4//SEC Filing
ZICKLIN LAWRENCE 4
Accession 0001068144-03-000113
CIK 0001068144other
Filed
Sep 24, 8:00 PM ET
Accepted
Sep 25, 11:20 AM ET
Size
7.9 KB
Accession
0001068144-03-000113
Insider Transaction Report
Form 4
ZICKLIN LAWRENCE
Director
Transactions
- Exercise/Conversion
Common Stock
2003-09-24+929→ 1,180,522 total - Exercise/Conversion
Deferred Stock Unit
2003-09-24−929→ 0 totalExercise: $0.00From: 2003-09-24Exp: 2003-09-24→ Common Stock (929 underlying)
Holdings
- 372,855(indirect: By Zicklin Associates, L.P.)
Common Stock
Footnotes (2)
- [F1]Common stock acquired as the result of the conversion of deferred stock units awarded under the Issuer's Employee Defined Contribution Stock Incentive Plan (the 'deferred stock units') upon vesting of such units.
- [F2]Shares held by Zicklin Associates, L.P. of which Zicklin Associates, Inc. is the sole general partner and 1% owner. The Reporting Person is the sole stockholder of Zicklin Associates, Inc. An ownership interest of 48.51% of Zicklin Associates, L.P. is held by each of The Zicklin 1998 Trust F.B.O. Eric Bruce Zicklin and The Zicklin 1998 Trust F.B.O. Andrea Sidikman of which the Reporting Person does not serve as trustee and the Reporting Person's adult children are the respective beneficiaries. An ownership interest of 0.66% of Zicklin Associates, L.P. is held by each of The Zicklin 1998 Relatives Trust A, The Zicklin1998 Relatives Trust B and The Zicklin 1998 Relatives Trust C of which the Reporting Person does not serve as trustee and the Reporting Person's sister, cousin and brother-in-law are the respective beneficiaries together with each of their spouses and their decendants. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities (except to the extent of his pecuniary interest therein) for purposes of Section 16 or for any other purpose.
Documents
Issuer
NEUBERGER BERMAN INC
CIK 0001068144
Entity typeother
Related Parties
1- filerCIK 0001198032
Filing Metadata
- Form type
- 4
- Filed
- Sep 24, 8:00 PM ET
- Accepted
- Sep 25, 11:20 AM ET
- Size
- 7.9 KB