-----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, AiBc8Vi8ruyMxDVfTu0vJKXBy20QuBrqhjTO5XIpTFX0Ufpt3HugKQWETi7ow6+u 8NYO5sT6ctRIRcsj+gYmjA== 0001104659-02-004213.txt : 20020814 0001104659-02-004213.hdr.sgml : 20020814 20020814181330 ACCESSION NUMBER: 0001104659-02-004213 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20020814 ITEM INFORMATION: FILED AS OF DATE: 20020814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NORTHWESTERN CORP CENTRAL INDEX KEY: 0000073088 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 460172280 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-10499 FILM NUMBER: 02738246 BUSINESS ADDRESS: STREET 1: 125 S DAKOTA AVENUE STREET 2: SUITE 1100 CITY: SIOUX STATE: SD ZIP: 57104 BUSINESS PHONE: 6059782908 MAIL ADDRESS: STREET 1: 125 S DAKOTA AVENUE STREET 2: SUITE 1100 CITY: SIOUX STATE: SD ZIP: 57104 FORMER COMPANY: FORMER CONFORMED NAME: NORTHWESTERN PUBLIC SERVICE CO DATE OF NAME CHANGE: 19920703 8-K 1 j4785_8k.htm 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): August 14, 2002

 


 

(Exact name of registrant as specified in its charter)

 

Delaware

 

0-692

 

46-0172280

(State or other jurisdiction of incorporation)

 

(Commission File Number)

 

(IRS Employer Identification No.)

 

125 South Dakota Avenue, Sioux Falls, South Dakota

 

57104

(Address of principal executive offices)

 

(Zip Code)

 

Registrant’s telephone number, including area code (605) 978-2908

 



 

 Item 9. Regulation FD Disclosure

                On August 14, 2002, each of the Principal Executive Officer, Merle D. Lewis, and Principal Financial Officer, Kipp D. Orme, of Northwestern Corporation submitted to the SEC sworn statements pursuant to Securities and Exchange Commission Order No. 4-460.

                A copy of each of these statements is attached hereto as an Exhibit (99.1 and 99.2).

 

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 thereunto duly authorized.

 

 

 

NORTHWESTERN CORPORATION

 

 

 

 

 

/s/ Kurt D. Whitesel

 

By:

Kurt D. Whitesel
Vice President and Controller

 

 

 

Date: August 14, 2002

 

 

 

 

2



 

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

 

 

3


EX-99.1 3 j4785_ex99d1.htm EX-99.1 Exhibit 99

Exhibit 99.1

 

 

Statement Under Oath of

Principal Executive Officer Regarding Facts and

Circumstances Relating to Exchange Act Filings

 

 

I, Merle D. Lewis, Chairman and Chief Executive Officer, state and attest that:

 

(1)                                  To the best of my knowledge, based upon a review of the covered reports of NorthWestern Corporation, 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 the audit committee of NorthWestern 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”:

 

                                          Report on Form 10-K of NorthWestern Corporation for the year ended December 31, 2001;

 

                                          all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of NorthWestern Corporation filed with the Commission subsequent to the filing of the Form 10-K identified above; and

 

                                          any amendments to any of the foregoing.

 

 

 

 

 

Subscribed and sworn to before me this 14th day of August, 2002.

 

 

 

Merle D. Lewis

 

/s/ Karen L. Smook

Chairman & Chief Executive Officer

 

Karen L Smook

 

 

 

August 14, 2002

 

 

/s/ Merle D. Lewis

 

 

 

 

Notary Public

 

 

 

 

 

My Commission Expires:  7/12/05

 


EX-99.2 4 j4785_ex99d2.htm EX-99.2

 

Exhibit 99.2

 

 

Statement Under Oath of

 Principal Financial Officer Regarding Facts and

Circumstances Relating to Exchange Act Filings

 

 

I, Kipp D. Orme, Vice President — Finance and Chief Financial Officer, state and attest that:

 

(1)                                  To the best of my knowledge, based upon a review of the covered reports of NorthWestern Corporation, 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 the audit committee of NorthWestern 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”:

 

                                          Report on Form 10-K of NorthWestern Corporation for the year ended December 31, 2001 ;

 

                                          all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of NorthWestern Corporation filed with the Commission subsequent to the filing of the Form 10-K identified above; and

 

                                          any amendments to any of the foregoing.

 

 

 

 

 

Subscribed and sworn to before me this 14thday of August, 2002.

