SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 10-K/A
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF
THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended Commission file number
DECEMBER 31, 1996 0-3296
ETHIKA CORPORATION
(Exact Name Of Registrant As Specified In Its Charter)
MISSISSIPPI 64-0440887
(State or other jurisdiction (IRS employer
of incorporation or organization) identification no.)
107 The Executive Center
Hilton Head Island, South Carolina 29928
(Address of Principal Executive Office)
Registrant's telephone number, including area code: 803-785-7850
Securities registered pursuant to section 12(g) of the Act:
Common Capital Stock par value $1 per share
(Title Of Class)
INDICATE BY CHECK MARK WHETHER THE REGISTRANT: (1) HAS FILED ALL REPORTS
REQUIRED TO BE FILED BY SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF
1934 DURING THE PRECEDING 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 [ ]
INDICATE BY CHECK MARK IF DISCLOSURE OF DELINQUENT FILERS PURSUANT TO ITEM 405
OF REGULATION S-K IS NOT CONTAINED HEREIN, AND WILL NOT 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-K OR ANY AMENDMENT TO THIS
FORM 10-K. [ ]
AS OF MARCH 14, 1997, 14,031,585 COMMON SHARES WERE OUTSTANDING, AND THE
AGGREGATE MARKET VALUE OF THE COMMON SHARES (BASED UPON THE CLOSING AVERAGE OF
THE BID AND ASKED PRICES ON THE OVER-THE-COUNTER MARKET) OF ETHIKA CORPORATION
HELD BY NON-AFFILIATES WAS APPROXIMATELY $5,088,255.
DOCUMENTS INCORPORATED BY REFERENCE
NONE
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The following signature page was inadvertently omitted from the Registrant's
Annual Report on Form 10-K for the period ended December 31, 1996.
<PAGE>
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) 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.
ETHIKA CORPORATION
(Registrant)
Date: April 3, 1997 By: /s/Samuel Leroy Reed
-----------------------
Samuel Leroy Reed
Chairman of the Board
Chief Executive Officer
Pursuant to the requirements of the Securities Exchange Act of 1934, this
report has been signed below by the following persons on behalf of the
registrant and in the capacities and on the dates indicated.
/s/Samuel Leroy Reed, Jr. April 3, 1997
- -------------------------
Samuel Leroy Reed, Jr.
Chairman of the Board & Chief Executive Officer
(Principal Executive Officer)
/s/Marcia C. Cohen April 3, 1997
- ------------------
Marcia C. Cohen
Director
/s/Robert B. Neal April 3, 1997
- -----------------
Robert B. Neal
Director
/s/Joseph D. Pegram April 3, 1997
- -------------------
Joseph D. Pegram
Director
/s/Herbert G. Rogers, III April 3, 1997
- -------------------------
Herbert G. Rogers, III
Director
/s/Anthony J. Spuria April 3, 1997
- --------------------
Anthony J. Spuria
Director
/s/William D. Stubblefield April 3, 1997
- --------------------------
William D. Stubblefield
Director
/s/David E Williams April 3, 1997
- -------------------
David E. Williams
Vice President Finance
(Principal Financial and Accounting Officer)
<PAGE>
SIGNATURE
Pursuant to the requirements of Section 13 or 15(d) of the Securities
Exchange Act of 1934, the Registrant has duly caused this Amendment to Report on
Form 10-K to be signed on its behalf by the undersigned, thereunto duly
authorized.
ETHIKA CORPORATION
------------------
(Registrant)
Date: April 15, 1997 By: /s/David E. Williams
------------------------
David E. Williams
Vice President Finance
(Principal Financial And
Accounting Officer)
