-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, ILfe0+0Fav+vHkleWuPYbK1zRcAiY5TUIEJhcvosKOTuaEKgCVhuGAPU8Oj299ms XVdEtslGVVegal4wm9YmDg== 0000950144-03-013999.txt : 20031229 0000950144-03-013999.hdr.sgml : 20031225 20031229135342 ACCESSION NUMBER: 0000950144-03-013999 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20031229 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: LAMPEN RICHARD CENTRAL INDEX KEY: 0001047092 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 144 BUSINESS ADDRESS: STREET 1: 100 SE SECOND STREET STREET 2: 32ND FLOOR CITY: MIAMI STATE: FL ZIP: 33131 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: VECTOR GROUP LTD CENTRAL INDEX KEY: 0000059440 STANDARD INDUSTRIAL CLASSIFICATION: CIGARETTES [2111] IRS NUMBER: 650949535 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-05759 FILM NUMBER: 031075054 BUSINESS ADDRESS: STREET 1: 100 S E SECOND ST CITY: MIAMI STATE: FL ZIP: 33131 BUSINESS PHONE: 3055798000 FORMER COMPANY: FORMER CONFORMED NAME: BROOKE GROUP LTD DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: LIGGETT GROUP INC DATE OF NAME CHANGE: 19900815 FORMER COMPANY: FORMER CONFORMED NAME: LIGGETT & MYERS INC DATE OF NAME CHANGE: 19760602 144 1 g86492dle144.htm VECTOR GROUP LTD Vector Group Ltd
 

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SEC USE ONLY
DOCUMENT SEQUENCE NO.
CUSIP NUMBER
WORK LOCATION

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

FORM 144

NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
     
ATTENTION:   Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.


1(a) Name of Issuer   (b) IRS Ident. No.   (c) S.E.C. File No.
 
  Vector Group Ltd.     65-0949535     1-5759
 
   
   
 
(d) Address of Issuer         (e) Telephone
 
  100 S.E. Second Street
    Miami ,  FL    33131     305   579-8000
 
   
   
  (Street)     (City)      (State)       (Zip Code)     (Area Code)   (Number)
 
2(a) Name of Person For Whose Account the
Securities are to be Sold
  (b) IRS Ident. No.   (c) Relationship to Issuer
 
  Richard J. Lampen         Officer
 
   
   
 
(d) Address            
 
  c/o Vector Group Ltd., 100 S.E. Second Street
    Miami ,  FL    33131    
 
   
     
  (Street)     (City)      (State)        (Zip Code)      

INSTRUCTION:   The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number


 


                               
3(a)
Title of the
Class of
Securities to
be Sold
  (b)
Name and Address
of Each Broker
Through Whom the
Securities Are to be
Offered or Each
Market Maker Who
is Acquiring the Securities
SEC USE
ONLY




Broker-Dealer
File Number
(c)
Number of
Shares or Other
Units to be Sold

(See Instr. 3(c))
(d)
Aggregate
Market Value

(See Instr. 3(d))
(e)
Number of
Shares or Other
Units Outstanding

(See Instr. 3(e))
(f)
Approximate
Date of Sale
(Mo/Day/Yr)

(See Instr. 3(f))
  (g)
Name of Each
Securities
Exchange

(See Instr. 3(g))

Common Stock   Neuberger & Berman, LLC     30,000     $489,000 (as of 12/22/03)     38,857,056   From time to time after filing   NYSE

  605 Third Avenue                

  New York, NY 10158-3698                

INSTRUCTIONS:
         
1. (a) Name of issuer
(b) Issuer’s I.R.S. Identification Number
(c) Issuer’s S.E.C. file number, if any
(d) Issuer’s address, including zip code
(e) Issuer’s telephone number, including area code
 
2. (a) Name of person for whose account the securities are to be sold
(b) Such person’s I.R.S. Identification number, if such person is an entity
(c) Such person’s relationship to the issuer (e.g., officer, director, 10 percent stockholder, or member of immediate family of any of the foregoing)
(d) Such person’s address, including zip code
 
3. (a) Title of the class of securities to be sold
(b) Name and Address of each broker through whom the securities are intended to be sold
(c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
(d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
(e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer
(f) Approximate date on which the securities are to be sold
(g) Name of each securities exchange, if any, on which the securities are intended to be sold

Page 2


 

 
                             

TABLE I — SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:

Title of the Class   Date You
Acquired
  Nature of Acquisition
Transaction
  Name of Person from
Whom Acquired
(if gift, also give
date donor acquired)
  Amount of
Securities
Acquired
  Date of
Payment
  Nature of
Payment

Common Stock   12/18/03   Unrestricted shares issued upon exercise of stock option   Vector Group Ltd.     30,000     12/18/03   Cash

               

               

INSTRUCTIONS:
     
1. If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
 
2. If within two years after the acquisition of the securities the person for whose account they are to be sold had any short positions, put or other option to dispose of securities referred to in paragraph (d)(3) of Rule 144, furnish full information with respect thereto.


                         

TABLE II — SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold
during the past 3 months by the person for whose account the securities are to be sold.

Name and Address of Seller   Title of Securities Sold   Date of Sale   Amount of Securities Sold   Gross Proceeds

Not applicable                

               

               

Page 3


 

REMARKS:

Shares of common stock to be sold to fund portion of exercise price and taxes related to exercise of 100,000 employee stock options on 12/18/03.

INSTRUCTIONS:
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
  ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the issuer of the securities to be sold which has not been publicly disclosed.
 
December 29, 2003   /s/ Richard J. Lampen

DATE OF NOTICE
 
(SIGNATURE)

The notice shall be signed by the persons for whose account the securities are to be sold.
At least one copy of the notice shall be manually signed.
Any copies not manually signed shall bear typed or printed signatures.

ATTENTION:
Intentional misstatements or omission of facts constitute
Federal Criminal Violations (See 18 U.S.C. 1001)

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