-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Eb9F02O3xjJFgauWnExoGKn6qnH8mwJ/VnvxMROXYR4Vo0ZzaD3J9aSNmkkc/dOu Xthib9uj+dJ+sIhh+QVt3g== 0000912057-02-032195.txt : 20020814 0000912057-02-032195.hdr.sgml : 20020814 20020814174811 ACCESSION NUMBER: 0000912057-02-032195 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20020814 ITEM INFORMATION: Financial statements and exhibits ITEM INFORMATION: FILED AS OF DATE: 20020814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AVAYA INC CENTRAL INDEX KEY: 0001116521 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 223713430 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-15951 FILM NUMBER: 02737359 BUSINESS ADDRESS: STREET 1: 211 MOUNT AIRY RD CITY: BASKING RIDGE STATE: NJ ZIP: 07920 BUSINESS PHONE: 9089536000 MAIL ADDRESS: STREET 1: 211 MOUNT AIRY ROAD CITY: BASKING RIDGE STATE: NJ ZIP: 07920 FORMER COMPANY: FORMER CONFORMED NAME: LUCENT EN CORP DATE OF NAME CHANGE: 20000612 8-K 1 a2087274z8-k.txt FORM 8-K 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): August 14, 2002 AVAYA INC. (Exact name of registrant as specified in its charter) Delaware 1-15951 22-3713430 (State or other jurisdiction (Commission (IRS Employer of incorporation) File Number) Identification No.) 211 Mount Airy Road Basking Ridge, NJ 07920 (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: (908) 953-6000 ITEM 7(c). EXHIBITS 99.1 Certification of Donald K. Peterson pursuant to SEC Order No. 4-460. 99.2 Certification of Garry K. McGuire pursuant to SEC Order No. 4-460. ITEM 9. REGULATION FD DISCLOSURE On August 14, 2002, in accordance with SEC Order No. 4-460 and pursuant to Section 21(a)(1) of the Securities Exchange Act of 1934, sworn statements were filed with the Securities and Exchange Commission by the principal executive officer and the principal financial officer of Avaya Inc. Copies of each written statement are furnished as Exhibits 99.1 and 99.2 to this report. 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. AVAYA INC. Date: August 14, 2002 By: /s/ Pamela F. Craven -------------------------------------- Name: Pamela F. Craven Title: Senior Vice President, General Counsel and Secretary EXHIBIT INDEX
EXHIBIT NUMBER DESCRIPTION - -------------- ----------- 99.1 Certification of Donald K. Peterson pursuant to SEC Order No. 4-460. 99.2 Certification of Garry K. McGuire pursuant to SEC Order No. 4-460.
EX-99.1 3 a2087274zex-99_1.txt EXHIBIT 99.1 CERTIFICATION/PETERSON EXHIBIT 99.1 STATEMENT UNDER OATH OF PRINCIPAL EXECUTIVE OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS I, Donald K. Peterson, state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of Avaya Inc., and, except as corrected or supplemented in a subsequent covered report: o no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and o no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed). (2) I have reviewed the contents of this statement with the Company's audit committee. (3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report": o the Annual Report on Form 10-K for the fiscal year ended September 30, 2001 of Avaya Inc; o all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Avaya Inc. filed with the Commission subsequent to the filing of the Form 10-K identified above; and o any amendments to any of the foregoing. /s/ Donald K. Peterson - ------------------------------- Donald K. Peterson August 14, 2002 Subscribed and sworn to before me this 14th day of August, 2002. /s/ Dianne Recchia - ------------------------------- Notary Public of New Jersey My Commission Expires: 2/13/07 EX-99.2 4 a2087274zex-99_2.txt EXHIBIT 99.2 EXHIBIT 99.2 STATEMENT UNDER OATH OF PRINCIPAL FINANCIAL OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS I, Garry K. McGuire, state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of Avaya Inc., and, except as corrected or supplemented in a subsequent covered report: o no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and o no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed). (1) I have reviewed the contents of this statement with the Company's audit committee. (2) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report": o the Annual Report on Form 10-K for the fiscal year ended September 30, 2001 of Avaya Inc; o all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Avaya Inc. filed with the Commission subsequent to the filing of the Form 10-K identified above; and o any amendments to any of the foregoing. /s/ Garry K. McGuire - ------------------------------- Garry K. McGuire August 14, 2002 Subscribed and sworn to before me this 14th day of August, 2002. /s/ Dianne Recchia - ------------------------------- Notary Public of New Jersey My Commission Expires: 2/13/07 -----END PRIVACY-ENHANCED MESSAGE-----