-----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, VRDaZ755Fzx4yDv4BPFo2lELQzgaickA6T5Aa/wqDX1hHGq7f6PVS7/QEYivmrVz fiJ2s6E+hnnKuj5B1REzig== 0001005477-03-002899.txt : 20030731 0001005477-03-002899.hdr.sgml : 20030731 20030731193425 ACCESSION NUMBER: 0001005477-03-002899 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20030721 FILED AS OF DATE: 20030731 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NEUBERGER BERMAN INC CENTRAL INDEX KEY: 0001068144 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 061523639 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 605 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10158 BUSINESS PHONE: 2124769870 MAIL ADDRESS: STREET 1: 605 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10158 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEHMAN BROTHERS INC// CENTRAL INDEX KEY: 0000728586 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15361 FILM NUMBER: 03816081 BUSINESS ADDRESS: STREET 1: LEHMAN BROTHERS INC. STREET 2: 3 WORLD FINANCIAL CENTER CITY: NEW YORK STATE: NY ZIP: 10285 BUSINESS PHONE: 2125267000 MAIL ADDRESS: STREET 1: LEHMAN BROTHERS INC. STREET 2: 3 WORLD FINANCIAL CENTER CITY: NEW YORK STATE: NY ZIP: 10285 FORMER NAME: FORMER CONFORMED NAME: SHEARSON LEHMAN BROTHERS INC DATE OF NAME CHANGE: 19920703 FORMER NAME: FORMER CONFORMED NAME: SHEARSON LEHMAN HUTTON INC /DE/ DATE OF NAME CHANGE: 19900828 FORMER NAME: FORMER CONFORMED NAME: SHEARSON LEHMAN BROTHERS INC /DE/ DATE OF NAME CHANGE: 19880323 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEHMAN BROTHERS HOLDINGS INC CENTRAL INDEX KEY: 0000806085 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15361 FILM NUMBER: 03816082 BUSINESS ADDRESS: STREET 1: LEHMAN BROTHERS STREET 2: 745 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125267000 MAIL ADDRESS: STREET 1: LEHMAN BROTHERS STREET 2: 745 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 FORMER NAME: FORMER CONFORMED NAME: SHEARSON LEHMAN HUTTON HOLDINGS INC DATE OF NAME CHANGE: 19901017 3 1 edgar123.xml FORM 3 X0201 3 2003-07-21 0 0001068144 NEUBERGER BERMAN INC NEU 0000806085 LEHMAN BROTHERS HOLDINGS INC LEHMAN BROTHERS 745 SEVENTH AVENUE NEW YORK NY 10019 0 0 0 1 See Note A on Exhibit 99.1 0000728586 LEHMAN BROTHERS INC// LEHMAN BROTHERS INC. 3 WORLD FINANCIAL CENTER NEW YORK NY 10285 0 0 0 1 See Note 1. Common Stock, par value $0.01 per share 20591 I See Note 1 Lehman Brothers Holdings Inc. is the indirect beneficial owner of 20,591 shares of Common Stock owned directly by Lehman Brothers Inc., a wholly owned direct subsidiary of Lehman Brothers Holdings Inc. Exhibit Index Exhibit Description 99.1 Additional Information to Form 3 99.2 Joint Filer Information to Form 3 Barrett S. DiPaolo 2003-07-31 EX-99 3 exh99_1.txt ADDITIONAL INFORMATION TO FORM 3 Exhibit 99.1 ADDITIONAL INFORMATION TO FORM 3 Reporting Person: Lehman Brothers Holdings Inc. ("Parent") Address: 745 Seventh Avenue New York, NY 10019 Date of Event Requiring Statement: 7/21/03 Issuer Name and Ticker or Trading Symbol: Neuberger Berman Inc.; NEU * * * * * Note A: By virtue of the Voting Agreement dated as of July 21, 2003, by and between Parent and the stockholders signatory thereto (the "Voting Agreement"), Parent may be deemed a beneficial owner pursuant to Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Act"), of 9,537,011 shares of common stock, par value $0.01 per share, of the Issuer ("Common Stock") which are subject to the Voting Agreement. Pursuant to Rule 16a-1(a)(4) under the Act, Parent hereby states that this Initial Statement of Beneficial Ownership of Securities on Form 3 shall not be deemed an admission that Parent is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of such shares of Common Stock. Parent does not have any pecuniary interest in such shares of Common Stock. EX-99 4 exh99.txt JOINT FILER INFORMATION TO FORM 3 Exhibit 99.2 JOINT FILER INFORMATION TO FORM 3 Name and address: Lehman Brothers Inc. 745 Seventh Avenue New York, NY 10019 Designated Filer: Lehman Brothers Holdings Inc. Date of Event Requiring Statement: 7/21/03 Issuer Name and Ticker or Trading Symbol: Neuberger Berman Inc.; NEU Signature: LEHMAN BROTHERS INC. By: /s/ Barrett S. DiPaolo ----------------------- Barrett S. DiPaolo Senior Vice President Date: July 31, 2003 -----END PRIVACY-ENHANCED MESSAGE-----