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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 10-K/A-1
[ ] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE
ACT OF 1934 [FEE REQUIRED]
OR
[X] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES
EXCHANGE ACT OF 1934 [NO FEE REQUIRED]
For the transition period from July 1, 1996 to December, 31, 1996
Commission File Number 33-93312
BEAL FINANCIAL CORPORATION
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(Exact name of registrant as specified in its charter)
Texas 75-2583551
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(State or other jurisdiction of (IRS Employer Identification No.)
incorporation or organization)
Suite 300, LB 66, 15770 North Dallas Parkway, Dallas, Texas 75248
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(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code: (972) 404-4000
Securities Registered Pursuant to Section 12(b) of the Act:
None
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Securities Registered Pursuant to Section 12(g) of the Act:
None
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(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
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. [X]
The aggregate market value of the voting stock held by non-affiliates of the
registrant was $0, as all shares of the Registrant were held by affiliates of
the Registrant at December 31, 1996.
As of December 31, 1996, there were issued and outstanding 300,000 shares of
the Registrant's Common Stock.
DOCUMENTS INCORPORATED BY REFERENCE
None.
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SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities
Act of 1934, the Registrant has duly caused this report to be signed on its
behalf by the undersigned, thereunto duly authorized.
BEAL FINANCIAL CORPORATION
May 19, 1997 /s/ David C. Meek
Date: -------------------- By: ------------------------------
David C. Meek, President and
Chief Executive Officer
(Duly Authorized Representative)
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/ D. Andrew Beal /s/ David R. Farmer
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D. Andrew Beal, Chairman David R. Farmer, Senior Vice President
and Treasurer (Principal Financial
and Accounting Officer)
May 19, 1997 May 19, 1997
Date: ------------------- Date: -------------------
/s/ Timothy M. Fults /s/ Dr. Bernard L. Weinstein
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Timothy M. Fults, Director Dr. Bernard L. Weinstein, Director
May 19, 1997 May 19, 1997
Date: ------------------- Date: -------------------
/s/ David C. Meek
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David C. Meek, Director
May 19, 1997
Date: --------------------
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This Form 10-K/A-1 is being filed to include the signature page for Beal
Financial Corporation (the "Registrant"), required under Form 10-K.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the
Registrant has duly caused this amendment to be signed on its behalf by the
undersigned, thereunto duly authorized.
BEAL FINANCIAL CORPORATION
Date: June 16, 1997 By: /s/ David R. Farmer
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David R. Farmer
