8-K 1 refcoaug8k.txt FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 14, 2006 (August 14, 2006) REFCO INC. REFCO GROUP LTD., LLC REFCO FINANCE INC. -------------------------------------------------------- (Exact Name of Registrant as Specified in Charter) Delaware 001-32604 20-2537426 Delaware 333-119701 52-2169014 Delaware 333-119701-23 20-1400416 ------------------------------ -------------------------- ------------------ (State or Other Jurisdiction (Commission File Number) (I.R.S. Employer of Incorporation) Identification No.) One World Financial Center 200 Liberty Street, Tower A New York, New York 10281 -------------------------------------------------------- (Address of Principal Executive Offices) (Zip Code) (Registrant's Telephone Number, Including Area Code) (212) 693-7000 ---------------- Not Applicable ------------------------------------------------------------------------ (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: |_| 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 7.01 Regulation FD Disclosure. --------- ------------------------ Statement of Cash Receipts and Disbursements for the Period from July 1, 2006 to July 31, 2006. On August 14, 2006, Refco Inc. (the "Company") and certain of its subsidiaries (collectively, the "Debtors") filed their Monthly Statement of Cash Receipts and Disbursements for the period from July 1, 2006 to July 31, 2006 (the "Statement of Cash Receipts and Disbursements") with the United States Bankruptcy Court for the Southern District of New York (the "Court") (In re Refco Inc., et al., Case No. 05-60006 (RDD)). The Statement of Cash Receipts and Disbursements for the month of July 2006 is attached as Exhibit 99.1. The Statement of Cash Receipts and Disbursements is limited in scope, covers a limited time period, and has been prepared solely for the purpose of complying with the monthly reporting requirements of the Court. The majority of the Company's foreign subsidiaries have not filed for bankruptcy protection, and financial information regarding such foreign subsidiaries is not part of the consolidated group included in the Statement of Cash Receipts and Disbursements. The financial information in the Statement of Cash Receipts and Disbursements is unaudited and was prepared on the cash basis of accounting. The Company cautions readers not to place undue reliance upon the Statement of Cash Receipts and Disbursements. There can be no assurance that such information is complete. The Statement of Cash Receipts and Disbursements may be subject to revision. The Statement of Cash Receipts and Disbursements is in a format required by the Bankruptcy Code and should not be used for investment purposes. The information in the Statement of Cash Receipts and Disbursements should not be viewed as indicative of future results. Limitation on Incorporation by Reference The Statement of Cash Receipts and Disbursements is being furnished for informational purposes only and is not deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended. Registration statements or other documents filed with the U.S. Securities and Exchange Commission shall not incorporate the Statement of Cash Receipts and Disbursements or any other information set forth in this Current Report on Form 8-K by reference, except as otherwise expressly stated in such filing. This Current Report on Form 8-K will not be deemed an admission as to the materiality of any information in the report that is required to be disclosed solely by Regulation FD. Forward-Looking Statements This Current Report on Form 8-K, including the exhibit being furnished with this report, may contain forward-looking statements within the meaning of the Private Securities Litigation Reform Act of the 1995. In this Current Report on Form 8-K and the exhibits hereto, all statements other than statements of historical fact are forward-looking statements that involve risks and uncertainties and actual results could differ materially from those set forth in the forward-looking statements. These forward-looking statements are based on assumptions that we have made in light of our experience and on our perceptions of historical events, current conditions, expected future developments and other factors we believe are appropriate under the circumstances. Because of these factors, we caution that you should not place undue reliance on any of our forward-looking statements. Further, any forward-looking statement speaks only as of today. It is impossible for us to predict how new events or developments may affect us. The registrants disclaim any intention or obligation to update or revise any forward-looking statements, either to reflect new information or developments or for any other reason. Item 9.01 Financial Statements and Exhibit. --------- -------------------------------- (c) Exhibit. Exhibit Number Description ------ ----------- Exhibit 99.1 Statement of Cash Receipts and Disbursements for July 2006 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. REFCO INC. Date: August 14, 2006 By: /s/ Jerry Lombardo ------------------------------ Jerry Lombardo Vice President and Chief Financial Officer 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. REFCO GROUP LTD., LLC Date: August 14, 2006 By: /s/ Jerry Lombardo ------------------------------ Jerry Lombardo Authorized Person 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. REFCO FINANCE INC. Date: August 14, 2006 By: /s/ Jerry Lombardo ------------------------------ Jerry Lombardo Vice President EXHIBIT INDEX Exhibit Number Description ------ ----------- Exhibit 99.1 Statement of Cash Receipts and Disbursements for July 2006

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 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): January 18, 2006 (January 12, 2006)

REFCO INC. (Exact Name of Registrant as Specified in Charter)

Delaware		001-32604		20-2537426
(State or Other Jurisdiction of Incorporation)		(Commission File Number)		(I.R.S. Employer Identification No.)

One World Financial Center 200 Liberty Street, Tower A New York, New York	10281
(Address of Principal Executive Offices)	(Zip Code)

(Registrant's Telephone Number, Including Area Code) (212) 693-7000

Not Applicable (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:

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) o 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

On January 13, 2006, Refco Inc. ("Refco") issued a press release (the "Press Release") announcing that Stephen M. Brecher (66), CPA, CIRA and a member of the New York Bar, had been appointed to serve as an independent member of Refco's board of directors.

Mr. Brecher is presently a Managing Director of Greenwich Corporate Strategy Group LLC. Previously, he served as a Principal at XRoads Solutions Group, an international consulting firm. Mr. Brecher was with KPMG (and its predecessor Peat Marwick) from June 1967 to June 2000 where he was the partner-in-charge of the firm's International Bank Practice. Mr. Brecher will serve on the Executive Committee of Refco's board of directors.

Refco also announced that all of its current directors resigned from the board, effective January 12, 2006.

The Press Release is attached hereto as Exhibit 99.1 and is incorporated by reference herein.

Item 9.01 Financial Statements and Exhibits.

Exhibit Number	Description
Exhibit 99.1	Press Release, dated January 13, 2006

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.

	REFCO INC.
Date: January 18, 2006
	By:	/s/ Harrison J. Goldin
		Harrison J. Goldin
		Chief Executive Officer

EXHIBIT INDEX

Exhibit Number	Description
Exhibit 99.1	Press Release, dated January 13, 2006

Filing Compare · Refco Inc.