-----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, QFvzFtltYhhZHaCQYbSdPrcopeWlpc/6iSw8+j6OFzYnQTs0BVNYOh0hW+H4rj2W UJB16gmNdiPcAflJRWabgQ== 0001072613-02-001497.txt : 20020930 0001072613-02-001497.hdr.sgml : 20020930 20020930155832 ACCESSION NUMBER: 0001072613-02-001497 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20020930 ITEM INFORMATION: FILED AS OF DATE: 20020930 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SONICS & MATERIALS INC CENTRAL INDEX KEY: 0001000166 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 060854713 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-20753 FILM NUMBER: 02776560 BUSINESS ADDRESS: STREET 1: 53 CHRUCH HILL RD CITY: NEWTOWN STATE: CT ZIP: 06470 BUSINESS PHONE: 2032704600 MAIL ADDRESS: STREET 1: 53 CHRUCH HILL RD CITY: NEWTON STATE: CT ZIP: 06470 8-K 1 form8-k_11515.txt SONICS & MATERIALS, INC. FORM 8-K ================================================================================ 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) September 30, 2002 ------------------ SONICS & MATERIALS, INC. ---------------------------------------------------- (Exact name of registrant as specified in its charter) Delaware 0-20753 060854713 - --------------- ----------- ------------------- (State or other (Commission (IRS Employer jurisdiction of File Number) Identification No.) incorporation) 53 Church Hill Road, Newtown, Connecticut 06470 - -------------------------------------------------------------------------------- (Address of principal executive offices) (Zip Code) (203) 270-4600 - -------------------------------------------------------------------------------- Registrant's telephone number, including area code - -------------------------------------------------------------------------------- (Former name or former address, if changed since last report) ================================================================================ ITEM 9. REGULATION FD DISCLOSURE. On September 30, 2002, Sonics & Materials, Inc. (the "Company") filed its Annual Report on Form 10-KSB for the fiscal year ended June 30, 2002 with the Securities and Exchange Commission. Pursuant to the requirements of 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, the certification of each of the Chief Executive Officer and the Chief Financial Officer of the Company accompanied that filing. Copies of each certification are furnished as Exhibits 99.1 and 99.2 to this report. 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 hereunto duly authorized. SONICS & MATERIALS, INC. Date: September 30, 2002 By: /s/ Robert S. Soloff ----------------------------- Robert S. Soloff Chief Executive Officer 3 INDEX TO EXHIBITS EXHIBIT NO. DESCRIPTION - ----------- ----------- 99.1 Certification of Chief Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 99.2 Certification of Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 4 EX-99.1 3 ex99-1_11515.txt CERTIFICATION OF EXECUTIVE OFFICER EXHIBIT 99.1 ------------ CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 I, Robert S. Soloff, the Chief Executive Officer of Sonics & Materials, Inc. (the "Company"), certify, pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, 18 U.S.C. Section 1350, that: (1) the Annual Report on Form 10-KSB of the Company for the fiscal year ended June 30, 2002 as filed with the Securities and Exchange Commission on September 30, 2002 (the "Report") fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m or 78o(d)); and (2) the information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company. Dated: September 30, 2002 /s/ Robert S. Soloff -------------------------------- Robert S. Soloff Chief Executive Officer This certification is made solely for the purpose of 18 U.S.C. Section 1350, subject to the knowledge standard contained therein, and not for any other purpose. EX-99.2 4 ex99-2_11515.txt CERTIFICATION OF EXECUTIVE OFFICER EXHIBIT 99.2 ------------ CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 I, Steve Bowen, Chief Financial Officer of Sonics & Materials, Inc. (the "Company"), certify, pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, 18 U.S.C. Section 1350, that: (1) the Annual Report on Form 10-KSB of the Company for the fiscal year ended June 30, 2002 as filed with the Securities and Exchange Commission on September 30, 2002 (the "Report") fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m or 78o(d)); and (2) the information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company. Dated: September 30, 2002 /s/ Steve Bowen ----------------------------- Steve Bowen Chief Financial Officer This certification is made solely for the purpose of 18 U.S.C. Section 1350, subject to the knowledge standard contained therein, and not for any other purpose. -----END PRIVACY-ENHANCED MESSAGE-----