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: October 17, 2001
LIBERTY FINANCIAL COMPANIES, INC.
(Exact Name of Registrant as Specified in Its Charter)
Massachusetts
(State of incorporation or organization)
1-13654 04-3260640
(Commission File Number) (I.R.S. Employer Identification No.)
600 Atlantic Avenue, Boston, Massachusetts 02210-2214
(Address of Principal Executive Offices) (Zip Code)
Registrant's telephone number, including area code: (617) 772-6000
FORM 8-K
OF
LIBERTY FINANCIAL COMPANIES, INC.
ITEM 5. OTHER EVENTS
As previously disclosed in the Proxy Statement on Form DEF14A filed by
Liberty Financial Companies, Inc. ("LFC") with the Securities and Exchange
Commission on October 9, 2001, five separate lawsuits seeking class action
status were filed between June 5, 2001 and June 6, 2001 by purported LFC
stockholders in the Superior Court of Suffolk County, Massachusetts against
LFC, Fleet National Bank, Liberty Mutual Insurance Company and the directors
of LFC. Since then, the plaintiffs in four of the five lawsuits have
voluntarily dismissed their lawsuits without prejudice.
On October 9, 2001, an amended complaint was filed in the matter of
Harbor Finance Partners v. Liberty Financial Companies, Inc., et. al, the one
lawsuit remaining. A copy of this amended complaint is attached as Exhibit
99.1 to this report on form 8-K and is incorporated into this Item 5 by
reference. LFC and its directors believe that this lawsuit is without merit
and intend to vigorously defend the lawsuit.
This report contains statements that are not based on historical fact
and are "forward-looking statements" within the meaning of the Private
Securities Litigation Reform Act of 1995. Words or phrases denoting the
anticipated results of future events, such as "believe," and similar
expressions that denote uncertainty are intended to identify such
forward-looking statements. Additionally, from time to time, the Company or
its representatives have made or may make oral or written forward-looking
statements. Such forward-looking statements may be included in various
filings made by the Company with the Securities and Exchange Commission, or
in other press releases or oral statements made by or with the approval of an
authorized executive officer of the Company. The Company's actual results,
performance or achievements and the results of the above-described lawsuit
could differ materially from the results expressed in, or implied by, such
forward-looking statements: (1) as a result of risks and uncertainties
identified in the Company's publicly filed reports; (2) as a result of
factors over which the Company has no control; and/or (3) if the factors on
which the Company's conclusions are based do not conform to the Company's
expectations.
ITEM 7. FINANCIAL STATEMENTS, PRO FORMA FINANCIAL INFORMATION AND EXHIBITS.
(a) FINANCIAL STATEMENTS OF BUSINESS ACQUIRED.
Not Applicable.
(b) PRO FORMA FINANCIAL INFORMATION.
Not Applicable.
(c) Exhibits
EXHIBIT NO. EXHIBIT
99.1 Amended Complaint in the matter of Harbor Finance
Partners v. Liberty Financial Companies, Inc.,
dated October 9, 2001.
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.
LIBERTY FINANCIAL COMPANIES, INC.
Date: October 16, 2001 By: /s/ J. Andrew Hilbert
-----------------------------
J. Andrew Hilbert
Chief Financial Officer
EXHIBIT INDEX
EXHIBIT NO. EXHIBIT
99.1 Amended Complaint in the matter of Harbor Finance
Partners v. Liberty Financial Companies, Inc.
dated October 9, 2001.