Stamford Industrial Group, Inc. - Current report filing (8-K)
July 01 2008 - 6:02AM
Edgar (US Regulatory)
UNITED
STATES
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):
June
25, 2008
Stamford
Industrial Group, Inc.
(Exact
name of registrant as specified in its charter)
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Delaware
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000-25781
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41-1844584
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(State
or other jurisdiction of
incorporation)
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(Commission
File Number)
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(IRS
Employer Identification No.)
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One
Landmark Square, 21
st
Floor, Stamford, Connecticut 06901
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(Address
of principal executive offices, including zip
code)
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Registrant’s
telephone number, including area code
(203)
428-2200
(Former
name or former address, if changed since last report.)
Check
the
appropriate box below if the Form 8-K filing is intended to simultaneously
satisfy the filing obligation of the registrant under any of the following
provisions:
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o
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17
CFR 240.14d-2(b))
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17
CFR 240.13e-4(c))
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Item
4.01
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Changes
in Registrant’s Certifying Accountant.
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(a)
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Previous
independent registered public accounting
firm.
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(i)
On
June
25, 2008, Stamford Industrial Group, Inc. (the “Company”) dismissed McGladrey
& Pullen, LLP (“McGladrey”) as its independent registered public accounting
firm.
(ii)
The
report of McGladrey on the Company’s financial statements and financial
statement schedule for the fiscal years ended December 31, 2007 and 2006
contained no adverse opinion or disclaimer of opinion and was not qualified
or
modified as to uncertainty, audit scope or accounting principles.
(iii)
The
Company’s Audit Committee recommended and approved the decision to change
independent registered public accounting firms.
(iv)
In
connection with the audits of the Company’s financial statements for each of the
two most recently completed fiscal years and through June 25, 2008, there have
been no “disagreements” (as defined in Regulation S−K Item 304(a)(1)(iv) and the
related instructions) with McGladrey on any matter of accounting principles
or
practices, financial statement disclosure or auditing scope or procedure, which
disagreements, if not resolved to the satisfaction of McGladrey, would have
caused it to make reference to the subject matter of such disagreements in
connection with its audit report. During each of the two most recently completed
fiscal years and through June 25, 2008, there were no “reportable events” (as
defined in Item 304(a)(1)(v) of Regulation S−K).
(v)
The
Company has given permission to McGladrey to respond fully to the inquiries
of
the successor auditor.
(vi)
The
Company has requested that McGladrey furnish the Company with a letter addressed
to the Securities and Exchange Commission stating whether it agrees with the
above statements. Such letter is expected to be filed by amendment.
(b)
New
independent registered public accounting firm.
On
June
25, 2008, on the recommendation of the Company’s Audit Committee, the Company
authorized the engagement of PricewaterhouseCoopers LLP (“PWC”) as its
independent registered public accounting firm to audit the Company’s financial
statements as of and for the fiscal year ending December 31, 2008.
PWC
previously served as the Company’s independent registered public accounting firm
from the Company's inception on July 3, 1996 until October 11, 2006. Subsequent
to October 11, 2006 and through June 25, 2008, the Company did not consult
with
PWC regarding either:
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(i)
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the
application of accounting principles to a specified transaction,
either
completed or proposed, or the type of audit opinion that might be
rendered
on the Company’s financial statements, nor did PWC provide written or oral
advice to the Company that PWC concluded was an important factor
considered by the Company in reaching a decision as to the accounting,
auditing or financial reporting issue;
or
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(ii)
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any
matter that was either the subject of a “disagreement” (as defined in
Regulation S−K Item 304(a)(1)(iv) and the related instructions), or a
“reportable event” (as defined in Item 304(a)(1)(v) of Regulation
S−K).
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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:
June 30, 2008
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Stamford
Industrial Group, Inc.
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By:
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/s/
Jonathan LaBarre
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Jonathan
LaBarre,
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Chief
Financial Officer, Treasurer and Secretary
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