UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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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 19, 2002
NeoTherapeutics, Inc.
(Exact Name of Registrant as Specified in Charter)
Delaware 000-28782 93-0979187
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(State or Other Jurisdiction of (Commission (I.R.S. Employer
Incorporation) File Number) Identification No.)
157 Technology Drive
Irvine, California 92618
(Address of Principal Executive Offices)
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(949) 788-6700
(Registrant's telephone number, including area code)
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ITEM 9. REGULATION FD DISCLOSURE
On August 19, 2002, NeoTherapeutics, Inc. filed its Quarterly Report on
Form 10-Q for the quarterly period ended June 30, 2002 (the "Form 10-Q") with
the Securities and Exchange Commission. In connection with the filing of the
Form 10-Q, the Registrant has provided to the Securities and Exchange Commission
the certifications below, as required by 18 U.S.C. ss. 1350, as created by
Section 906 of the Sarbanes-Oxley Act of 2002:
Certification of Chief Executive Officer
Pursuant to 18 U.S.C.ss.1350, as created by Section 906 of the
Sarbanes-Oxley Act of 2002, the undersigned officer of NeoTherapeutics, Inc.
(the "Company") hereby certifies, to such officer's knowledge, that:
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(i) the accompanying Quarterly Report on Form 10-Q of the Company for
the quarterly period ended June 30, 2002 (the "Report") fully complies with
the requirements of Section 13(a) or Section 15(d), as applicable, of the
Securities Exchange Act of 1934, as amended; and
(ii) the information contained in the Report fairly presents, in all
material respects, the financial condition and results of operations of the
Company.
Dated: August 19, 2002 /s/ Rajesh Shrotriya, M.D.
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Rajesh Shrotriya, M.D.
Chairman of the Board, Chief
Executive Officer, President and
Chief Operating Officer
The foregoing certification is being furnished solely to accompany the Report
pursuant to 18 U.S.C. ss. 1350, and is not being filed for purposes of Section
18 of the Securities Exchange Act of 1934, as amended, and is not to be
incorporated by reference into any filing of the Company, whether made before or
after the date hereof, regardless of any general incorporation language in such
filing.
Certification of Chief Financial Officer
Pursuant to 18 U.S.C.ss.1350, as created by Section 906 of the
Sarbanes-Oxley Act of 2002, the undersigned officer of NeoTherapeutics, Inc.
(the "Company") hereby certifies, to such officer's knowledge, that:
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(i) the accompanying Quarterly Report on Form 10-Q of the Company for
the quarterly period ended June 30, 2002 (the "Report") fully complies with
the requirements of Section 13(a) or Section 15(d), as applicable, of the
Securities Exchange Act of 1934, as amended; and
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(ii) the information contained in the Report fairly presents, in all
material respects, the financial condition and results of operations of the
Company.
Dated: August 19, 2002 /s/ Samuel Gulko
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Samuel Gulko
Senior Vice President, Finance,
Chief Financial Officer,
Secretary and Treasurer
The foregoing certification is being furnished solely to accompany the Report
pursuant to 18 U.S.C. ss. 1350, and is not being filed for purposes of Section
18 of the Securities Exchange Act of 1934, as amended, and is not to be
incorporated by reference into any filing of the Company, whether made before or
after the date hereof, regardless of any general incorporation language in such
filing.
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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 hereunto duly authorized.
Date: August 19, 2002 NEOTHERAPEUTICS, INC.
By: /s/ Samuel Gulko
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Name: Samuel Gulko
Title: Senior Vice President,
Finance, Chief Financial
Officer, Secretary and
Treasurer
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