-----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, K5VMNquK68zddbf0hSJ1KzptfdZMBhQfo8OuPRJ2Rdhp2dCB54z8tRy6L57rZehm hMFWGqprBF7ItpKQPdfTYA== 0000950147-99-000675.txt : 19990629 0000950147-99-000675.hdr.sgml : 19990629 ACCESSION NUMBER: 0000950147-99-000675 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990621 ITEM INFORMATION: FILED AS OF DATE: 19990628 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PILGRIM CAPITAL CORP CENTRAL INDEX KEY: 0000882860 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 860670679 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 8-K SEC ACT: SEC FILE NUMBER: 001-14703 FILM NUMBER: 99653381 BUSINESS ADDRESS: STREET 1: STE 1250 STREET 2: 40 N CENTRAL AVE, CITY: PHOENIX STATE: AZ ZIP: 85004-4424 BUSINESS PHONE: 6024178100 MAIL ADDRESS: STREET 1: 40 NORTH CENTRAL AVE STREET 2: STE 1250 CITY: PHOENIX STATE: AZ ZIP: 85004 FORMER COMPANY: FORMER CONFORMED NAME: PILGRIM AMERICA CAPITAL CORP DATE OF NAME CHANGE: 19970514 FORMER COMPANY: FORMER CONFORMED NAME: FIRST WESTERN CORPORATION/DE DATE OF NAME CHANGE: 19930328 8-K 1 FORM 8-K 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 21, 1999 PILGRIM CAPITAL CORPORATION ------------------------------------------------------ (Exact name of registrant as specified in its charter) DELAWARE 0-19799 86-0670679 - ---------------------------- ----------- ------------- (State or other jurisdiction (Commission (IRS Employer of incorporation) File Number) Identification No.) TWO RENAISSANCE SQUARE, 40 NORTH CENTRAL AVENUE, SUITE 1200, PHOENIX, ARIZONA 85004 (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code (602) 417-8100 PILGRIM AMERICA CAPITAL CORPORATION -------------------------------------------------------------- (Former name or former address, if changed since last report.) ITEM 1. CHANGES IN CONTROL OF REGISTRANT. N/A ITEM 2. ACQUISITION OR DISPOSITION OF ASSETS. N/A ITEM 3. BANKRUPTCY OR RECEIVERSHIP. N/A ITEM 4. CHANGES IN REGISTRANT'S CERTIFYING ACCOUNTANTS. N/A ITEM 5. OTHER EVENTS. On June 21, 1999, Pilgrim America Capital Corporation, a Delaware corporation (the "Registrant"), changed its name to Pilgrim Capital Corporation. The Registrant provides investment management related services through its subsidiaries, Pilgrim Investments, Inc. and Pilgrim Securities, Inc. ITEM 6. RESIGNATION OF REGISTRANT'S DIRECTORS. N/A ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS. N/A ITEM 8. CHANGE IN FISCAL YEAR. N/A ITEM 9. SALES OF EQUITY SECURITIES PURSUANT TO REGULATION S. N/A 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. PILGRIM CAPITAL CORPORATION Date June 28, 1999 By: /s/ James M. Hennessy ------------------------------------ James M. Hennessy Its: Executive Vice President and Secretary -----END PRIVACY-ENHANCED MESSAGE-----