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): October 16, 2001
UNICAPITAL CORPORATION
(Exact name of registrant as specified in its charter)
DELAWARE 001-13973 65-0788314
(State or other jurisdiction (Commission (IRS Employer
of incorporation) File Number) Identification No.)
Aventura Corporate Center 20801 Biscayne Boulevard,
Suite 403, Aventura, Florida 33180
--------------------------------------------------------------------------------
(Address of principal executive offices) (Zip code)
Registrant's telephone number, including area code: (305) 899-5000
--------------------------------------------------------------------------------
(Former name or former address, if changed since last report)
Item 5. Other Events.
As previously reported, UniCapital Corporation, a Delaware corporation
(the "Company"), together with substantially all of its direct and indirect
subsidiaries, filed voluntary Petitions for Relief under the provisions of
Chapter 11 of the U.S. Bankruptcy Code in the U.S. Bankruptcy Court for the
Southern District of New York ("Bankruptcy Court"), Case Nos. 00-B-42719 through
00-B-42838 Jointly Administered, on December 11, 2000. The Company retains
control of its assets and is authorized to operate its business as a debtor in
possession under the jurisdiction of the Bankruptcy Court.
Due to the Chapter 11 proceeding, the Company will not file its Reports
on Form 10-Q and Form 10-K. As a result of the Chapter 11 proceeding, the
Company is filing with the Bankruptcy Court the Company's Monthly Report of Cash
Receipts and Disbursements (the "Cash Flow Report"), a Plan of Reorganization
for the Company and its Affiliates (the "Plan of Reorganization") and a
Disclosure Statement relating to the Plan of Reorganization (the "Disclosure
Statement"). As previously reported, the Company intends to file with the
Securities and Exchange Commission (the "SEC"), each under the cover of a Form
8-K, the Monthly Cash Flow Report filed with the Bankruptcy Court. In addition,
following the approval of the Disclosure Statement by the Bankruptcy Court, the
Company intends to file that document with its exhibits (including the Plan of
Reorganization) with the SEC under the cover of a Form 8-K.
On October 16, 2001, the Company filed with the Bankruptcy Court its
Monthly Cash Flow Report for the Period September 1 to September 30, 2001 in
connection with the Company's ongoing proceeding under Chapter 11 of the U.S.
Bankruptcy Code. Exhibit 99.1 to this Current Report on Form 8-K contains the
text of the Monthly Cash Flow Report filed with the Bankruptcy Court.
The Company cautions investors and potential investors not to place
undue reliance upon the information contained in the Monthly Cash Flow Reports.
The Monthly Cash Flow Reports contain unaudited information. There can be no
assurance that, from the perspective of an investor or potential investor in the
Company's securities, the Monthly Cash Flow Reports are complete. The Monthly
Cash Flow Reports also contain information for periods which may be shorter or
otherwise different from those required in the Company's reports pursuant to the
Securities Exchange Act of 1934, as amended ("Exchange Act"). Such information
may not be indicative of the Company's financial condition or operating results
for the periods which would be reflected in the Company's financial statements
or in its reports pursuant to the Exchange Act.
Moreover, the Monthly Cash Flow Reports and other communications from
the Company may include forward-looking statements subject to various
assumptions regarding the Company's operating performance that may not be
realized and subject to significant business, economic and competitive
uncertainties and contingencies many of which are beyond the Company's control.
Consequently, such matters should not be regarded as a representation or
warranty by the Company that such matters will be realized or are indicative of
the Company's financial condition or operating results for future periods.
Actual results for such periods may differ materially from the information
contained in the Monthly Cash Flow Reports, and the Company undertakes no
obligations to update or revise such Monthly Cash Flow Reports.
Item 7. Financial Statements, Pro Forma Financial Information and Exhibits.
(a) Not applicable.
(b) Not applicable.
(c) Exhibits:
99.1 Monthly Report of Cash Receipts and Disbursements, for the
Period September 1 to September 30, 2001
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 thereunto duly authorized.
UNICAPITAL CORPORATION
By: /s/ E. Talbot Briddell
---------------------------
Name: E. Talbot Briddell
Title: Chief Executive Officer
Dated: October 19, 2001
EXHIBIT INDEX
EXHIBIT NO. DOCUMENT DESCRIPTION
----------- --------------------
99.1 Monthly Operating Statement for the Period September 1 to
September 30, 2001