-----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, WqSyTds0Z5MVlkwre6aoLpKfI6hFGb14vbtlB0Org9Qu0EPYC0/scmVoonqdBVPZ AJdM4YbN5vA9SnI4EUKZiA== 0000072741-02-000094.txt : 20020802 0000072741-02-000094.hdr.sgml : 20020802 20020802133504 ACCESSION NUMBER: 0000072741-02-000094 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20020802 ITEM INFORMATION: Other events ITEM INFORMATION: Financial statements and exhibits FILED AS OF DATE: 20020802 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NORTHEAST UTILITIES SYSTEM CENTRAL INDEX KEY: 0000072741 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 042147929 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 02718177 BUSINESS ADDRESS: STREET 1: 174 BRUSH HILL AVE CITY: WEST SPRINGFIELD STATE: MA ZIP: 01090-0010 BUSINESS PHONE: 4137855871 MAIL ADDRESS: STREET 1: 107 SELDON ST CITY: BERLIN STATE: CT ZIP: 06037-1616 8-K 1 nu8k080202.txt NU 8-K COVER 080202 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549-1004 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 2, 2002 ------------------- Commission File Number 1-5324 ------ NORTHEAST UTILITIES -------------------- (Exact name of registrant as specified in its charter) MASSACHUSETTS 04-2147929 ---------------------- ---------- (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No.) 174 BRUSH HILL AVENUE, WEST SPRINGFIELD, MASSACHUSETTS 01090-0010 ------------------------------------------------------------ (Address of principal executive offices) (Zip Code) (413) 785-5871 (Registrant's telephone number, including area code) Not Applicable -------------- (Former name or former address, if changed since last report) Item 5. Other Events and Regulation FD Disclosure On August 2, 2002, Northeast Utilities submitted to the Securities and Exchange Commission Statements under Oath of the Principal Executive Officer and Principal Financial Officer in accordance with the SEC's June 27, 2002 Order requiring the filing of sworn statements pursuant to Section 21(a)(1) of the Securities and Exchange Act of 1934. Such statements do not cover the Company's Form 10Q for the second quarter of 2002 as such Form has not yet been filed. The Company intends to submit a second set of certification statements next week at the time it files its second quarter Form 10Q. Item 7. Financial Statements and Exhibits (c) Exhibits 99.1 Statement Under Oath of Michael G. Morris, Chairman, President and Chief Executive Officer of Northeast Utilities, Regarding Facts and Circumstances Relating to Exchange Act Filings. 99.2 Statement Under Oath of John H. Forsgren, Vice Chairman, Executive Vice President and Chief Financial Officer of Northeast Utilities, Regarding Facts and Circumstances Relating to Exchange Act Filings. SIGNATURE Pursuant to the requirements of the Securities and Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. NORTHEAST UTILITIES (registrant) By: /s/ Gregory B. Butler Name: Gregory B. Butler Title: Vice President,Secretary and General Counsel Date: August 2, 2002 EX-99 3 exh991080202.txt NU EXHIBIT 99.1 MORRIS 080202 Exhibit 99.1 STATEMENT UNDER OATH OF PRINCIPAL EXECUTIVE OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS I, Michael G. Morris, Chairman, President and Chief Executive Officer of Northeast Utilities, state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of Northeast Utilities, 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 audit committee of the Board of Trustees of Northeast Utilities. (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 of Northeast Utilities on Form 10-K for the year ended December 31, 2001; - all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Northeast Utilities filed with the Commission subsequent to the filing of the Form 10-K identified above; and - any amendments to any of the foregoing. /s/ Michael G. Morris (Signature) Michael G. Morris Chairman, President and Chief Executive Officer July 31, 2002 Subscribed and sworn to before me this 31st day of July, 2002. /s/ Amanda J. Scheyd Amanda J. Scheyd Notary Public My Commission Expires: 12/31/06 EX-99 4 exh9928k080202.txt NU EXHIBIT 99.2 FORSGREN 080202 Exhibit 99.2 STATEMENT UNDER OATH OF PRINCIPAL FINANCIAL OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS I, John H. Forsgren, Vice Chairman, Executive Vice President and Chief Financial Officer of Northeast Utilities, state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of Northeast Utilities, 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 audit committee of the Board of Trustees of Northeast Utilities. (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 of Northeast Utilities on Form 10-K for the year ended December 31, 2001; - all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Northeast Utilities filed with the Commission subsequent to the filing of the Form 10-K identified above; and - any amendments to any of the foregoing. /s/ John H. Forsgren (Signature) John H. Forsgren Vice Chairman, Executive Vice President and Chief Financial Officer July 31, 2002 Subscribed and sworn to before me this 31st day of July, 2002. /s/ Cynthia L. Pratt Cynthia L. Pratt Notary Public My Commission Expires: 6/2006 -----END PRIVACY-ENHANCED MESSAGE-----