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: November 14, 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) 722-6000
FORM 8-K
OF
LIBERTY FINANCIAL COMPANIES, INC.
ITEM 5. OTHER EVENTS
On November 13, 2001, Liberty Financial Companies, Inc., a
Massachusetts corporation (the "Company"), announced the closing of the cash
tender offer and consent solicitation regarding its outstanding 6.75% notes due
November 15, 2008, and its 7.625% debentures due November 9, 2028 (the "notes"
and the "debentures" are referred collectively as the "securities"). The tender
offer and consent solicitation expired at 5:00 P.M. New York City time on
November 9, 2001.
The Company made aggregate payments in the amount of $ 496,847,591.70
(including accrued interest) with respect to the securities validly tendered and
the consents validly delivered.
On November 13, 2001, the Company issued a press release regarding the
closing of the cash tender offer and consent solicitation. A copy of the press
release is attached hereto as Exhibit 99.1 and is incorporated herein by
reference.
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 Press Release of the Company, dated
November 13, 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: November 14, 2001 By: /s/ J. ANDREW HILBERT
------------------------------
J. Andrew Hilbert
Chief Financial Officer
EXHIBIT INDEX
EXHIBIT NO. EXHIBIT
----------- -------
99.1 Press Release of the Company, dated
November 13, 2001.