-----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, EaNaHNBDIb7JptduJlISEfeO76gwwZOmDS8H0PsAlEQTTgos3ybj58+P1+REtGRq 47z1kTNADvHJlvigO46TtA== 0000922907-02-000363.txt : 20021118 0000922907-02-000363.hdr.sgml : 20021118 20021115150613 ACCESSION NUMBER: 0000922907-02-000363 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NN INC CENTRAL INDEX KEY: 0000918541 STANDARD INDUSTRIAL CLASSIFICATION: BALL & ROLLER BEARINGS [3562] IRS NUMBER: 621096725 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-23486 FILM NUMBER: 02829674 BUSINESS ADDRESS: STREET 1: 2000 WATERS EDGE DR CITY: JOHNSON CITY STATE: TN ZIP: 37604 BUSINESS PHONE: 4237439151 MAIL ADDRESS: STREET 1: 2000 WATERS EDGE DR CITY: JOHNSON CITY STATE: TN ZIP: 37604 FORMER COMPANY: FORMER CONFORMED NAME: NN BALL & ROLLER INC DATE OF NAME CHANGE: 19940203 10-Q/A 1 form10qa_111502.htm Form 10-Q/A for NN, Inc.
================================================================================

                UNITED STATES SECURITIES AND EXCHANGE COMMISSION
                             Washington, D.C. 20549


                                   FORM 10-Q/A
                         (Amendment No. 1 to Form 10-Q)


/X/  QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934

                For the quarterly period ended September 30, 2002

                                       OR

/ /  TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934

              For the transition period from _________ to _________


                         Commission File Number 0-23486


                                    NN, Inc.
             (Exact name of registrant as specified in its charter)

          Delaware                                              62-1096725
(State or other jurisdiction of                               (I.R.S. Employer
incorporation or organization)                            Identification Number)

                             2000 Waters Edge Drive
                              Building C, Suite 12
                          Johnson City, Tennessee 37604
          (Address of principal executive offices, including zip code)

                                 (423) 743-9151
              (Registrant's telephone number, including area code)

Indicate by check mark whether the registrant (1) has filed all reports required
to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during
the preceding 12 months (or for such shorter period that the registrant was
required to file such reports), and (2) has been subject to such filing
requirements for the past 90 days. Yes   X    No _____

As of November, 14, 2002 there were 15,367,773 of the registrant's common stock,
par value $0.01 per share, outstanding.

================================================================================


                                       1





                                EXPLANATORY NOTE

This Amendment No. 1 to the Company's Quarterly Report on Form 10-Q for the
period ended September 30, 2002 is being filed solely to include the
certification required by Section 906 of the Sarbanes-Oxley Act of 2002. No
other revisions have been made to the Company's Quarterly Report on Form 10-Q
filed on November 14, 2002.


Part II. Other Information

Item 6.Exhibits and Reports on Form 8-K.

(a)  Exhibits Required by Item 601 of Regulation S-K

     10.1 Amendment No. 3 dated July 31, 2002 to Credit Agreement among NN,
          Inc., as the Borrower, the Lenders identified therein, Bank One,
          Kentucky, N A, as Co-Agent, and AmSouth Bank as Administrative Agent
          (incorporated by reference to Exhibit 10.1 of the Company's Quarterly
          Report on Form 10-Q for the period ended June 30, 2002).

     10.2 Amendment No. 2 dated July 12, 2002 to Credit Agreement among NN,
          Inc., as the Borrower, the Lenders identified therein, Bank One,
          Kentucky, N A, as Co-Agent, and AmSouth Bank as Administrative Agent
          (incorporated by reference to Exhibit 10.9 of the Company's
          Registration Statement on Form S-3/A filed July 15, 2002).

     99.1 Certifications pursuant to Section 906 of the Sarbanes-Oxley Act of
          2002.

(b)  Reports on Form 8-K

     The Company filed a Form 8-K on July 18, 2002 announcing its second
     quarter earnings.

     The Company filed a Form 8-K on August 6, 2002 announcing that, due to
     unfavorable market conditions, it has postponed the proposed follow-on
     public offering of its common stock.

     The Company filed a Form 8-K on September 26, 2002 announcing it filed a
     shelf registration statement with the Securities and Exchange Commission.


                                       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 thereunto duly authorized.




Date:  November 15, 2002                  /s/ William C. Kelly, Jr.
- -------------------------      -------------------------------------------------

                                              William C. Kelly, Jr.
                               Treasurer, Secretary and Chief Accounting Officer
                                        (Principal Accounting Officer)


                                       3





                                 CERTIFICATIONS


I, Roderick R. Baty, certify that:

1.   I have reviewed this quarterly report on Form 10-Q/A of NN, Inc.;

2.   Based on my knowledge, this quarterly report does not contain any untrue
     statement of a material fact or omit to state a material fact necessary to
     make the statements made, in light of the circumstances under which such
     statements were made, not misleading with respect to the period covered by
     this quarterly report;

3.   Based on my knowledge, the financial statements, and other financial
     information included in this quarterly report, fairly present in all
     material respects the financial condition, results of operations and cash
     flows of the registrant as of, and for, the periods presented in this
     quarterly report;

