Table of Contents
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
Eli Lilly and Company
(Exact name of registrant as specified in its charter)
| Indiana (State of other jurisdic- tion of incorporation) |
001-6351 (Commission File Number) |
35-0470950 (IRS Employer Identification No.) |
| Lilly Corporate Center, Indianapolis, Indiana (Address of principal executive offices) |
46285 (Zip Code) |
Registrant’s telephone number, including area code: (317) 276-2000
No Change
(Former name or former address, if changed since last report)
| SIGNATURE | ||||||||
| Certification of CEO | ||||||||
| Certification of CFO | ||||||||
Table of Contents
Item 9. Regulation FD Disclosure.
On August 14, 2002, pursuant to the Commission’s Order Requiring the Filing of Sworn Statements Pursuant to Section 21(a)(1) of the Securities Exchange Act of 1934, No. 4-460, the Registrant’s Chief Executive Officer and Chief Financial Officer submitted to the Commission their statements under oath regarding the Registrant’s 2001 annual report on Form 10-K, 2002 definitive proxy materials, and all reports on Forms 10-Q and 8-K subsequent to the filing of the Registrant’s 2001 Form 10-K. Those statements were made in the prescribed form without exceptions or modifications.
The statements are attached as exhibits to this Form 8-K.
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.
| ELI LILLY AND COMPANY (Registrant) |
|
| By: /s/ Charles E. Golden Name: Charles E. Golden Title: Executive Vice President and Chief Financial Officer |
Dated: August 14, 2002
| Eli Lilly and Company Lilly Corporate Center Indianapolis, Indiana 46285 U.S.A. |
Date: August 13, 2002
Mr. Jonathan G. Katz
Secretary, Securities and Exchange Commission
450 Fifth Street, N.W.
Washington, DC 20549-0609
Re: OMB Number: 3235-0569
Statement Under Oath of Principal Executive Officer and Principal Financial
Officer Regarding Facts and Circumstances Relating to Exchange Act Filings
Dear Mr. Katz:
I, Sidney Taurel, Chairman of the Board, President, and Chief Executive Officer, state and attest that:
| (1) To the best of my knowledge, based upon a review of the covered reports of Eli Lilly and Company, 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 Eli Lilly and 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”: |
| • | the December 31, 2001 Annual Report on Form 10-K of Eli Lilly and Company; | ||
| • | all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Eli Lilly and Company filed with the Commission subsequent to the filing of the Form 10-K identified above; and | ||
| • | any amendments to any of the foregoing. |
| /s/ SIDNEY TAUREL Sidney Taurel August 13, 2002 |
Subscribed and sworn to before me this 13th day of August 2002. |
||
| /s/ JANE J. SPRINGER Notary Public My Commission Expires: February 23, 2008 |
| Eli Lilly and Company Lilly Corporate Center Indianapolis, Indiana 46285 U.S.A. |
Date: August 13, 2002
Mr. Jonathan G. Katz
Secretary, Securities and Exchange Commission
450 Fifth Street, N.W.
Washington, DC 20549-0609
Re: OMB Number: 3235-0569
Statement Under Oath of Principal Executive Officer and Principal Financial
Officer Regarding Facts and Circumstances Relating to Exchange Act Filings
Dear Mr. Katz:
I, Charles E. Golden, Executive Vice President and Chief Financial Officer, state and attest that:
| (1) To the best of my knowledge, based upon a review of the covered reports of Eli Lilly and Company, 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 Eli Lilly and 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”: |
| • | the December 31, 2001 Annual Report on Form 10-K of Eli Lilly and Company; | ||
| • | all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Eli Lilly and Company filed with the Commission subsequent to the filing of the Form 10-K identified above; and | ||
| • | any amendments to any of the foregoing. |
| /s/ CHARLES E.
GOLDEN Charles E. Golden August 13, 2002 |
Subscribed and sworn to before me this 13th day of August 2002. |
||
| /s/ JANE J.
SPRINGER Notary Public My Commission Expires: February 23, 2008 |