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): JANUARY 9, 2003
ENRON CORP.
(Exact name of Registrant as specified in charter)
OREGON 1-13159 47-0255140
(State or other jurisdiction (Commission file number) (I.R.S. employer
of incorporation) identification no.)
ENRON BUILDING
1400 SMITH STREET
HOUSTON, TEXAS 77002
(Address of principal executive offices) (Zip Code)
Registrants' telephone number, including area code: (713) 853-6161
---------------------
ITEM 5. OTHER EVENTS.
On January 9, 2003, the Company and certain other debtor-in-possession
subsidiaries of the Company filed their monthly operating report for October
2002 with the United States Bankruptcy Court for the Southern District of New
York. The monthly operating report is attached as an exhibit to this Current
Report on Form 8-K.
FORWARD-LOOKING STATEMENTS.
THIS FORM 8-K, INCLUDING EXHIBITS ATTACHED HERETO, CONTAINS STATEMENTS
THAT ARE FORWARD-LOOKING WITHIN THE MEANING OF SECTION 27A OF THE SECURITIES
ACT OF 1933 AND SECTION 21E OF THE SECURITIES EXCHANGE ACT OF 1934. INVESTORS
ARE CAUTIONED THAT ANY SUCH FORWARD-LOOKING STATEMENTS ARE NOT GUARANTEES OF
FUTURE PERFORMANCE AND THAT ACTUAL RESULTS COULD DIFFER MATERIALLY AS A RESULT
OF KNOWN AND UNKNOWN RISKS AND UNCERTAINTIES, INCLUDING: VARIOUS REGULATORY
ISSUES, THE OUTCOME OF THE COMPANY'S CHAPTER 11 PROCESS, NUMEROUS ONGOING
EXTERNAL INVESTIGATIONS IN WHICH THE COMPANY IS FULLY COOPERATING (INCLUDING
INVESTIGATIONS BY THE SECURITIES AND EXCHANGE COMMISSION ("SEC"), THE
DEPARTMENT OF JUSTICE, THE DEPARTMENT OF LABOR, THE GENERAL ACCOUNTING OFFICE,
THE INTERNAL REVENUE SERVICE, THE PENSION BENEFIT GUARANTY CORPORATION, THE
GENERAL SERVICES ADMINISTRATION, THE NATIONAL ASSOCIATION OF SECURITIES
DEALERS, INC., THE FEDERAL ENERGY REGULATORY COMMISSION, THE FEDERAL ELECTION
COMMISSION, THE COMMODITY FUTURES TRADING COMMISSION, THE FEDERAL TRADE
COMMISSION, THE CALIFORNIA, CONNECTICUT AND FLORIDA ATTORNEYS GENERAL AND
NUMEROUS CONGRESSIONAL COMMITTEES AND STATE AGENCIES), THE OUTCOME OF NUMEROUS
LAWSUITS AND CLAIMS, GENERAL ECONOMIC CONDITIONS, FUTURE TRENDS, AND OTHER
RISKS, UNCERTAINTIES AND FACTORS DISCLOSED IN THE COMPANY'S MOST RECENT REPORTS
ON FORMS 10-K, 10-Q AND 8-K FILED WITH THE SEC.
THE INFORMATION CONTAINED IN THE MONTHLY OPERATING REPORT ATTACHED
HERETO HAS BEEN PREPARED IN ACCORDANCE WITH APPLICABLE LAW UNDER THE UNITED
STATES BANKRUPTCY CODE AND IS NOT TO BE USED FOR INVESTMENT PURPOSES. AS
EXPLAINED IN A NOVEMBER 8, 2001 FORM 8-K FILED BY THE COMPANY WITH THE SEC, THE
PREVIOUSLY ISSUED FINANCIAL STATEMENTS OF THE COMPANY FOR THE FISCAL YEARS
ENDED DECEMBER 31, 1997 THROUGH 2000 AND FOR THE FIRST AND SECOND QUARTERS OF
2001 AND THE AUDIT REPORTS COVERING THE YEAR-END FINANCIAL STATEMENTS FOR 1997
THROUGH 2000 SHOULD NOT BE RELIED UPON. IN ADDITION, AS EXPLAINED IN AN APRIL
22, 2002 FORM 8-K FILED BY THE COMPANY, THE FINANCIAL STATEMENTS OF THE COMPANY
FOR THE THIRD QUARTER OF 2001 SHOULD NOT BE RELIED UPON. AS EXPLAINED IN A
FEBRUARY 12, 2002 FORM 8-K FILED BY THE COMPANY WITH THE SEC, THE COMPANY
BELIEVES THE EXISTING EQUITY OF THE COMPANY HAS AND WILL HAVE NO VALUE AND THAT
ANY PLAN UNDER CHAPTER 11 OF TITLE 11 OF THE UNITED STATES CODE CONFIRMED BY
THE BANKRUPTCY COURT WILL NOT PROVIDE THE COMPANY'S EXISTING EQUITY HOLDERS
WITH ANY RECOVERY.
2
ITEM 7. FINANCIAL STATEMENTS, PRO FORMA FINANCIAL INFORMATION AND EXHIBITS.
(c) Exhibits.
99.1 Monthly Operating Report of Enron Corp. et al.
for October 2002.
3
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.
ENRON CORP.
Date: January 8, 2003 By: /s/ Raymond M. Bowen, Jr.
--------------------------------
Name: Raymond M. Bowen, Jr.
Title: Executive Vice President and
Chief Financial Officer
4
EXHIBIT INDEX
EXHIBIT DESCRIPTION
- ------- -----------
99.1 - Monthly Operating Report of Enron Corp. et al.
for October 2003.
5