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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): July 24, 2003
FLEETBOSTON FINANCIAL CORPORATION
(Exact name of registrant as specified in its charter)
Rhode Island 1-6366 05-0341324
(State or other jurisdiction (Commission (IRS Employer
of incorporation) File Number) Identification No.)
100 Federal Street, Boston, Massachusetts 02110
(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code: (617) 434-2200
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Item 5. Other Events.
On July 31, 2003, FleetBoston Financial Corporation (the "Corporation")
completed the public offering of 7,000,000 6.000% Preferred Securities (the
"Preferred Securities") of Fleet Capital Trust IX, a subsidiary trust of the
Corporation (the "Trust"), at $25 per Preferred Security. Each Preferred
Security will pay cumulative cash distributions at an annual rate of 6.000%,
payable quarterly commencing November 1, 2003. The Preferred Securities are
fully and unconditionally guaranteed (to the extent described in the prospectus
supplement included in the registration statement described below) by the
Corporation. In connection with the issuance of the Preferred Securities, the
Corporation issued $180,412,375 aggregate principal amount of its 6.000% Junior
Subordinated Debentures due 2033 (the "Debentures") to the Trust. The Preferred
Securities and the Debentures were issued pursuant to the shelf registration
statement on Form S-3 (Registration Statement No. 333-72912) of the Corporation,
the Trust and certain other subsidiary trusts of the Corporation.
Item 7. Financial Statements and Exhibits.
(c) Exhibits.
1 Purchase Agreement, dated July 24, 2003, among the Corporation,
the Trust, and Citigroup Global Markets Inc., as representative of
the several Underwriters named therein.
4(a) Amended and Restated Declaration of Trust, dated as of July 31,
2003, among FleetBoston Financial Corporation, as sponsor, The
Bank of New York (Delaware), as Delaware Trustee, and The Bank of
New York, as Institutional Trustee, the Regular Trustees named
therein and the holders, from time to time, of the undivided
beneficial ownership interests in the assets of Fleet Capital
Trust IX (incorporated by reference to Exhibit 2.3 to FleetBoston
Financial Corporation's Registration Statement on Form 8-A filed
on July 31, 2003).
4(b) Indenture, dated as of June 30, 2000, between FleetBoston
Financial Corporation and The Bank of New York, as Trustee
(incorporated by reference to Exhibit 4(b) to FleetBoston
Financial Corporation's Current Report on Form 8-K dated June 30,
2000).
4(c) Fourth Supplemental Indenture, dated as of July 31, 2003, between
FleetBoston Financial Corporation and The Bank of New York, as
Trustee (incorporated by reference to Exhibit 2.8 to FleetBoston
Financial Corporation's Registration Statement on Form 8-A filed
on July 31, 2003).
4(d) Form of Preferred Security (incorporated by reference to Exhibit
2.3 to FleetBoston Financial Corporation's Registration Statement
on Form 8-A filed on July 31, 2003).
4(e) Form of Junior Subordinated Debenture (incorporated by reference
to Exhibit 2.8 to FleetBoston Financial Corporation's Registration
Statement on Form 8-A filed on July 31, 2003).
4(f) Preferred Securities Guarantee Agreement, dated as of July 31,
2003, between the Corporation and The Bank of New York, as Trustee
(incorporated by reference to Exhibit 2.11 to FleetBoston
Financial Corporation's Registration Statement on Form 8-A filed
on July 31, 2003).
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
Corporation has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
FLEETBOSTON FINANCIAL CORPORATION
Dated: July 31, 2003 By /s/Janice B. Liva
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Janice B. Liva
Deputy General Counsel and Assistant
Secretary