8-K 1 h99446e8vk.txt FIRSTCITY FINANCIAL CORP - OCTOBER 21, 2002 ================================================================================ 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): OCTOBER 21, 2002 FIRSTCITY FINANCIAL CORPORATION (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) DELAWARE 033-19694 76-0243729 (STATE OF INCORPORATION) (COMMISSION FILE NO.) (IRS EMPLOYER IDENTIFICATION NO.) 6400 IMPERIAL DRIVE WACO, TEXAS 76712 (ADDRESS OF PRINCIPAL EXECUTIVE OFFICES) (ZIP CODE) REGISTRANT'S TELEPHONE NUMBER, INCLUDING AREA CODE: (254) 751-1750 ================================================================================ ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS (c) Exhibits 99.1 -- Certification of Period Report by the Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 99.2 -- Certification of Period Report by the Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
ITEM 9. REGULATION FD DISCLOSURE. Attached as Exhibit 99.1 is the certification of James T. Sartain, our Chief Executive Officer, under Section 906 of the Sarbanes-Oxley Act of 2002, and attached as Exhibit 99.2 is the certification of J. Bryan Baker, our Chief Financial Officer, under Section 906 of the Sarbanes-Oxley Act of 2002 (collectively, the "Certifications"). The Certifications accompanied as correspondence to the Securities and Exchange Commission (the "SEC") the filing of our amended Annual Report on Form 10-K/A for the fiscal year ended December 31, 2001, filed with the SEC on October 21, 2002. 2 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. FIRSTCITY FINANCIAL CORPORATION Date: October 21, 2002 By: /s/ J. Bryan Baker ---------------------------------------- J. Bryan Baker Senior Vice President and Chief Financial Officer 3 EXHIBIT INDEX
Exhibit No. Description ----------- ----------- 99.1 -- Certification of Period Report by the Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 99.2 -- Certification of Period Report by the Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
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