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): December 19, 2002
Commission file number: 333-39373
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SOVEREIGN SPECIALTY CHEMICALS, INC.
(Exact name of registrant as specified in its charter)
Delaware 36-4176637
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
225 W. Washington St. - Ste. 2200, Chicago, IL 60606
(Address of principal executive offices) (Zip Code)
(312) 419-7100
(Registrant's telephone number, including area code)
Item 9. REGULATION FD DISCLOSURE
Today, we are filing with the Securities and Exchange Commission an
amendment to our Quarterly Report on Form 10-Q for the period ended September
30, 2002, which amendment adds an exhibit to that filing. Accompanying such
amendment were certifications pursuant to 18 U.S.C. Section 1350, as adopted
pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. The text of each of
these certifications follows:
[SOVEREIGN SPECIALTY CHEMICALS LETTERHEAD]
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 December 19, 2002 amendment to the Quarterly
Report of Sovereign Specialty Chemicals, Inc.(the "Company") on Form 10-Q for
the quarterly period ended September 30, 2002, as filed with the Securities and
Exchange Commission on the date hereof (as amended, the "Report"), I, Norman E.
Wells, Jr., Chief Executive Officer of the Company, certify, pursuant to 18
U.S.C. Section 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, as amended; and
2. The information contained in the Report fairly presents, in all
material respects, the financial condition and results of operations of the
Company.
/s/ Norman E. Wells, Jr.
---------------------------------
Norman E. Wells, Jr.
Chief Executive Officer
December 19, 2002
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[SOVEREIGN SPECIALTY CHEMICALS LETTERHEAD]
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 December 19, 2002 amendment to the Quarterly
Report of Sovereign Specialty Chemicals, Inc. (the "Company") on Form 10-Q for
the quarterly period ended September 30, 2002, as filed with the Securities and
Exchange Commission on the date hereof (as amended, the "Report"), I, John R.
Mellett, Chief Financial Officer of the Company, certify, pursuant to 18 U.S.C.
Section 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, as amended; and
2. The information contained in the Report fairly presents, in all
material respects, the financial condition and results of operations of the
Company.
/s/ John R. Mellett
---------------------------------
John R. Mellett
Chief Financial Officer
December 19, 2002
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[SOVEREIGN SPECIALTY CHEMICALS LETTERHEAD]
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 December 19, 2002 amendment to the Quarterly
Report of Sovereign Specialty Chemicals, Inc. (the "Company") on Form 10-Q for
the quarterly period ended September 30, 2002, as filed with the Securities and
Exchange Commission on the date hereof (as amended, the "Report"), I, Terry D.
Smith, Chief Financial Officer of the Company, certify, pursuant to 18 U.S.C.
Section 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, as amended; and
2. The information contained in the Report fairly presents, in all
material respects, the financial condition and results of operations of the
Company.
/s/ Terry D. Smith
---------------------------------
Terry D. Smith
Chief Financial Officer
December 19, 2002
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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 thereunto duly authorized.
SOVEREIGN SPECIALTY CHEMICALS, INC.
Dated: December 19, 2002 By: /s/ John R. Mellett
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John R. Mellett
Vice President and
Chief Financial Officer
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