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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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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 23, 1998
UNIFIED FINANCIAL SERVICES, INC.
(Exact name of registrant as specified in its charter)
DELAWARE 0-22629 35-1797759
(State or other (Commission File (I.R.S. Employer
jurisdiction of Number) Identification
organization) Number)
431 NORTH PENNSYLVANIA STREET
INDIANAPOLIS, INDIANA 46204-1873
(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code: (314) 634-3301
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ITEM 5. OTHER EVENTS.
Effective as of January 23, 1998, the Company amended its Amended
and Restated Certificate of Incorporation to change the name of the Company
from "Unified Holdings, Inc." to "Unified Financial Services, Inc."
Effective as of January 21, 1998 and January 22, 1998, the names of Vintage
Advisers, Inc., a Delaware corporation and wholly owned subsidiary of the
Company, and Unified Advisers, Inc., an Indiana corporation and wholly owned
of the Company, respectively, were changed to Unified Investment Advisers,
Inc. and Unified Fund Services, Inc., respectively.
ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS.
(a) Financial Statements of Business Acquired
None
(b) Pro Forma Financial Information:
None
(c) Exhibits
See Exhibit Index
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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.
Dated: January 27, 1998
UNIFIED FINANCIAL SERVICES, INC.
(f/k/a Unified Holdings, Inc.)
By:/s/ Timothy L. Ashburn
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Timothy L. Ashburn, Chairman of the Board,
President and Chief Executive Officer
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<TABLE>
EXHIBIT INDEX
<CAPTION>
Exhibit Description
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<C> <S>
3 Certificate of Amendment of Amended and Restated Certificate of
Incorporation of the Company
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CERTIFICATE OF AMENDMENT
OF
AMENDED AND RESTATED
CERTIFICATE OF INCORPORATION
OF
UNIFIED HOLDINGS, INC.
PURSUANT TO SECTION 242 OF THE GENERAL CORPORATION LAW
OF THE STATE OF DELAWARE
Unified Holdings, Inc., a corporation organized and existing under and
by virtue of the General Corporation Law of the State of Delaware (the
"Corporation"), does hereby certify as follows:
Through Joint Action by Consent of the Board of Directors and the
stockholders of Unified Holdings, Inc. dated as of December 15, 1997, a
resolution was duly adopted setting forth a proposed amendment to the Amended
and Restated Certificate of Incorporation of the Corporation (the
"Certificate of Incorporation"). Such resolution recommended that Article 1
of the Certificate of Incorporation of the Corporation be deleted in its
entirety and replaced with the following provision:
The name of this Corporation is Unified Financial Services, Inc.
IN WITNESS WHEREOF, Unified Holdings, Inc. has caused this Certificate
of Amendment to be signed and attested by its duly authorized officers as of
this 15th day of December 1997.
UNIFIED HOLDINGS, INC.
By: /s/ Timothy L. Ashburn
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Timothy L. Ashburn, Chairman of the Board
and Chief Executive Officer
Attest:
/s/ Carol J. Highsmith
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Carol J. Highsmith, Secretary
