-----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, RImQTs4fV+Jg87U+z2pibRQcwAsisc2qq+H1fO8uVrPKjO2+N4aaL1HY0R36mL8S gbrsHnOkOXQH1MbrcgGS1Q== 0000899140-03-000472.txt : 20030723 0000899140-03-000472.hdr.sgml : 20030723 20030610095043 ACCESSION NUMBER: 0000899140-03-000472 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030530 ITEM INFORMATION: Other events ITEM INFORMATION: Financial statements and exhibits FILED AS OF DATE: 20030610 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HAUSER INC CENTRAL INDEX KEY: 0000773723 STANDARD INDUSTRIAL CLASSIFICATION: MEDICINAL CHEMICALS & BOTANICAL PRODUCTS [2833] IRS NUMBER: 840926801 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-17174 FILM NUMBER: 03738236 BUSINESS ADDRESS: STREET 1: 5555 AIRPORT BLVD CITY: BOULDER STATE: CO ZIP: 80301 BUSINESS PHONE: 3034434662 MAIL ADDRESS: STREET 1: 5555 AIRPORT BLVD CITY: BOULDER STATE: CO ZIP: 80301 FORMER COMPANY: FORMER CONFORMED NAME: HAUSER CHEMICAL RESEARCH INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: NITTANY VENTURES INC DATE OF NAME CHANGE: 19860805 8-K 1 ha1217841.txt CURRENT REPORT ON FORM 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): May 30, 2003 ------------ HAUSER, INC. ------------ (Exact name of registrant as specified in its charter) Delaware 0-17174 84-0926801 ------------------ ---------------- ------------ (State or other jurisdiction (Commission File (IRS Employer of incorporation) Number) Identification No.) 840 Apollo Street, Suite 209 El Segundo, California 90245 ------------------------ ----- (Address of principal executive offices) Zip Code Registrant's telephone number, including area code: (310) 648-7881 -------------- Registrant's Former Address: 20710 S. Alameda Street Long Beach, California 90810-1107 --------------------------------- Item 5. Other Events. On April 1, 2003, Hauser, Inc., a Delaware corporation (the "Company"), and its wholly owned subsidiaries, filed voluntary petitions for relief under Chapter 11 of Title 11 of the United States Code (the "Bankruptcy Code") in the United States Bankruptcy Court for the Central District of California (the "Bankruptcy Court") (Case Nos. LA 03-18788-BB, LA 03-18795-BB, LA 03-18798-BB, and LA 03-18802-BB). Pursuant to a Bankruptcy Court order dated April 8, 2003, the four cases are being jointly administered under Case No. LA 03-18788-BB. By letter to the Securities and Exchange Commission (the "Commission") dated May 6, 2003, the Company requested modification of its reporting obligations under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to the Securities Exchange Act Release No. 9660 (June 30, 1972) and the Commission's Staff Legal Bulletin No. 2 (April 15, 1997) (the "No-Action Request Letter"). Pursuant to the No-Action Request Letter, the Company requested that the Commission allow it, while its Chapter 11 case was pending, to file under cover of Form 8-K copies of the monthly financial reports that are required to be filed with the Office of the United States Trustee (the "Trustee") pursuant to Bankruptcy Rule 2015 and the Trustee's Financial Reporting Requirements for Chapter 11 Cases (the "Trustee's Reports") in lieu of continuing to file quarterly and annual reports under Section 13(a) of the Exchange Act. In addition, because these Trustee's Reports are not readily available in an electronic format, the Company requested, by separate letter dated May 6, 2003, a continuing hardship exemption from EDGAR filing pursuant to Rule 202 of Regulation S-T. On May 15, 2003, the Commission granted the Company's request for a continuing hardship exemption conditioned upon the grant of no-action relief, as requested by the Company in the No-Action Request Letter. As of June 9, 2003, the Commission had not granted or denied the Company's request for no-action relief. On May 30, 2003, the Company and its wholly owned subsidiaries filed the Trustee's Report for the month ended April 30, 2003 with the Trustee (the "April Trustee's Report"). Pursuant to Rule 202 of Regulation S-T and the Company's continuing hardship exemption, the Company has manually filed with the Commission a copy of the April Trustee's Report under cover of Form SE. Item 7. Financial Statements and Exhibits. 99.1 Monthly Operating Report for the month ended April 30, 2003, filed pursuant to Rule 202 of Regulation S-T and a continuing hardship exemption dated May 15, 2003. -2- SIGNATURES 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. HAUSER, INC. Dated: June 9, 2003 By: /s/ Kenneth C. Cleveland ------------------------------ Name: Kenneth C. Cleveland Title: President and Chief Executive Officer -3- Exhibit Index Exhibit No. Description - ----------- ----------- 99.1 Monthly Operating Report for the month ended April 30, 2003, filed pursuant to Rule 202 of Regulation S-T and a continuing hardship exemption dated May 15, 2003. -----END PRIVACY-ENHANCED MESSAGE-----