Kipp D. Orme

 

 

Vice President — Finance & Chief Financial Officer

 

/s/ Karen L. Smook

 

 

Karen L. Smook

August 14, 2002

 

 

/s/ Kipp D. Orme

 

 

 

 

Notary Public

 

 

 

 

 

My Commission Expires: 7/12/05

 


GRAPHIC 5 j47858kimage002.gif J47858KIMAGE002.GIF begin 644 j47858kimage002.gif M1TE&.#EA`P$U`'<`,2'^&E-O9G1W87)E.B!-:6-R;W-O9G0@3V9F:6-E`"P` M`````P$U`(8```"9``#,``#,,P#_,P```#,S`#.9`#/,`#/_`#,`,S,S,S/, M,S/_,S/,9C/_9C,``&8S`&8`,V8S,V9F,V;,,V;_,V8`9F8S9F9F9F:99F;, M9F9FF6:9F6;,F6;_F68``)DS,YD`9IDS9IEF,YF99IG_,YDSF9EFF9F9F9G, MF9G_F9F9S)G,S)G_S)DS`)D`,YDS,\QF,\PS9LQF9IF99LS_9IDSFKM:>Q M-$ZGMPJKJI[`P<+#Q,6:/CHN/CZ'HZ.5#9X[+LDV`BK4+BO&W,,^+3L_S:.E MFT'(.A>O!A`2.<@]/3XAKJH2$$!1$5JN1C9(4",%I28$)&F/*G,EH29,& M%9P-&+4HV(XF/VC2%'#H$$9@!^M!@/D(UD&FC&`4.,*)1H$>0K-J+28@FJ51 M!YH\".9#0-"M&24U.>H)PZE4J/_.-D)QD)12T0<)-5'8E34&4]U$*C9Z`"B.;TTP5Q38(Q_1UD=!A= M6`5\//)A4E7`EYT.>H:0Z[G,)A4:630T28")3BT"R#7/B$`3))K4%@Z6^R`$ M#)FDPLL$.!2`0R<%`.C7"`641]\P-`B!TB.`-<)`(I(@MLEAJSW(1``"H/;7 M`)'$YDD(LQ4`0B8,PA+!/9T(`<&$?$'V(#$]J!!""C0Z@0`#%!)"W22<^-!$ MA^8ET<3_3M)1&!$A^P%SV3W^:><($KX3D$#D]TQ'Q$B%6RN9"*'4*3%"@!5?)-1C M:*/!+/$#0/@Y0@"0?QG2Q*]-:,)FIX\`$9!T2;30I$,2%;)L([\*&24P.L!R M"J&-N-*?F)O`R!<%JN3F(*W<3*J)DLXD,`JEC+BPEB9!I!`J)DL$A!H2RCJ2 MQ`_\]LNOB$[8T$`##`2U@3.'[.2"OV?Y2BHC*C#P8P(,,`%P_R.TL`)#)C'( ML@J7CZRTW0P3!#J!$,\6.\.+$6!@I1.YY&!//0J,D(0/2."L"0LD2/!B"(PV MDC/.2.2<KS!#09;7T MB9<3UWDL^\=.'`%Z+`IPRTD3QFWB9B0(/")8GH*SL'AD&23!0@=.9."$#Y&Q M4-Z^06T]2%`8+O9#$BN,(T`X/P#Q0_^N?U-$R``[H+8>1(YP!YA"26T#@!$Z`03M*-X$:N&*!24C!^T2V.P=HYFU84\^1V@><'[0` M-3TX1P]NU@,@M$`[RPA2(7:@M8`10EUSLL@@$C"`BQU'%"Z0"+$RQ)87^,(5 M&GR$57*3"DVP4"^I>)4C:A`N!^F@09N@!P0$:`L(9$83NRB`)AX(@5SA3Q4& M``]GG)"44\"$'B;I8E/\4X`9<.)'G7@`1)IE@T88J4,L:(&M>C`2%2C+!V)+ MP;Y(`/`880S M$D&`X-7'&7!R`ILDL8FO_,HUFF#"DL[WB/4;K'>)01FZG,2%7QITPDLP!)<(D"Q#C, METU&`BEU@JP@\$F2S$R.3BB04QRQ!!1,"$6/":MZ9I&4"#H"G*T9C"2V<9AM M]*`#D7%G9E#0@10L00,T^$$*-."\$J"``TY@0090HI8!