-----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, BBLXyNap2L95vhQS5auJeO+Yc4sreYaGU3ZjYGeei/Qxk3f+0V7bHT4XhKnWiwxQ U+8nmQtq60TJLk8mUnX6KQ== 0000718482-02-000056.txt : 20021009 0000718482-02-000056.hdr.sgml : 20021009 20021009092442 ACCESSION NUMBER: 0000718482-02-000056 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20021008 ITEM INFORMATION: FILED AS OF DATE: 20021009 FILER: COMPANY DATA: COMPANY CONFORMED NAME: EDWARDS A G INC CENTRAL INDEX KEY: 0000718482 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 431288229 STATE OF INCORPORATION: DE FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-08527 FILM NUMBER: 02784656 BUSINESS ADDRESS: STREET 1: ONE N JEFFERSON AVE CITY: ST LOUIS STATE: MO ZIP: 63103 BUSINESS PHONE: 3142893000 8-K 1 a8k1002.htm

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 8, 2002

 

 

A.G. EDWARDS, INC.
(Exact Name of Registrant as Specified in Charter)

 

Delaware

001-08527

43-1288229

(State or Other Jurisdiction
of Incorporation)

(Commission File Number)

(IRS Employer
Identification Number)

 

One North Jefferson Avenue,
St. Louis Missouri

 
63103

(Address of Principal Executive Offices)

(Zip Code)

 

Registrant's telephone number, including area code: (314) 955-3000

 

 

Item 7. Financial Statements, Pro Forma Financial Information and Exhibits

   (c)   Exhibits

      99(i) Statement Under Oath of Principal Executive Officer Regarding Facts and Circumstances
      Related to Exchange Act Filings.

      99(ii) Statement Under Oath of Principal Financial Officer Regarding Facts and Circumstances
      Related to Exchange Act Filings.

 

Item 9. Regulation FD Disclosure

On October 8, 2002, the Principal Executive Officer and Principal Financial Officer of A.G. Edwards, Inc. submitted to the Securities and Exchange Commission statements under oath in accordance with Commission Order No. 4-460 requiring the filing of sworn statements pursuant to section 21(a)(1) of the Securities Exchange Act of 1934. Copies of these statements are attached as Exhibits 99(i) and 99(ii).

 

 

Signature

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.

Date: October 8, 2002

 

A.G. Edwards, Inc.
Registrant      

 

By: /s/ Douglas L. Kelly
     Douglas L. Kelly
     Chief Financial Officer

 

Exhibit Index

 

Exhibit No.      Description

99(i)                Statement Under Oath of Principal Executive Officer Regarding Facts and Circumstances
                       Relating to Exchange Act Filings.

99(ii)               Statement Under Oath of Principal Financial Officer Regarding Facts and Circumstances
                       Relating to Exchange Act Filings.

EX-99 3 exhibit99i.htm

EXHIBIT 99(i)

Statement Under Oath of Principal Executive Officer and
Principal Financial Officer Regarding Facts and Circumstances
Relating to Exchange Act Filings

I, Robert L. Bagby, state and attest that:

(1)  To the best of my knowledge, based upon a review of the covered reports of
       A.G. Edwards, Inc., and, except as corrected or supplemented in a subsequent covered report:

  •    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

  •    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":

  •    Annual Report on Form 10-K for the fiscal year ended February 28, 2002 of A.G. Edwards, Inc.

  •    All reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of
       A.G. Edwards, Inc. filed with the Commission subsequent to the filing of the Form 10-K
       identified above; and

  •    Any amendments to any of the foregoing.

Dated: October 8, 2002

/s/Robert L. Bagby     
        Robert L. Bagby      
Chairman of the Board and
Chief Executive Officer  

Subscribed and sworn to before
me this 8th day of October 2002

/s/Linda M. Staten
Notary Public

My Commission Expires: May 6, 2003

Linda M. Staten
Notary Public - Notary Seal
State of Missouri
City of St. Louis
My Commission Expires: May 6, 2003

EX-99 4 exhibit99ii.htm

EXHIBIT 99(ii)

Statement Under Oath of Principal Executive Officer and
Principal Financial Officer Regarding Facts and Circumstances
Relating to Exchange Act Filings

I, Douglas L. Kelly, state and attest that:

(1)   To the best of my knowledge, based upon a review of the covered reports of
        A.G. Edwards, Inc., and, except as corrected or supplemented in a subsequent covered report:

(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":

Dated: October 8, 2002

/s/Douglas L. Kelly 
Douglas L. Kelly  
Chief Financial Officer

Subscribed and sworn to before
me this 8th day of October 2002

/s/Linda M. Staten
Notary Public
My Commission Expires: May 6, 2003

Linda M. Staten
Notary Public - Notary Seal
State of Missouri
City of St. Louis
My Commission Expires: May 6, 2003

-----END PRIVACY-ENHANCED MESSAGE-----