4//SEC Filing
SCHWARTZ MARVIN C 4
Accession 0001068144-03-000150
CIK 0001068144other
Filed
Nov 3, 7:00 PM ET
Accepted
Nov 4, 9:31 PM ET
Size
8.7 KB
Accession
0001068144-03-000150
Insider Transaction Report
Form 4
SCHWARTZ MARVIN C
Director
Transactions
- Disposition to Issuer
Common Stock
2003-10-31−1,230,786→ 0 total - Disposition to Issuer
Common Stock
2003-10-31−2,146,888→ 0 total(indirect: By Schwartz ES Associates, L.P.) - Disposition to Issuer
Common Stock
2003-10-31−2,146,889→ 0 total(indirect: By Schwartz CS Associates, L.P.)
Footnotes (5)
- [F1]Disposed of pursuant to the terms and provisions of the Agreement and Plan of Merger, dated as of July 21, 2003 (the 'Merger Agreement'), among Lehman Brothers Holdings Inc. ('Lehman'), Ruby Acquisition Company and Neuberger Berman Inc. ('Neuberger Berman'), in exchange for 583,515 shares of Lehman common stock and $11,680,203.88 in cash on October 31, 2003, the effective date of the merger (the 'Effective Date').
- [F2]The closing price of Lehman common stock on the Effective Date was $72.00 per share.
- [F3]Disposed of pursuant to the terms and provisions of the Agreement and Plan of Merger, dated as of July 21, 2003 (the 'Merger Agreement'), among Lehman Brothers Holdings Inc. ('Lehman'), Ruby Acquisition Company and Neuberger Berman Inc. ('Neuberger Berman'), in exchange for 1,017,840 shares of Lehman common stock and $20,373,981.82 in cash on October 31, 2003, the effective date of the merger (the 'Effective Date').
- [F4]Shares held by Schwartz CS Associates, L.P. ('CS, L.P.'), and Schwartz ES Associates, L.P. ('ES, L.P.'), of which each of Schwartz CS Associates, Inc. and Schwartz ES Associates, Inc., is the respective sole general partner and 1% owner. The Reporting Person is the sole stockholder of the respective general partners. The remaining 99% ownership of CS, L.P. and ES, L.P. is held by Schwartz 1998 Trust f/b/o Charles Schwartz and Schwartz 1998 Trust f/b/o Elizabeth Schwartz, respectively, formed for the respective benefit of the Reporting Person's son and daughter.
- [F5]Disposed of pursuant to the terms and provisions of the Agreement and Plan of Merger, dated as of July 21, 2003 (the 'Merger Agreement'), among Lehman Brothers Holdings Inc. ('Lehman'), Ruby Acquisition Company and Neuberger Berman Inc. ('Neuberger Berman'), in exchange for 1,017,839 shares of Lehman common stock and $20,374,008.95 in cash on October 31, 2003, the effective date of the merger (the 'Effective Date').
Documents
Issuer
NEUBERGER BERMAN INC
CIK 0001068144
Entity typeother
Related Parties
1- filerCIK 0000904772
Filing Metadata
- Form type
- 4
- Filed
- Nov 3, 7:00 PM ET
- Accepted
- Nov 4, 9:31 PM ET
- Size
- 8.7 KB