1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-C REPORT BY ISSUER OF SECURITIES QUOTED ON NASDAQ INTERDEALER QUOTATION SYSTEM FILED PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13a-17 OR 15d-17 THEREUNDER SMITH ENVIRONMENTAL TECHNOLOGIES CORPORATION ------------------------------------------------- (Exact name of issuer as specified in charter) 3501 Jamboree Road, Suite 550 Newport Beach, CA 92660 ------------------------------------------------- (Address of principal executive offices) Issuer's telephone number, including area code (714)737-7900 ---------------------------------- I. CHANGE IN NUMBER OF SHARES OUTSTANDING Indicate any change (increase or decrease) of 5% or more in the number of shares outstanding: 1. Title of security ---------------------------------------------------------- 2. Number of shares outstanding before the change ----------------------------- 3. Number of shares outstanding after the change ------------------------------ 4. Effective date of change --------------------------------------------------- 5. Method of change: Specify method (such as merger, acquisition, exchange, distribution, stock split, reverse split, acquisition of stock for treasury, etc.) ------------------------------------------------------------------ ------------------------------------------------------------------ Give brief description of transaction --------------------------------- ------------------------------------------------------------------ ------------------------------------------------------------------ II. CHANGE IN NAME OF ISSUER 1. Name prior to change Smith Environmental Technologies Corporation -------------------------------------------------------- 2. Name after change Smith Technology Corporation ----------------------------------------------------------- 3. Effective date of charter amendment changing name 9/23/96 --------------------------- 4. Date of shareholder approval of change, if required N/A ------------------------- Date 8/30/96 /s/ W. Thomas Campbell ---------------------- -------------------------------------- W. Thomas Campbell Vice President-Finance