-----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, PSfYbeR+fiFc0fF27Yd6MLTTrRXEnbIOORL6AtmsJhPGfRPX30ODLLAgJn4yAlF8 ZbbYPi6isgNOn94sDJa9JA== 0000950168-03-001836.txt : 20030516 0000950168-03-001836.hdr.sgml : 20030516 20030516134718 ACCESSION NUMBER: 0000950168-03-001836 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20030516 ITEM INFORMATION: Financial statements and exhibits ITEM INFORMATION: Regulation FD Disclosure FILED AS OF DATE: 20030516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UNIGENE LABORATORIES INC CENTRAL INDEX KEY: 0000352747 STANDARD INDUSTRIAL CLASSIFICATION: MEDICINAL CHEMICALS & BOTANICAL PRODUCTS [2833] IRS NUMBER: 222328609 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-16005 FILM NUMBER: 03708031 BUSINESS ADDRESS: STREET 1: 110 LITTLE FALLS RD CITY: FAIRFIELD STATE: NJ ZIP: 07004-2193 BUSINESS PHONE: 9738820860 MAIL ADDRESS: STREET 1: 110 LITTLE FALLS RD CITY: FAIRFIELD STATE: NJ ZIP: 07004-2193 8-K 1 d8k.htm UNIGENE LABORATORIES, INC. FORM 8-K Unigene Laboratories, 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)                 May 16, 2003

 

UNIGENE LABORATORIES, INC.

(EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)

 

DELAWARE

  

0-16005

  

22-2328609

(STATE OR OTHER JURISDICTION

  

(COMMISSION

  

(I.R.S. EMPLOYER

OF INCORPORATION)

  

FILE NUMBER)

  

IDENTIFICATION NO.)

 

110 LITTLE FALLS ROAD

FAIRFIELD, NEW JERSEY 07004

(ADDRESS OF PRINCIPAL EXECUTIVE OFFICES) (ZIP CODE)

 

REGISTRANT’S TELEPHONE NUMBER, INCLUDING AREA CODE                 (973) 882-0860

 



 

Item 7.    Financial Statements, Pro Forma Financial Information and Exhibits

 

  (c)   Exhibits.

 

  99.1   Certification by Warren P. Levy, 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 by Jay Levy, Chief Financial Officer, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

 

Item 9.    Regulation FD Disclosure

 

On May 15, 2003, Warren P. Levy, Chief Executive Officer, and Jay Levy, Chief Financial Officer, of Unigene Laboratories, Inc. each delivered to the Securities and Exchange Commission (“SEC”) a sworn statement pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

 

Copies of the sworn statements and certifications of Messrs. Levy and Levy are filed herewith as Exhibits 99.1 and 99.2, respectively.

 

Limitation of Incorporation by Reference

 

In acccordance with general instruction B.2 of form 8-K, the information in this report is furnished pursuant to Item 9 and shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, or otherwise subject to the liability of that section.


 

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.

 

 

    

UNIGENE LABORATORIES, INC.

    

/s/  Warren P. Levy


Date: May 16, 2003

  

By: Warren P. Levy

    

President

    

(Chief Executive Officer)


 

Section 1.    EXHIBIT INDEX

 

Exhibit Number


  

Description


99.1

  

Certification by Warren P. Levy, 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 by Jay Levy, Chief Financial Officer, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

EX-99.1 3 dex991.htm CEO CERTIFICATION CEO Certification

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

 

 

In connection with the Quarterly Report of Unigene Laboratories, Inc. (the “Company”) on Form 10-Q for the period ended March 31, 2003 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Warren P. Levy, Chief Executive Officer of the Company, certify, pursuant to 18 U.S.C. § 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002, that:

 

(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 position and results of operations of the Company.

 

 

/s/  Warren P. Levy


Warren P. Levy

Chief Executive Officer

May 15, 2003

 

 

 

The foregoing certification is furnished solely pursuant to 18 U.S.C. § 1350 and is not being filed as part of the Report or as a separate disclosure document.

EX-99.2 4 dex992.htm CFO CERTIFICATION CFO Certification

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

 

 

In connection with the Quarterly Report of Unigene Laboratories, Inc. (the “Company”) on Form 10-Q for the period ended March 31, 2003 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Jay Levy, Chief Financial Officer of the Company, certify, pursuant to 18 U.S.C. § 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002, that:

 

(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 position and results of operations of the Company.

 

 

/s/  Jay Levy


Jay Levy

Chief Financial Officer

May 15, 2003

 

 

 

The foregoing certification is furnished solely pursuant to 18 U.S.C. § 1350 and is not being filed as part of the Report or as a separate disclosure document.

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