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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 (Date of earliest event reported) November 28, 2001
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CREDIT SUISSE FIRST BOSTON (USA), INC.
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(Exact name of registrant as specified in its charter)
Delaware
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(State or other jurisdiction of incorporation or organization)
1-6862 13-1898818
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(Commission File Number) (I.R.S. Employer
(Identification No.)
Eleven Madison Avenue, New York, New York 10010
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(Address of principal executive office) (Zip Code)
(212) 325-2000
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(Registrant's telephone number, including area code)
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(Former name or former address, if changed since last report)
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Item 5. OTHER EVENTS
On November 28, 2001, we received a letter from the Office of the
United States Attorney for the Southern District of New York stating that it
has closed its investigation of Credit Suisse First Boston Corporation in
connection with its practices of allocating shares of initial public offering
securities without filing criminal charges. The body of the letter is set
forth below in its entirety.
"Please be advised that the Office of the United States
Attorney for the Southern District of New York ("the Office") has
closed its investigation of Credit Suisse First Boston Corporation
("CSFB") in connection with its practices of allocating shares of
initial public offering securities during the period from 1998
through 2000, without the filing of criminal charges against CSFB.
This decision has been made based upon information now available to
the Office and may be revisited should circumstances change or
additional facts come to the Office's attention.
The Office's decision not to file criminal charges
against CSFB does not represent any position on any pending or
future civil or regulatory proceedings involving CSFB or any of its
officers or employees.''
On November 28, 2001, we issued a press release concerning our
agreement to sell the U.S.-based online trading operations of CSFBdirect to
Bank of Montreal. The purchase price is U.S. $520 million, subject to
adjustment. The transaction is expected to close in early 2002 and is subject
to the prior receipt of regulatory approvals in the United States and Canada.
The press release is filed herewith as an exhibit and hereby incorporated in
its entirety by reference.
On November 29, 2001, we issued a press release concerning the
completion of our cash tender offer to acquire the outstanding shares of our
Fixed/Adjustable Rate Cumulative Preferred Stock, Series B. The press release
is filed herewith as an exhibit and hereby incorporated in its entirety by
reference.
On November 30, 2001, we issued a press release concerning notice
of full redemption on December 31, 2001 of our Fixed/Adjustable Rate
Cumulative Preferred Stock, Series A. The press release is filed herewith as
an exhibit and hereby incorporated in its entirety by reference.
Item 7. FINANCIAL STATEMENTS, PRO FORMA FINANCIAL INFORMATION AND EXHIBITS
(c) EXHIBITS
Exhibit 99.1 Press releases dated November 28, 29 and 30, 2001 of Credit
Suisse First Boston (USA), Inc.
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SIGNATURE
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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.
Credit Suisse First Boston (USA), Inc.
/s/ David C. Fisher
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David C. Fisher
CHIEF ACCOUNTING OFFICER
December 4, 2001