-----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, DzSNrBNFBh8m85q8PM6+eUfGdGNJg7+C8tuOCUJmykMERtvBj/XX7nkALREGCUmX 6LSQwN8cNWaGWhVQ998JrA== 0000950152-06-005610.txt : 20060703 0000950152-06-005610.hdr.sgml : 20060703 20060703145034 ACCESSION NUMBER: 0000950152-06-005610 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20060627 ITEM INFORMATION: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20060703 DATE AS OF CHANGE: 20060703 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SIFCO INDUSTRIES INC CENTRAL INDEX KEY: 0000090168 STANDARD INDUSTRIAL CLASSIFICATION: AIRCRAFT ENGINES & ENGINE PARTS [3724] IRS NUMBER: 340553950 STATE OF INCORPORATION: OH FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-05978 FILM NUMBER: 06940585 BUSINESS ADDRESS: STREET 1: 970 E 64TH ST CITY: CLEVELAND STATE: OH ZIP: 44103 BUSINESS PHONE: 2168818600 MAIL ADDRESS: STREET 1: 970 EAST 64TH STREET CITY: CLEVELAND STATE: OH ZIP: 44103 FORMER COMPANY: FORMER CONFORMED NAME: STEEL IMPROVEMENT & FORGE CO DATE OF NAME CHANGE: 19690520 8-K 1 l21142ae8vk.htm SIFCO INDUSTRIES, INC. 8-K SIFCO Industries, Inc. 8-K
 

 
 
UNITED STATES
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)     June 27, 2006  
SIFCO Industries, Inc.
 
(Exact name of registrant as specified in its charter)
         
Ohio   1-5978   34-0553950
 
(State or other jurisdiction of
incorporation or organization)
  (Commission File Number)   (I.R.S. Employer Identification No.)
     
970 East 64th Street, Cleveland Ohio   44103
 
(Address of principal executive offices)   (Zip Code)
Registrant’s telephone number, including area code:      (216) 881-8600  
 
(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 communication pursuant to Rule 245 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))
 
 

 


 

Section 3 — Securities and Trading Markets
Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
On June 27, 2006, SIFCO Industries, Inc. (“Company”) received a notification from the American Stock Exchange (“Amex”), the national securities exchange that maintains principal listing for the Company’s common stock, of failure to satisfy certain of the Amex’s continued listing standards. Specifically, the Amex stated its belief that the Company’s Form 8-K filed May 15, 2006 with the U.S. Securities and Exchange Commission (“SEC”) was deficient because the Form 8-K failed to provide pro forma financial information related to the Company’s sale of the large aero portion of its turbine engine component repair business and certain related assets to SR Technics as required by Item 9.01(b)(1) of Form 8-K. The complete and accurate filing of reports required to be filed by the SEC is a condition for the Company’s continued listing on the Amex.
The Company is required to submit a plan to the Amex by July 27, 2006 advising the Amex of the actions the Company will take to bring the Company into compliance with sections 134 and 1101 of the Amex Company Guide by no later than September 30, 2006.
Section 9 — Financial Statements and Exhibits
Item 9.01 Financial Statements and Exhibits
(c) Exhibits
99.1    Press Release dated July 3, 2006
SIGNATURES
Pursuant to the requirements of the Securities and Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
         
 
      SIFCO Industries, Inc.
(Registrant)

Date: July 3, 2006
      /s/ Frank A. Cappello
 
       
 
      Frank A. Cappello
Vice President — Finance and
Chief Financial Officer
(Principal Financial Officer)

 

EX-99.1 2 l21142aexv99w1.htm EX-99.1 PRESS RELEASE EX-99.1 Press Release
 

Exhibit 99.1
     
FOR IMMEDIATE RELEASE
CONTACT:
  Frank Cappello
(216) 432-6278
SIFCO Industries, Inc. Receives Non-Compliance Notification from AMEX
On June 27, 2006, SIFCO Industries, Inc. (“Company”) received a notification from the American Stock Exchange (“Amex”), the national securities exchange that maintains principal listing for the Company’s common stock, of failure to satisfy certain of the Amex’s continued listing standards. Specifically, the Amex stated its belief that the Company’s Form 8-K filed May 15, 2006 with the U.S. Securities and Exchange Commission (“SEC”) was deficient because the Form 8-K failed to provide pro forma financial information related to the Company’s sale of the large aero portion of its turbine engine component repair business and certain related assets to SR Technics as required by Item 9.01(b)(1) of Form 8-K. The complete and accurate filing of reports required to be filed by the SEC is a condition for the Company’s continued listing on the Amex.
The Company is required to submit a plan to the Amex by July 27, 2006 advising the Amex of the actions the Company will take to bring the Company into compliance with sections 134 and 1101 of the Amex Company Guide by no later than September 30, 2006.
Forward-Looking Language
Certain statements contained in this press release may be “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995, such as statements relating to financial results and plans for future business development activities, and are thus prospective. Such forward-looking statements are subject to risks, uncertainties and other factors, which could cause actual results to differ materially from future results expressed or implied by such forward-looking statements. Potential risks and uncertainties include, but are not limited to, economic conditions, competition and other uncertainties detailed from time to time in the Company’s Securities and Exchange Commission filings.

 

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