-----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, CRvYa5oz2LU1cq+l7ISQ9+hcNisIg2sayzmGUvR/P3ZtcSOxl7n1aBSS2qL1FBQe t90ODvZHyV3wRpe6wNhUDw== 0000950123-97-010104.txt : 19971208 0000950123-97-010104.hdr.sgml : 19971208 ACCESSION NUMBER: 0000950123-97-010104 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19971204 ITEM INFORMATION: ITEM INFORMATION: FILED AS OF DATE: 19971205 SROS: AMEX SROS: CBOE SROS: NYSE FILER: COMPANY DATA: COMPANY CONFORMED NAME: SALOMON SMITH BARNEY HOLDINGS INC CENTRAL INDEX KEY: 0000200245 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 221660266 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: SEC FILE NUMBER: 001-04346 FILM NUMBER: 97733403 BUSINESS ADDRESS: STREET 1: 388 GREENWICH STREET STREET 2: 28TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10013 BUSINESS PHONE: 212-816-6000 MAIL ADDRESS: STREET 1: SEVEN WORLD TRADE CENTER STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10048 FORMER COMPANY: FORMER CONFORMED NAME: SALOMON INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: PHIBRO CORP DATE OF NAME CHANGE: 19820526 FORMER COMPANY: FORMER CONFORMED NAME: ENGELHARD MINERALS & CHEMICALS CORP DATE OF NAME CHANGE: 19811104 8-K 1 FORM 8-K 1 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) December 4, 1997 Salomon Smith Barney Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 1-4346 22-1660266 (State or other (Commission (IRS Employer jurisdiction of File Number) Identification No.) incorporation) 388 Greenwich Street, New York, New York 10013 (Address of principal executive offices) (Zip Code) (212) 816-6000 (Registrant's telephone number, including area code) 2 SALOMON SMITH BARNEY HOLDINGS INC. Current Report on Form 8-K ITEM 4. CHANGES IN REGISTRANT'S CERTIFYING ACCOUNTANT. (a) Following the merger of Salomon Smith Barney Holdings Inc. (the "Company") and Smith Barney Holdings Inc., the Company dismissed Arthur Andersen LLP as its principal accountant. The dismissal was effective as of December 4, 1997 and was approved by the Company's audit committee. There are no other items requiring disclosure pursuant to Item 304(a) of S-K. As previously disclosed by the Company in its Current Report on Form 8-K dated November 28, 1997, the Company has engaged Coopers & Lybrand L.L.P. to audit the financial statements of the Company. Coopers & Lybrand L.L.P. has been the independent auditor to Smith Barney Holdings Inc. Arthur Andersen LLP will perform certain audit functions relating to certain of the Company's subsidiaries. ITEM 7. FINANCIAL STATEMENTS, PRO FORMA FINANCIAL INFORMATION AND EXHIBITS (c) Exhibits: Exhibit No. Description 16.01 Letter of Arthur Andersen LLP regarding change in Certifying Accountant 1 3 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. Dated: December 5, 1997 SALOMON SMITH BARNEY HOLDINGS INC. By /s/ Michael Day -------------------- Michael Day Controller 2 4 EXHIBIT INDEX Exhibit No. Description 16.01 Letter of Arthur Andersen LLP regarding change in Certifying Accountant 3 EX-16.01 2 LETTER OF ARTHUR ANDERSEN LLP 1 Exhibit 16.01 [Letterhead of Arthur Andersen] December 5, 1997 Securities and Exchange Commission Washington D.C. 20549 Gentlemen: We have read Item 4(a) of Form 8-K dated December 4, 1997 of Salomon Smith Barney Holdings Inc., formerly Salomon Inc, (Commission File Number 1-4346) and we agree with the statements made in the above-mentioned Item. /s/ Arthur Andersen LLP -----END PRIVACY-ENHANCED MESSAGE-----