As filed with the Securities and Exchange Commission on October 9, 2002
Registration No. 333-
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM S-8
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
FLEETBOSTON FINANCIAL CORPORATION
(Exact name of registrant as specified in its charter)
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RHODE ISLAND 05-0341324
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
100 FEDERAL STREET, BOSTON, MASSACHUSETTS 02110
(Address of Principal Executive Offices) (Zip Code)
FLEETBOSTON FINANCIAL CORPORATION
EMPLOYEE STOCK PURCHASE PLAN
(Full title of the plan)
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GARY A. SPIESS, ESQ. JANICE B. LIVA, ESQ.
Executive Vice President, General Counsel Deputy General Counsel and
and Secretary Assistant Secretary
FLEETBOSTON FINANCIAL CORPORATION FLEETBOSTON FINANCIAL CORPORATION
100 FEDERAL STREET 100 FEDERAL STREET
BOSTON, MASSACHUSETTS 02110 BOSTON, MASSACHUSETTS 02110
617-434-2870 617-434-8630
(Names, addresses and telephone numbers, including area codes, of
agents for service)
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CALCULATION OF REGISTRATION FEE
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Amount Proposed Maximum Proposed Maximum Amount of
Title of Securities to be Offering Price Per Aggregate Offering Registration Fee
to be Registered Registered Share (1) Price (1) (1)
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Common Stock, par value
$.01 per share (2) 4,000,000 shares $18.27 $73,080,000.00 $6,724.00
(3)
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Participation Interests (4) (4) (4) (4)
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(1) Computed pursuant to Rule 457(h) solely for the purpose of determining the
registration fee, based on the average of the high and low prices of the
Registrant's Common Stock as reported by the New York Stock Exchange on
October 7, 2002.
(2) Including preferred share purchase rights.
(3) This Registration Statement also covers such indeterminate amount of
securities as may be offered or sold pursuant to the plan to prevent
dilution, pursuant to Rule 416(a).
(4) Pursuant to Rule 416(c), this Registration Statement also covers an
indeterminate amount of interests to be offered or sold pursuant to the
plan. Pursuant to Rule 457(h)(2), no additional fee is required.
EXPLANATORY NOTE
This registration statement is being filed solely to register the issuance
of (i) up to 4,000,000 additional shares of common stock, par value $.01 per
share ("Common Stock"), of FleetBoston Financial Corporation, a Rhode Island
corporation (the "Company") and (ii) an indeterminate amount of interests, to be
offered and sold pursuant to the FleetBoston Financial Corporation Employee
Stock Purchase Plan (the "Plan"). The Company previously filed a registration
statement on Form S-8 (File No. 333-44517) on January 20, 1998, as amended by
Post-Effective Amendment No. 1 thereto filed on September 24, 2002, relating to
the Plan (the "Prior Registration Statement"). Pursuant to General Instruction E
to Form S-8, the contents of the Prior Registration Statement are incorporated
herein by reference.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 8. Exhibits.
A list of the exhibits included as part of this Registration Statement
is set forth in the Exhibit Index which immediately precedes such exhibits and
is hereby incorporated by reference herein.
II-1
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the Registrant
certifies that it has reasonable grounds to believe it meets all the
requirements for filing on Form S-8 and has duly caused this Registration
Statement to be signed on its behalf by the undersigned, thereunto duly
authorized in the City of Boston, and the Commonwealth of Massachusetts, on the
9th day of October, 2002.
FLEETBOSTON FINANCIAL CORPORATION
By: /s/ CHARLES K. GIFFORD
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Charles K. Gifford
President and Chief Executive Officer
Each person whose signature appears below hereby constitutes and appoints
the Chairman, the President, the Chief Financial Officer, the Chief Accounting
Officer or the Secretary, or any of them, acting alone, as his true and lawful
attorney-in-fact, with full power and authority to execute in the name, place
and stead of each such person in any and all capacities and to file, an
amendment or amendments to the Registration Statement (and all exhibits thereto)
and any documents relating thereto, which amendments may make such changes in
the Registration Statement as said officer or officers so acting deem(s)
advisable.
Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed by the following persons in the
capacities and on the 9th day of October, 2002.
SIGNATURE TITLE
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/s/ TERRENCE MURRAY Chairman of the Board and Director
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Terrence Murray
/s/ CHARLES K. GIFFORD President, Chief Executive Officer
-------------------------------------- and Director
Charles K. Gifford
/s/ EUGENE M. MCQUADE Vice Chairman and Chief Financial
-------------------------------------- Officer
Eugene M. McQuade
/s/ ERNEST L. PUSCHAVER Chief Accounting Officer
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Ernest L. Puschaver
/s/ JOEL B. ALVORD Director
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Joel B. Alvord
II-2
'
SIGNATURE TITLE
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Director
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William Barnet, III
/DANIEL P. BURNHAM Director
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Daniel P. Burnham
KIM B. CLARK Director
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Kim B. Clark
/s/ PAUL J. CHOQUETTE, JR. Director
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Paul J. Choquette, Jr.
/s/ JOHN T. COLLINS Director
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John T. Collins
/s/ GARY L. COUNTRYMAN Director
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Gary L. Countryman
Director
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T. J. Dermot Dunphy
/s/ MARION L. HEARD Director
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Marian L. Heard
Director
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Robert M. Kavner
/s/ THOMAS J. MAY Director
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Thomas J. May
/s/ DONALD F. MCHENRY Director
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Donald F. McHenry
Director
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Michael B. Picotte
/s/ FRANCENE S. RODGERS Director
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Francene S. Rodgers
Director
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Thomas M. Ryan
Director
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T. Joseph Semrod
Director
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Paul R. Tregurtha
II-3
Pursuant to the requirements of the Securities Act of 1933, the trustees
(or other persons who administer the Plan) have duly caused this Registration
Statement to be signed on its behalf by the undersigned, thereunto duly
authorized, in the City of Boston, and the Commonwealth of Massachusetts, on the
9th day of October, 2002.
FLEETBOSTON FINANCIAL CORPORATION
EMPLOYEE STOCK PURCHASE PLAN
By: /s/ PATRICIA CALLAHAN FAY
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Patricia Callahan Fay
Director of Benefits Planning
II-4
EXHIBIT INDEX
Exhibit
Number Exhibit
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4 FleetBoston Financial Corporation Employee Stock Purchase Plan
(July 1, 2000 Restatement), incorporated by reference to Exhibit
4 to the Company's Registration Statement on Form S-8 (File No.
333-44517).
5 Opinion of Edwards & Angell LLP
23.1 Consent of PricewaterhouseCoopers LLP (the Company)
23.2 Consent of Ernst & Young LLP (the Plan)
23.3 Consent of Edwards & Angell LLP (included in opinion filed as
Exhibit 5)
24 Power of Attorney (included on the signature pages hereto).