8-K 1 y67700e8vk.txt FORM 8-K 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): OCTOBER 15, 2004 NATIONAL WATERWORKS, INC. ------------------------------------------------------------------ (Exact Name of Registrant as Specified in its Charter) DELAWARE 333-102430 05-0532711 ------------------------ ------------------------ ------------------- (State of Incorporation) (Commission File Number) (I.R.S. Employer Identification No.) 200 WEST HIGHWAY 6, SUITE 620 WACO, TEXAS 76712 ------------------------------------------------------------------ (Address of Principal Executive Offices) (Zip Code) Registrant's telephone number, including area code: (254) 772-5355 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 (see General Instruction A.2. below): [ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) [ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) [ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) [ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) ITEM 5.02. DEPARTURE OF DIRECTORS OR PRINCIPAL OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF PRINCIPAL OFFICERS. (b) Mechelle Slaughter resigned as Chief Financial Officer and Secretary, effective January 5, 2005. Phil Keipp, currently Vice President and Controller, will succeed Ms. Slaughter as Chief Financial Officer. On October 15, 2004, National Waterworks, Inc. issued a press release announcing the resignation of Ms. Slaughter as Chief Financial Officer and Secretary, and the appointment of Mr. Keipp as Chief Financial Officer. A copy of this press release is attached hereto as Exhibit 99.1 and is hereby incorporated by reference in this Item 5.02. ITEM 9.01. FINANCIAL STATEMENTS AND EXHIBITS. (c) Exhibits.

2 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. NATIONAL WATERWORKS, INC. (Registrant) Date: October 15, 2004 By: /s/ Harry K. Hornish, Jr. ---------------------------- Name: Harry K. Hornish, Jr. Title: President and Chief Executive Officer 3 EXHIBIT INDEX

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