-----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, BwzhhiJP79HsqKfV25JxXe/RLcoKCR5fXngR1RJ644AYjMkd7hMPhM8D/JV2rvxV F2lWX7zr7FUWTBR3yGhSXw== 0000009389-02-000017.txt : 20020812 0000009389-02-000017.hdr.sgml : 20020812 20020812160039 ACCESSION NUMBER: 0000009389-02-000017 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20020812 ITEM INFORMATION: FILED AS OF DATE: 20020812 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BALL CORP CENTRAL INDEX KEY: 0000009389 STANDARD INDUSTRIAL CLASSIFICATION: METAL CANS [3411] IRS NUMBER: 350160610 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-07349 FILM NUMBER: 02726925 BUSINESS ADDRESS: STREET 1: 10 LONGS PEAK DRIVE CITY: BROOMFIELD STATE: CO ZIP: 80021-2510 BUSINESS PHONE: 3034695511 MAIL ADDRESS: STREET 1: PO BOX 5000 CITY: BROOMFIELD STATE: CO ZIP: 80038-5000 FORMER COMPANY: FORMER CONFORMED NAME: BALL BROTHERS CO DATE OF NAME CHANGE: 19731115 8-K 1 form8-k_02.htm FORM 8-K DOCUMENT Ball Corporation 8-K, August 2002
                                                   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

                                                  August 12, 2002
                                         (Date of earliest event reported)

                                           Commission file number 1-7349

                                                 BALL CORPORATION
                              (Exact name of Registrant as specified in its charter)

                             Indiana                    1-7349                 35-0160610
                            (State of                (Commission             (IRS Employer
                          Incorporation)               File No.)           Identification No.)

                           10 Longs Peak Drive, P.O. Box 5000, Broomfield, CO 80021-2510
                           (Address of principal executive offices, including zip code)

                                                  (303) 469-3131
                               (Registrant's telephone number, including area code)

                                                  Not Applicable
                           (Former name or former address, if changed since last report)


                                                 Ball Corporation
                                            Current Report on Form 8-K
                                               Dated August 12, 2002

Item 9.  Regulation FD Disclosure

On June 27, 2002, the Securities and Exchange Commission issued an Order requiring the filing of sworn statements
pursuant to Section 21(a)(1) of the Securities Exchange Act of 1934.  The Order requires the principal financial
officer and the principal executive officer of the Companies to:

     (a)   file a written statement, under oath, that is in a form prescribed by the Securities and Exchange
           Commission, including a statement declaring whether or not the contents of that statement have been
           reviewed with the company's audit committee, or

     (b)   file a written statement, under oath, describing the facts and circumstances that would make such a
           statement incorrect and declaring whether or not the contents of that statement have been reviewed
           with the company's audit committee.

A "covered" report is an Annual Report on Form 10-K filed with the United States Securities and Exchange Commission,
all reports on Form 10-Q, all reports on Form 8-K, and all definitive proxy materials of the reporting company filed
with the Commission subsequent to the filing of Form 10-K identified in the statement, and any amendments to any of
the foregoing.

On August 9, 2002, R. David Hoover, Chairman of the Board, President and Chief Executive Officer of Ball Corporation
and Raymond J. Seabrook, Senior Vice President and Chief Financial Officer of Ball Corporation, each executed, under
oath, statements in accordance with the Securities and Exchange Commission Order stating that:

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).

Each officer attests that they have reviewed the contents of the statement with the Audit Committee of the Board
of Directors of Ball Corporation.  A covered report is defined in the statement to include the Annual Report on
Form 10-K filed with the United States Securities and Exchange Commission ("Commission") on March 28, 2002; all
reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Ball Corporation filed with
the Commission subsequent to the filing of the Form 10-K identified above; and any amendments to any of the
foregoing through the signature date of the statement.

The statements executed by the Chairman of the Board, President and Chief Executive Officer of Ball Corporation
and the Senior Vice President and Chief Financial Officer of Ball Corporation are furnished to the Securities and
Exchange Commission (and not deemed to be filed herewith) and are attached hereto as Exhibit 99.1 and
Exhibit 99.2, respectively.



                                                     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.

                                                     BALL CORPORATION
                                                     (Registrant)


                                                     By:      /s/ Raymond J. Seabrook
                                                              Name:  Raymond J. Seabrook
                                                              Title:  Senior Vice President and  Chief Financial
                                                              Officer


Date:  August 12, 2002

                                         Ball Corporation and Subsidiaries
                                                     Form 8-K
                                                  August 12, 2002


                                EXHIBIT INDEX
                                 Description                                                        Exhibit
Sworn Statement by the Principal Executive Officer of Ball Corporation                                99.1
Regarding the Order Requiring the Filing of Sworn Statements Pursuant to
Section 21(a)(1) of the Securities Exchange Act of 1934.
Sworn Statement by the Principal Financial Officer of Ball Corporation                                99.2
Regarding the Order Regarding the Filing of Sworn Statements Pursuant to
Section 21(a)(1) of the Securities Exchange Act of 1934.



EX-99 4 ex99-1_8k.htm EXHIBIT 99.1 - EXECUTIVE OFFICER Ball Corporation 8-K, August 2002, Exhibit 99.1
Exhibit 99.1

STATEMENT UNDER OATH OF PRINCIPAL EXECUTIVE OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO CERTAIN
EXCHANGE ACT FILINGS


I, R. David Hoover, Chairman of the Board, President and Chief Executive Officer of Ball Corporation, state and
attest that:

     (1)   To the best of my knowledge, based upon a review of the covered reports of Ball Corporation, 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 Audit Committee of the Board of Directors of
           Ball Corporation.

     (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        Annual Report on Form 10-K filed with the United States Securities and Exchange Commission ("Commission")
         on March 28, 2002;

o        all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Ball Corporation
         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/ R. David Hoover                                              Subscribed and sworn to before me this 9th
R. David Hoover                                                  day of August 2002
Chairman of the Board, President and Chief
Executive Officer of Ball Corporation                             /s/ Suzette D. Compagno
                                                                 Notary Public
August 9, 2002
                                                                 My Commission Expires:

                                                                 February 3, 2004


EX-99 5 ex99-2_8k.htm EXHIBIT 99.2 - FINANCIAL OFFICER Ball Corporation 8-K, August 2002, Exhibit 99.2
Exhibit 99.2

STATEMENT UNDER OATH OF PRINCIPAL FINANCIAL OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO CERTAIN
EXCHANGE ACT FILINGS


I, Raymond J. Seabrook, Senior Vice President and Chief Financial Officer of Ball Corporation, state and attest
that:

     (1)   To the best of my knowledge, based upon a review of the covered reports of Ball Corporation, 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 Audit Committee of the Board of Directors of
           Ball Corporation.

     (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        Annual Report on Form 10-K filed with the United States Securities and Exchange Commission ("Commission")
         on March 28, 2002;

o        all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Ball Corporation
         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/ Raymond J. Seabrook                                          Subscribed and sworn to before me this 9th
Raymond J. Seabrook                                              day of August 2002
Senior Vice President and Chief Financial Officer
of Ball Corporation                                              /s/ Suzette D. Compagno
                                                                 Notary Public
August 9, 2002
                                                                 My Commission Expires:

                                                                 February 3, 2004


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