-----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, CrsmoGphDOpYcNPJbbL27hOrAfsH7VqjZjt7seiE543D+XiBl2CPrpzQNLUl+O7r VgIzsXpja1bOn3VwMhw5AA== 0000910680-04-000565.txt : 20040601 0000910680-04-000565.hdr.sgml : 20040601 20040601152836 ACCESSION NUMBER: 0000910680-04-000565 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20040528 ITEM INFORMATION: Other events ITEM INFORMATION: Financial statements and exhibits FILED AS OF DATE: 20040601 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MATRIX BANCORP INC CENTRAL INDEX KEY: 0000944725 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 841233716 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-21231 FILM NUMBER: 04841196 MAIL ADDRESS: STREET 1: 700 17TH STREET STREET 2: SUITE 2100 CITY: DENVER STATE: CO ZIP: 80202 FORMER COMPANY: FORMER CONFORMED NAME: MATRIX CAPITAL CORP /CO/ DATE OF NAME CHANGE: 19960711 8-K 1 form8k-05282004.txt MAY 28, 2004 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 (or Date of Earliest Event Reported): May 28, 2004 MATRIX BANCORP, INC. - -------------------------------------------------------------------------------- (Exact name of registrant as specified in its charter) Colorado 0-21231 84-1233716 (State or other jurisdiction of (Commission File Number) (IRS Employer incorporation or organization) Identification No.) 700 Seventeenth Street, Suite 2100 80202 Denver, Colorado - -------------------------------------------------------------------------------- (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: (303) 595-9898. ITEM 5. OTHER EVENTS AND REGULATION FD DISCLOSURE. ----------------------------------------- On May 28, 2004, Matrix Bancorp, Inc. reported that the Texas Supreme Court granted the petition for review of Sterling Trust Company vs. Roderick Adderley, et al. In the spring of 2000, a jury verdict was rendered against Sterling Trust Company, the company's subsidiary, which was subsequently affirmed and reversed in part by the Court of Appeals for the Second District of Texas (Forth Worth). There can be no assurance that the Texas Supreme Court will reverse the Court of Appeal's decision or remand for a new trial. The Company's press release is attached as Exhibit 99.1. Forward-Looking Statements Certain statements contained in this Form 8-K that are not historical facts, including, but not limited to, statements that can be identified by the use of forward-looking terminology such as "may," "will," "expect," "anticipate," "predict," "plan," "estimate" or "continue" or the negative thereof or other variations thereon or comparable terminology are forward-looking statements, within the meaning of the Private Securities Litigation Reform Act of 1995, and involve a number of risks and uncertainties. The actual results of future events described in such forward-looking statements in this report could differ materially from those stated in such forward-looking statements. Among the factors that could cause actual results to differ materially are: third party claims or actions in relation to the ongoing or future bankruptcies filed by clients or customers; interest rate fluctuations; level of delinquencies; defaults and prepayments; general economic conditions; the occurrence of acts of terrorism, such as the events of September 11, 2001, or acts of war; competition; government regulation; possible future litigation; the actions or inactions of third parties; and other risks set forth in our periodic reports, filings and other public statements, including the Company's current report on Form 8-K filed with the Securities and Exchange Commission on March 14, 2001. Readers should not place undue expectations on any forward-looking statements. We are not promising to make any public announcement when we consider forward-looking statements in this document to be no longer accurate, whether a result of new information, what actually happens in the future or for any other reason. 2 ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS. --------------------------------- 99.1 Press Release, dated May 28, 2004. 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, thereunto duly authorized. Dated: June 1, 2004 MATRIX BANCORP, INC. By:/s/ Allen McConnell ----------------------------------- Name: Allen McConnell --------------------------------- Title: Senior Vice President -------------------------------- 4 EXHIBIT INDEX Exhibit No. Description - ----------- ----------- 99.1 Press Release, dated May 28, 2004. 5 EX-99 2 pressreleasefor8k.txt PRESS RELEASE [GRAPHIC OMITTED] For more information, please contact: David W. Kloos Chief Financial Officer (303) 595-9898 [GRAPHIC OMITTED] TEXAS SUPREME COURT GRANTS PETITION FOR REVIEW IN STERLING TRUST CASE May 28, 2004 Denver, Colorado - Matrix Bancorp, Inc. (Nasdaq National Market: MTXC) (the "Company") announced today that the Supreme Court of the State of Texas has granted the petition for review of Sterling Trust Company in the case styled Sterling Trust Company v. Roderick Adderley, et. al. (No. 03-1001) that is on appeal from the decision rendered by the Court of Appeals for the Second District of Texas (Ft. Worth). No date has yet been set for oral argument before the Supreme Court of Texas. Mr. Richard V. Schmitz, Chairman of the Board and Co-CEO of Matrix Bancorp, commented: "We were obviously pleased to hear that the Supreme Court in Texas has agreed to hear the Adderley case. While we believe this is yet another significant step in having the case over-turned, there is still no assurance that the appeal to the Supreme Court of Texas will be successful and that the case will be reversed or remanded for a new trial." Certain statements contained in this press release that are not historical facts, including, but not limited to, statements that can be identified by the use of forward-looking terminology such as "may," "will," "expect," "anticipate," "predict," "plan," "estimate," or "continue" or the negative thereof or other variations thereon or comparable terminology, are forward-looking statements, within the meaning of the Private Securities Litigation Reform Act of 1995, and involve a number of risks and uncertainties. The actual results of the future events described in such forward-looking statements in this report could differ materially from those stated in such forward-looking statements. Among the factors that could cause actual results to differ materially are: third party claims or actions in relation to the ongoing or future bankruptcies filed by clients or customers; interest rate fluctuations; level of delinquencies; defaults and prepayments; general economic conditions; competition; government regulation; possible future litigation; the actions or inactions of third parties; the risks and uncertainties discussed elsewhere in this report and in Matrix Bancorp's current report on current report on Form 8-K, filed March 14, 2001; and the uncertainties set forth from time to time in Matrix Bancorp periodic reports, filings and other public statements. Matrix Bancorp is a unitary thrift holding company headquartered in Denver, Colorado. Its subsidiaries' operations are conducted primarily in Colorado, Arizona, Texas and New Mexico. -----END PRIVACY-ENHANCED MESSAGE-----