SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 5, 2002 ALLETE, INC. A Minnesota Corporation Commission File No. 1-3548 IRS Employer Identification No. 41-0418150 30 West Superior Street Duluth, Minnesota 55802-2093 Telephone - (218) 279-5000
ITEM 5. OTHER EVENTS AND REGULATION FD DISCLOSURE On August 5, 2002 ALLETE, Inc. filed completed and signed sworn statements under oath by its principal executive officer and principal financial officer pursuant to Section 21(a)(1) of the Securities Exchange Act of 1934. These sworn statements are filed as exhibits 99(a) and 99(b) to this Form 8-K. ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS Exhibit Number - ------- 99(a) - Statement Under Oath of Principal Executive Officer and Principal Financial Officer Regarding Facts and Circumstances Relating to Exchange Act Filings dated August 5, 2002 and signed by David G. Gartzke. 99(b) - Statement Under Oath of Principal Executive Officer and Principal Financial Officer Regarding Facts and Circumstances Relating to Exchange Act Filings dated August 5, 2002 and signed by James K. Vizanko. ALLETE Form 8-K dated August 5, 2002 1
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. ALLETE, Inc. August 5, 2002 James K. Vizanko ----------------------------------------------------- James K. Vizanko Vice President, Chief Financial Officer and Treasurer 2 ALLETE Form 8-K dated August 5, 2002
EXHIBIT INDEX EXHIBIT NUMBER - -------------------------------------------------------------------------------- 99(a) - Statement Under Oath of Principal Executive Officer and Principal Financial Officer Regarding Facts and Circumstances Relating to Exchange Act Filings dated August 5, 2002 and signed by David G. Gartzke. 99(b) - Statement Under Oath of Principal Executive Officer and Principal Financial Officer Regarding Facts and Circumstances Relating to Exchange Act Filings dated August 5, 2002 and signed by James K. Vizanko. ALLETE Form 8-K dated August 5, 2002
Exhibit 99(a) STATEMENT UNDER OATH OF PRINCIPAL EXECUTIVE OFFICER AND PRINCIPAL FINANCIAL OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS I, David G. Gartzke, state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of ALLETE, Inc., 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 ALLETE's audit committee. (3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report": - Annual Report on Form 10-K for the year ended December 31, 2001 of ALLETE; - all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of ALLETE 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 5th day of David G. Gartzke August 2002. - ------------------------ David G. Gartzke Chairman, President and Chief Executive Officer Mary K. Johnson ------------------------------------ Notary Public Date: August 5, 2002 My Commission Expires: Jan. 31, 2005 ------------------- [Minnesota MARY K. JOHNSON State Seal] NOTARY PUBLIC - MINNESOTA My Commission Expires Jan. 31, 2005
Exhibit 99(b) STATEMENT UNDER OATH OF PRINCIPAL EXECUTIVE OFFICER AND PRINCIPAL FINANCIAL OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS I, James K. Vizanko, state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of ALLETE, Inc., 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 ALLETE's audit committee. (3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report": - Annual Report on Form 10-K for the year ended December 31, 2001 of ALLETE; - all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of ALLETE 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 5th day of James K. Vizanko August 2002. - --------------------------------------- James K. Vizanko Vice President, Chief Financial Officer and Treasurer Mary K. Johnson ------------------------------------ Notary Public Date: August 5, 2002 My Commission Expires: Jan. 31, 2005 ---------------------------------- [Minnesota MARY K. JOHNSON State Seal] NOTARY PUBLIC - MINNESOTA My Commission Expires Jan. 31, 2005