4.   The registrant's other certifying officers and I are responsible for
     establishing and maintaining disclosure controls and procedures (as defined
     in Exchange Act Rules 13a-14 and 15d-14) for the registrant and we have:

     a)   designed such disclosure controls and procedures to ensure that
          material information relating to the registrant, including its
          consolidated subsidiaries, is made known to us by others within those
          entities, particularly during the period in which this quarterly
          report is being prepared;

     b)   evaluated the effectiveness of the registrant's disclosure controls
          and procedures as of a date within 90 days prior to the filing date of
          this quarterly report (the "Evaluation Date"); and

     c)   presented in this quarterly report our conclusions about the
          effectiveness of this disclosure controls and procedures based on our
          evaluation as of the Evaluation Date;

5.   The registrant's other certifying officers and I have disclosed, based on
     our most recent evaluation, to the registrant's auditors and the audit
     committee of registrant's board of directors (or persons performing the
     equivalent function):

     a)   all significant deficiencies in the design or operation of internal
          controls which could adversely affect the registrant's ability to
          record, process, summarize and report financial data and have
          identified for the registrant's auditors any material weaknesses in
          internal controls; and

     b)   any fraud, whether or not material, that involves management or other
          employees who have a significant role in the registrant's internal
          controls; and

6.   The registrant's other certifying officers and I have indicated in this
     quarterly report whether or not there were significant changes in internal
     controls or in other factors that could significantly affect internal
     controls subsequent to the date of our most recent evaluation, including
     any corrective actions with regard to significant deficiencies and material
     weaknesses.

Date:  November 15, 2002

                                 /s/ Roderick R. Baty
                                ------------------------------------------------
                                 Roderick R. Baty
                                 Chairman, President and Chief Executive Officer


                                       4





I, David L. Dyckman, certify that:

1.   I have reviewed this quarterly report on Form 10-Q/A of NN, Inc.;

2.   Based on my knowledge, this quarterly report does not contain any untrue
     statement of a material fact or omit to state a material fact necessary to
     make the statements made, in light of the circumstances under which such
     statements were made, not misleading with respect to the period covered by
     this quarterly report;

3.   Based on my knowledge, the financial statements, and other financial
     information included in this quarterly report, fairly present in all
     material respects the financial condition, results of operations and cash
     flows of the registrant as of, and for, the periods presented in this
     quarterly report;

4.   The registrant's other certifying officers and I are responsible for
     establishing and maintaining disclosure controls and procedures (as defined
     in Exchange Act Rules 13a-14 and 15d-14) for the registrant and we have:

     a)   designed such disclosure controls and procedures to ensure that
          material information relating to the registrant, including its
          consolidated subsidiaries, is made known to us by others within those
          entities, particularly during the period in which this quarterly
          report is being prepared;

     b)   evaluated the effectiveness of the registrant's disclosure controls
          and procedures as of a date within 90 days prior to the filing date of
          this quarterly report (the "Evaluation Date"); and

     c)   presented in this quarterly report our conclusions about the
          effectiveness of this disclosure controls and procedures based on our
          evaluation as of the Evaluation Date;

5.   The registrant's other certifying officers and I have disclosed, based on
     our most recent evaluation, to the registrant's auditors and the audit
     committee of registrant's board of directors (or persons performing the
     equivalent function):

     a)   all significant deficiencies in the design or operation of internal
          controls which could adversely affect the registrant's ability to
          record, process, summarize and report financial data and have
          identified for the registrant's auditors any material weaknesses in
          internal controls; and

     b)   any fraud, whether or not material, that involves management or other
          employees who have a significant role in the registrant's internal
          controls; and

6.   The registrant's other certifying officers and I have indicated in this
     quarterly report whether or not there were significant changes in internal
     controls or in other factors that could significantly affect internal
     controls subsequent to the date of our most recent evaluation, including
     any corrective actions with regard to significant deficiencies and material
     weaknesses.

Date:  November 15, 2002

                                 /s/ David L. Dyckman
                                ------------------------------------------------
                                 David L. Dyckman
                                 Chief Financial Officer


                                       5


EX-99 3 form10qa_111502exh991.htm EXHIBIT 99.1 Exhibit 99.1 to Form 10-Q for NN, Inc.

                                                                    Exhibit 99.1
                                                                                                                           Exhibit 99.1

                            CERTIFICATION PURSUANT TO
                  SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002


     In connection with the Quarterly Report of NN, Inc. (the "Company") on Form
10-Q for the  quarterly  period  ended  September  30,  2002,  as filed with the
Securities  and  Exchange  Commission  on the date  hereof (the  "Report"),  the
undersigned,  in the  capacities  and  dates  indicated  below,  hereby  certify
pursuant  to 18  U.S.C.  ss.  1350,  as  adopted  pursuant  to  ss.  906  of the
Sarbanes-Oxley  Act of  2002,  that,  to our  knowledge:  (1) The  Report  fully
complies  with the  requirements  of  Section  13(a) or 15(d) of the  Securities
Exchange Act of 1934;  and (2) The  information  contained in the Report  fairly
presents,  in all material  respects,  the  financial  condition  and results of
operations of the Company.




                                   /s/ Roderick R. Baty
                                 -----------------------------------------------
                                 Roderick R. Baty
                                 Chairman, President and Chief Executive Officer



                                  /s/ David L. Dyckman
                                 -----------------------------------------------
                                 David L. Dyckman
                                 Chief Financial Officer


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