4//SEC Filing
ZICKLIN LAWRENCE 4
Accession 0001068144-03-000151
CIK 0001068144other
Filed
Nov 3, 7:00 PM ET
Accepted
Nov 4, 9:32 PM ET
Size
7.8 KB
Accession
0001068144-03-000151
Insider Transaction Report
Form 4
ZICKLIN LAWRENCE
Director
Transactions
- Disposition to Issuer
Common Stock
2003-10-31−372,855→ 0 total(indirect: By Zicklin Associates, L.P.) - Disposition to Issuer
Common Stock
2003-10-31−1,180,522→ 0 total
Footnotes (4)
- [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 559,685 shares of Lehman common stock and $11,203,187.21 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 176,770 shares of Lehman common stock and $3,538,432.62 in cash on October 31, 2003, the effective date of the merger (the 'Effective Date').
- [F4]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
- Nov 3, 7:00 PM ET
- Accepted
- Nov 4, 9:32 PM ET
- Size
- 7.8 KB