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UNITED STATES
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): September 6, 2006
LUCENT TECHNOLOGIES INC.
(Exact name of registrant as specified in its charter)
Delaware 1-11639 22-3408857
(State or other jurisdiction (Commission File Number) (I.R.S. Employer
of incorporation) Identification Number)
600 Mountain Avenue, Murray Hill, New Jersey 07974
(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code: 908-582-8500
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant under any of the
following provisions:
[ ] Written communications pursuant to Rule 425 under the Securities Act
(17 CFR 230.425)
[X] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange
Act (17 CFR 240.14d-2(b))
[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange
Act (17 CFR 240.13e-4(c))
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ITEM 8.01. OTHER EVENTS.
Lucent Technologies Inc. ("Lucent") disclosed that it has been notified by the
staff of the Securities and Exchange Commission ("SEC") that Lucent should
expect to receive shortly a "Wells" notice relating to a previously disclosed
investigation of Lucent's operations in China under the Foreign Corrupt
Practices Act ("FCPA"). A "Wells" notice is a common procedure where the SEC
staff has preliminarily decided to recommend an enforcement action to the
Commission. The SEC staff's preliminary determination is subject to Lucent's
opportunity to respond to the "Wells" notice via a written submission to the SEC
staff as well as to engage in additional discussions with the SEC staff in an
effort to resolve the matter.
As previously disclosed by the Company, in April 2004, Lucent reported to the
U.S. Department of Justice ("DOJ") and the SEC that an internal FCPA compliance
audit and an outside counsel investigation found incidents and internal control
deficiencies in Lucent's operations in China that potentially involved FCPA
violations. Lucent has previously disclosed that it is cooperating with those
agencies and that Lucent believes that these incidents and deficiencies did not
have a material effect on its results of operations. However, Lucent cannot
determine whether this continuing investigation will affect its future business
operations in China or elsewhere.
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 hereunto duly authorized.
LUCENT TECHNOLOGIES, INC.
Date: September 6, 2006 By: /s/ William R. Carapezzi, Jr
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Name: William R. Carapezzi, Jr.
Title: SVP, General Counsel
& Secretary