**X1AX$E6ITTB0`D M@!.O+(0_&Z%8DP#L(Q,,"01>QL$EN$\6]7N$%7,#(%^00+)(NTOH4AH"G\GB M94W)4JA4I:7_=$($KON2%\MK-7VR:Q,2H9LEGB<`YR0!"4'9%R/&M]_>($%$ M_$J"TT2$1+UY0HF%<*(^O_+>1FA-%)F@4O]NZDH/)XPTCQ*HJUZ<`-E3A:`( M.=`!#M:&`QU0:14LT=8K,HR"V\XOI=@A3PY&7.(2HT#%!1!3_EI14D`1[IF% MDA5?+]M@33Q)$@T0*NQ2\-\4\&AQ3EZ"D]GIY"3HP,GB0\$;Y4L4:8!B%(K# M&^\XH=!"!.M_'A.D$[J(@Q5"0$1[5%124#%8G$*@=!J\HDOM00,GRCG'C#5) MG6N!'52\DQ6J`&\F1"#G:@8Y*>UU`F8[H0(A-2L`6@L*:Y>!VAZTDP9L8RU` M-*`!'ZK3M!I``6K4$E!.K(\0Q))T)0C1ZDP(1B)+,ER65$$5Q@V!$=%TQ8$N M$ZI5(588$Z02(2G_&]9EC\L'T5P*,/YG) M2NS!$$)_U+N)Y$H`9(Z(10&(`-\B;P*5=4/,]H*P!"0L07V]\8%T!`]X_R#< MK#>C:!:2A+68,%^*Z:>\E"S;%PM52(6O<_9C`49'T^5R`P7=K?Q!2!X!62C@ M0"I%12_8#HR6NJ(VG5"C*]`>7EJWHAG..#'&"E!2T`3O"UHP-V!B$A MWY"D\@0O:5;&VA'NPE03%!QT$(T"\D:T]"8BL/H"=IP1(',`CYI`E.QQ.; MH%BK5TB/L!F343.-<$97I&B9<`00D`(WY@FWV,8 M3P)UTU$(V*=90)@0(+844EIQ!QC9`!0,G$!'X)$)+=4+AH@#`"`+V%**]Q=1 M_Q=WZC52IX!ZCH`!A.8)'%0>+35ZGM`BO?`"BW@2K\%3!C@8SZ<09_4PYF`) M@D`\`1,LA;`39RAC8"#)R"[3GAH33BX)%A-/B7MU@)*/`C1Q0"CZ@`>=@6C:X.)K2`2/Q M61$D;@7Y")4P:[7&`-$`&V2V&`@"G'"+%2'AO'&YN@%TVB1NP0 M7:H";+KQ2P5@1SL6BYR`(@9P"D@87DD1CS[RB)GU/8_0`5C1`U05!"R0&1+H M`VSC`[#U"-$"CL#P`4LT":/S2M7S%=SX"`^F"&JH";?!0II@=JSG"#+0"UWG M"$9[Z>6`.P$2' M8)[IR00?T)_]R9X;D`.,!H@AD(=(P`/R M^(8'T8XU,37W\"*15@/S=V!8 M7HJECLJG?NJG@7JIDJJDF^JF=ZJGC1JID`JGBGJIEBJJ6BJI>:JF@/@B2W&K M]Q`H[#!"HP>((B=A/]FKOXIG![$`*2J>7!2LE&6K`F*K@#A_P9:.NA:%^MZK>WJK.U@F%7:L`[[L!`; ML1([L11;L19[L1C;"2F9L1S;L:PAA5YXEY[@A5(EI9F``E`%51M[LE*E3BO[ M""E059PH#/=$.T`*,TKC#X&1;*`P](+D>UVV>$`1;F`002+CP MU#Q^2RX-B16WI0E6RP@+^+*-D`(0%K.<[,0>T^]JPFO!;M!XPD+ M6%4EH"F,RUH\E[8OR`$!X0/Y%@R"BUJ;&PP:\$.E1K/W&PRB^[0:N[0P$[Z< ML+\9T`+SZ[#0HRD_4"^$^T8EP+^=0%I_5[K`@`)3J;Z.0U'W)+SKJQUC2Q8< ML#8SR[RI)0Q+(,&>`&J,0+?"T`$LT`,TBKNT@@2WNS@.R:^X%.6`C,LHT`L, M,5<,*N"U-*S!C/!4F!"S%NP$"_BS`M@).P>WG="`M;*T28#"P8`"9],!&D"4 M4\H!J@9:KN\&U2[&"C$3O"Z<^S`G$#$ MPV#"#XP"]FO'\$*)M-N]C=*UZB3']XFT/DNY_%.5*(`"[MD(!2P,4L@!Q2O) @2>69'2#'T!NS9.NYT4O%P/!N[';&G:"T4^F_,Q$(`#L_ ` end
-----END PRIVACY-ENHANCED MESSAGE-----