U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 10-KSB/A
(Mark One)
[X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended April 30, 1999
OR
[ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES ACT OF 1934
For the transition period from to
Commission File No. 333-27037
United Financial Mortgage Corp.
(Exact name of small business issuer in its charter)
Illinois 36-3440533
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
600 Enterprise Drive
Suite 206
Oak Brook, Illinois 60523
(Address of principal executive offices)
Issuer's telephone number: (630) 571-7222
Securities to be registered under Section 12(b) of the Act:
Title of each class Name of each exchange on which registered
Common Stock The Chicago Stock Exchange
Securities to be registered under Section 12(g) of the Act:
None
(Title of Class)
Check whether the issuer (1) filed all reports required to be
filed by section 13 or 15(d) of the Exchange Act during the past 12
months (or for such shorter period that the registrant was Required to
file such reports), and (2) has been subject to such filing requirements
for the past 90 Days.
Yes [X] No []
Check if there is no disclosure of delinquent filers in response
to Item 405 of Reguluation S-B is not contained in this form, and no
disclosure will be contained, to the best of registrant's knowledge,
in definitive proxy or information statements incorporated by
reference in Part III of this Form 10-KSB or any amendment to this
Form 10-KSB. [ ]
State issuer's revenues for its most recent fiscal year..$10,045,228
The aggregate market value of the voting and non-voting common
equity held by non-affiliates is $3.8 million.
(Issuers involved in bankruptcy proceedings during the past five
years) Check whether the issuer has filed all documents and reports
required to be filed by Section 12, 13, or 15(d) of the Exchange Act
after the distribution of securities under a plan confirmed by a
court. Yes [ ] No [ ]
(Applicable only to corporate registrants) State the number of
shares outstanding of each of the issuer's classes of common equity,
as of the last practicable date. 3,900,029.
Documents incorporated by reference. If the following documents
are incorporated by reference, briefly describe them and identify the
part of this Form 10-KSB (e.g. part I, part II, etc.) into which the
document is incorporated: (1) any annual report to security holders;
(2) any proxy or information statement,; and (3) any prospectus filed
pursuant to Rule 424(b) or ( c ) of the Securities Act of 1933
("Securities Act"). The listed documents should be clearly described
for identification purposes (e.g. annual report to security holders
for fiscal year ended December 24, 1990).
Transitional Small Business Disclosure Format (check one)
Yes [ ] No [X]
EXPLANATORY NOTE
This ammendment to the annual report on Form 10-KSB for the year
ended April 30, 1999 is being filed for the purpose of revising the
index to Exhibits in Item 13 part A section 3 in part IV.
Part IV
Item 13. Exhibits, Financial Statement Schedules, and Reports of Form 8-K.
(3) Exhibits
The following exhibits are filed with this reports or incorporated
by reference as set forth below.
3.1 Certificate of Incorporation of the Registrant.*
3.1.1 Certificate of Amendment of Certificate of Incorporation.*
3.2 By-laws of the Registrant.*
4.1 Description of specimen stock certificate representing Common Stock.*
10.1.1 Employment Agreement between the Registrant and Joseph Khoshabe.*
10.4 Non-Qualified and Incentive Stock Option Plan*
27 Financial Data Schedule
* Incorporated by reference to the registrant's Registration
Statement on Form SB-2 (No. 333/27037), which was declared by
the Securities Exchange Commission on May 26, 1998.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act, the
registrant has duly caused this report to be signed on its behalf by
the undersigned thereunto duly authorized.
Registrant: UNITED FINANCIAL MORTGAGE CORP.
Date:
July 31, 1999 By: /s/ Joseph Khoshabe
Joseph Khoshabe,President,
Principal Executive Officer,
and a Director
July 31, 1999 By: /s/ Steve Khoshabe
Steve Khoshabe,
Executive Vice President and
Principal Accounting Officer
July 31, 1999 By: /s/ John A. Clark
John A. Clark, Director
July 31, 1999 By: /s/ David B. Mirza
David B. Mirza, Director
July 31, 1999 By: /s/ Rocco M. Cappiello
Rocco M. Cappiello, Director
July 31, 1999 By: /s/ Robert S. Luce
Robert S. Luce,
Secretary and a director