: 22031 BUSINESS PHONE: 7039343600 MAIL ADDRESS: STREET 1: 9300 LEE HWY CITY: FAIRFAX STATE: VA ZIP: 22031 FORMER COMPANY: FORMER CONFORMED NAME: ICF INTERNATIONAL INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN CAPITAL & RESEARCH CORP /DE/ DATE OF NAME CHANGE: 19910314 10-K/A 1 FORM 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A AMENDMENT NO. 1 TO ANNUAL REPORT ON FORM 10-K PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 1996 Commission File No. 1-12248 ICF KAISER INTERNATIONAL, INC. (Exact name of registrant as specified in its charter) Delaware 54-1437073 -------- ---------- (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No.) 9300 Lee Highway, Fairfax, Virginia 22031-1207 ----------------------------------- ---------- (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: (703) 934-3600 Securities registered pursuant to Section 12(b) of the Act:
Title of each class Name of each exchange on which registered ------------------- ----------------------------------------- Common Stock, par value $0.01 per share The New York Stock Exchange Preferred Stock Purchase Rights The New York Stock Exchange Securities registered pursuant to Section 12(g) of the Act None
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 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 the 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. [X] The aggregate market value of Common Stock held by non-affiliates of the registrant was $41.9 million based on the New York Stock Exchange Composite Tape closing price of such stock ($2.25) on March 5, 1997. On March 5, 1997, there were 22,418,140 shares of Common Stock outstanding. DOCUMENTS INCORPORATED BY REFERENCE Portions of the ICF Kaiser International, Inc. Proxy Statement for the 1997 Annual Meeting of Shareholders are incorporated by reference in Part III hereof. The undersigned Registrant hereby amends Item 5 of Part I of its Annual Report on Form 10-K for the fiscal year ended December 31, 1996, to add the following two new paragraphs: Recent Sales of Unregistered Securities. On December 23, 1996, the --------------------------------------- Registrant sold 15,000 units (the "Units") to BT Securities Corporation (the "Initial Purchaser") pursuant to a Purchase Agreement dated December 19, 1996. Each Unit consisted of $1,000 principal amount of the Registrant's 12% Senior Notes due 2003, Series A (the "Notes"), and seven warrants (the "Warrants"), each to purchase one share of common stock, par value $0.01 per share, of the Registrant (the "Common Stock"). The issuance of the Units was effected in a private offering without registration, in reliance upon the exemption available under Section 4(2) of the Securities Act of 1933, as amended. The Notes and the Warrants are separately transferable, and a total of 105,000 Warrants were sold as described above. Each Warrant entitles the holder thereof to purchase one share of Common Stock at a price equal to $2.30 per share, subject to adjustment under certain circumstances. Prior to their expiration on December 31, 1999, the Warrants are exercisable at any time. Of the Unit issue price, the Registrant allocated approximately $1.00 as the issue price of each Warrant. On March 7, 1997, the outstanding Notes were exchanged in a registered offering for 12% Senior Notes due 2003, Series B (SEC Registration No. 333-19519). The Registrant intends to register the 105,000 shares of Common Stock issuable upon exercise of the Warrants as soon as practicable. Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Amendment No. 1 to its Annual Report Form 10-K for the fiscal year ended December 31, 1996, to be signed on its behalf by the undersigned, thereunto duly authorized. ICF Kaiser International, Inc. (Registrant) By /s/ Michael K. Goldman ------------------------------------ Michael K. Goldman Executive Vice President, Chief Administrative Officer, and Acting Chief Financial Officer Filed: April 21, 1997 - 2 -
-----END PRIVACY-ENHANCED MESSAGE-----