-----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, PjZrK4N8lB6dLm9klfviyuw1sGY+QFs8JwUQHKFdnuNx6phpA9WDwA2OuEuygtOk vEJ3nik8t1w90OMS+BJ3EA== 0000944695-02-000021.txt : 20020814 0000944695-02-000021.hdr.sgml : 20020814 20020814154737 ACCESSION NUMBER: 0000944695-02-000021 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20020814 ITEM INFORMATION: Other events FILED AS OF DATE: 20020814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALLMERICA FINANCIAL CORP CENTRAL INDEX KEY: 0000944695 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 043263626 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-13754 FILM NUMBER: 02736188 BUSINESS ADDRESS: STREET 1: 440 LINCOLN ST CITY: WORCESTER STATE: MA ZIP: 01653 BUSINESS PHONE: 5088551000 MAIL ADDRESS: STREET 1: 440 LINCOLN ST CITY: WORCESTER STATE: MA ZIP: 01653 8-K 1 form8k81402.txt AUGUST 14, 2002 FORM 8K UNITED STATES 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 ALLMERICA FINANCIAL CORPORATION ------------------------------- (Exact name of Registrant as specified in its charter) Delaware 1-13754 04-3263626 (State or other jurisdic- (Commission File Number) (I.R.S. Employer I.D. tion of Incorporation) Number) 440 Lincoln Street, Worcester, Massachusetts 01653 -------------------------------------------------- (Address of Principal Executive Offices) (Zip Code) (508) 855-1000 -------------- (Registrant's Telephone Number including area code) Page 1 of 4 pages Exhibit Index on page 4 1 Item 9. Regulation FD Disclosure On August 14, 2002, the Principal Executive Officer, John F. O'Brien, and the Principal Financial Officer, Edward J. Parry III, of Allmerica Financial Corporation submitted to the SEC sworn statements pursuant to Securities and Exchange Commission Order No. 4-460. Copies of of these statements are attached hereto as Exhibits. In addition, the Company filed Certifications pursuant to 18 U.S.C. Section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002 with respect to the Form 10-Q for the period ended June 30, 2002, filed August 14, 2002. These were filed as Exhibits 99.1 and 99.2 of Form 10-Q. 2 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. Allmerica Financial Corporation ------------------------------- Registrant By: /s/ Edward J. Parry III -------------------------------- Edward J. Parry III Vice President, Chief Financial Officer and Principal Accounting Officer Date: August 14, 2002 3 Exhibit Index Exhibit 99.1: Statement Under Oath of Principal Executive Officer dated August 14, 2002 Exhibit 99.2: Statement Under Oath of Principal Financial Officer dated August 14, 2002 4 EX-99 3 ceounderoath.txt EXHIBIT 99.1 CEO STATEMENT UNDER OATH Exhibit 99.1 Statement Under Oath of Principal Executive Officer and Principal Financial Officer Regarding Facts and Circumstances Relating to Exchange Act Filings I, John F. O'Brien, President and Chief Executive Officer of Allmerica Financial Corporation, state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of Allmerica Financial 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 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 2001 Annual Report on Form 10-K of Allmerica Financial Corporation; o all reports of Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Allmerica Financial 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/ John F. O'Brien Subscribed and sworn to John F. O'Brien before me this 14th day of Date: August 14, 2002 August 2002. /s/ Linda L. Luperchio Notary Public My Commission Expires: January 7, 2005 EX-99 4 cfounderoath.txt EXHIBIT 99.2 CFO STATEMENT UNDER OATH Exhibit 99.2 Statement Under Oath of Principal Executive Officer and Principal Financial Officer Regarding Facts and Circumstances Relating to Exchange Act Filings I, Edward J. Parry, III, Vice President and Chief Financial Officer of Allmerica Financial Corporation, state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of Allmerica Financial 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 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 2001 Annual Report on Form 10-K of Allmerica Financial Corporation; o all reports of Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Allmerica Financial 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/ Edward J. Parry, III Subscribed and sworn to Edward J. Parry, III before me this 14th day of Date: August 14, 2002 August 2002. /s/ Linda L. Luperchio Notary Public My Commission Expires: January 7, 2005 -----END PRIVACY-ENHANCED MESSAGE-----