-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: keymaster@town.hall.org Originator-Key-Asymmetric: MFkwCgYEVQgBAQICAgADSwAwSAJBALeWW4xDV4i7+b6+UyPn5RtObb1cJ7VkACDq pKb9/DClgTKIm08lCfoilvi9Wl4SODbR1+1waHhiGmeZO8OdgLUCAwEAAQ== MIC-Info: RSA-MD5,RSA, qlwAtZkXnPbxVg/Hw6ue2qM6AIzzfRc+spnEqAygQ4Z8pJglaOlf4f2IpGZFM8S8 iFjf4HEGGK+Ps9jt8PWl1g== 0000806085-95-000112.txt : 19950606 0000806085-95-000112.hdr.sgml : 19950606 ACCESSION NUMBER: 0000806085-95-000112 CONFORMED SUBMISSION TYPE: 8-A12B/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19950605 SROS: NYSE FILER: COMPANY DATA: COMPANY CONFORMED NAME: LEHMAN BROTHERS HOLDINGS INC CENTRAL INDEX KEY: 0000806085 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 133216325 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 8-A12B/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-09466 FILM NUMBER: 95544945 BUSINESS ADDRESS: STREET 1: AMERICAN EXPRESS TWR STREET 2: 3 WORLD FINANCIAL CNTR CITY: NEW YORK STATE: NY ZIP: 10048 BUSINESS PHONE: 2125267000 MAIL ADDRESS: STREET 1: AMERICAN EXPRESS TOWER 15TH FL STREET 2: 2 WORLD TRADE CENTER CITY: NEW YORK STATE: NY ZIP: 10048 FORMER COMPANY: FORMER CONFORMED NAME: SHEARSON LEHMAN HUTTON HOLDINGS INC DATE OF NAME CHANGE: 19901017 8-A12B/A 1 AMENDMENT NO 1 TO FORM 8-A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 to FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12 (g) OF THE SECURITIES EXCHANGE ACT OF 1934 LEHMAN BROTHERS HOLDINGS INC. (Exact name of registrant as specified in its charter) Delaware 13-3216325 (State of incorporation (I.R.S. employer or organization) identification no.) 3 World Financial Center New York, New York 10285 (Address of principal executive offices) (zip code) Securities to be registered pursuant to Section 12(b) of the Act: Title of each class Name of each exchange on which to be so registered each class is to be registered Regional Bank Stock Upside American Stock Exchange, Inc. Note SecuritiesSM Due 1996 Securities to be registered pursuant to Section 12(g) of the Act: None (Title of class) Item 1. Description of Registrant's Securities to be Registered. The securities to be registered are Regional Bank Stock Upside Note SecuritiesSM Due 1996 (the "Securities) of Lehman Brothers Holdings Inc. (the "Registrant") and shall be issued under the Registration Statements on Form S-3 (File Nos. 33-58548 and 33-53651). A description of the Securities will be contained in the Prospectus and Prospectus Supplement to be filed by the Registrant with the Securities and Exchange Commission (the "Commission") pursuant to Rule 424(b) under the Securities Act of 1933, and such Prospectus and Prospectus Supplement shall be deemed to be incorporated by reference into the Registration Statements. Item 2. Exhibits. 1. Specimen of the Securities to be registered hereunder. 2.(a) Standard Multiple Series Indenture Provisions dated July 30, 1987, as amended November 16, 1987 (Incorporated by reference to Exhibit 4(a) to Post- Effective Amendment No. 1 to Registration Statement No. 33-16141 filed November 16, 1987). 2.(b) Indenture dated as of September 1, 1987, between the Registrant and Citibank, N.A., as Trustee ("Citibank") (Incorporated by reference to Exhibit 4(b) to Post-Effective Amendment No. 1 to Registration Statement No. 33-16141 filed November 16, 1987). 2.(c) Supplemental Indenture dated as of November 25, 1987, between the Registrant and Citibank (Incorporated by reference to Exhibit 4(m) to Registration Statement No. 33-25797 filed November 25, 1988). 2.(d) Second Supplemental Indenture dated as of November 27, 1990, between the Registrant and Citibank (Incorporated by reference to Exhibit 4(e) to Registration Statement No. 33-49062 filed June 30, 1992). 2.(e) Third Supplemental Indenture dated as of September 13, 1991, between the Registrant and Citibank (Incorporated by reference to Exhibit 4(f) to Registration Statement No. 33-46146 filed March 10, 1992). 2.(f) Fourth Supplemental Indenture dated as of October 4, 1993, between the Registrant and Citibank (Incorporated by reference to Exhibit 2(f) to Form 8-A filed October 7, 1993). SIGNATURE Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this amendment to be signed on its behalf by the undersigned, thereto duly authorized. LEHMAN BROTHERS HOLDINGS INC. Date: June 5, 1995 By: Name: Jennifer Marre Title:Vice President EXHIBIT 1 LEHMAN BROTHERS HOLDINGS INC. Regional Bank Stock Upside Note SecuritiesSM Due 1996 Number SUNS Cusip 524908 19 1 See Reverse for Certain Definitions THIS SECURITY IS A GLOBAL SECURITY WITHIN THE MEANING OF THE SENIOR INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED IN THE NAME OF A DEPOSITORY OR A NOMINEE THEREOF. UNLESS AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR SECURITIES IN CERTIFICATED FORM, THIS SECURITY MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITORY TO A NOMINEE OF THE DEPOSITORY OR BY A NOMINEE OF THE DEPOSITORY TO SUCH DEPOSITORY OR ANOTHER NOMINEE OF THE DEPOSITORY OR BY THE DEPOSITORY OR ANY SUCH NOMINEE TO A SUCCESSOR DEPOSITORY OR A NOMINEE OF SUCH SUCCESSOR DEPOSITORY. UNLESS THIS SECURITY IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TO HOLDINGS OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT, AND ANY SECURITY ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH OTHER NAME AS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY (AND ANY PAYMENT IS MADE TO CEDE & CO. OR TO SUCH OTHER ENTITY AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY), ANY TRANSFER, PLEDGE OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL INASMUCH AS THE REGISTERED OWNER HEREOF, CEDE & CO., HAS AN INTEREST HEREIN. UNLESS AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR SECURITIES IN CERTIFICATED FORM, THIS GLOBAL SECURITY MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITORY TO A NOMINEE OF THE DEPOSITORY OR BY A NOMINEE OF THE DEPOSITORY OR ANY SUCH NOMINEE TO A SUCCESSOR DEPOSITORY OR A NOMINEE OR SUCH SUCCESSOR DEPOSITORY. (a) the Issue Price and (b) the sum of (i) one and (ii) specified percentage (the "Participation Percentage") of the difference between the Basket Maturity Value and the Original Basket Value of 100, divided by the Original Basket Value of 100; provided that, such amount will not be less than $23.75. In the event the Basket Maturity Value is greater than 100, the Participation Percentage will be 95%. If the Basket Maturity Value is equal to or less than 100, the Participation Percentage will be 100%. There will be no payments with respect to the Securities prior to Maturity. (b) Any principal payable hereon at Maturity will be paid by wire transfer in immediately available funds to an account specified by the Depository. REFERENCE IS HEREBY MADE TO THE FURTHER PROVISIONS OF THIS SECURITY SET FORTH ON THE REVERSE HEREOF, WHICH FURTHER PROVISIONS SHALL FOR ALL PURPOSES HAVE THE SAME EFFECT AS IF SET FORTH AT THIS PLACE. This Security shall not be valid or become obligatory for any purpose until the certificate of authentication hereon shall have been signed by the Trustee under the Indenture referred to on the reverse hereof. IN WITNESS WHEREOF, Lehman Brothers Holdings Inc. has caused this instrument to be signed by its Chairman of the Board, its President, its Vice Chairman, its Chief Financial Officer, one of its Vice Presidents or its Treasurer, by manual or facsimile signature under its corporate seal, attested by its Secretary or one of its Assistant Secretaries by manual or facsimile signature. LEHMAN BROTHERS HOLDINGS INC. Dated: By: _______________________ [SEAL] Attest: _______________________ Assistant Secretary TRUSTEE'S CERTIFICATE OF AUTHENTICATION This is one of the Securities of the series designated herein referred to in the within-mentioned Indenture. CITIBANK, N.A. as Trustee By: ___________________________ Authorized Signatory [Form of Reverse of Security] This Security is one of a duly authorized series of Securities of Holdings designated as Regional Bank Stock Upside Note Securities Due 1996 (herein called the "Securities"). This series of Securities is one of an indefinite number of series of debt securities of Holdings, issued and to be issued under an indenture, dated as of September 1, 1987, as amended (herein called the "Indenture"), duly executed and delivered by Holdings and Citibank N.A., as trustee (herein called the "Trustee", which term includes any successor trustee under the Indenture), to which Indenture and all indentures supplemental thereto reference is hereby made for a description of the rights, limitations of rights, obligations, duties and immunities thereunder of Holdings, the Trustee and the Holders of the Securities. (b) the Issue Price and (b) the sum of (i) one and (ii) specified percentage (the "Participation Percentage") of the difference between the Basket Maturity Value and the Original Basket Value of 100, divided by the Original Basket Value of 100; provided that, such amount will not be less than $23.75. In the event the Basket Maturity Value is greater than 100, the Participation Percentage will be 95%. If the Basket Maturity Value is equal to or less than 100, the Participation Percentage will be 100%. There will be no payments with respect to the Securities prior to Stated Maturity. (c) The Basket Maturity Value will be determined by Lehman Brothers Inc. as Calculation Agent. The "Basket Maturity Value", subject to certain exceptions described herein, will equal the sum of the products of the Average Market Prices and the applicable Multipliers for each Basket Security. The Average Market Price of a Basket Security will equal the average (mean) of the Market Prices (determined as described herein) of such Basket Security determined on the first ten Calculation Days occurring during the period beginning on the twentieth Trading Day prior to Stated Maturity and on each succeeding Trading Day up to and including the eleventh Trading Day prior to Stated Maturity. If there are fewer than ten Calculation Days with respect to a Basket Security, then the Average Market Price will equal the average (mean) of the Market Prices on such Calculation Days, and if there is only one Calculation Day, the Average Market Price will equal the Market Price on such Calculation Day. The Multiplier relating to each Basket Security indicates the number of shares (or the fraction of one share) of such Basket Security included in the calculation of the Basket Maturity Value. The Multipliers will remain constant for the term of the Securities unless adjusted for certain corporate events such as stock splits, reverse stock splits or stock dividends. "Calculation Day" with respect to a Basket Security means any Trading Day during the Calculation Period on which a Market Disruption Event has not occurred. If a Market Disruption Event occurs on all Trading Days during the Calculation Period then the eleventh scheduled Trading Day prior to Stated Maturity will be deemed a Calculation Day, notwithstanding the Market Disruption Event. "Market Price," which will be determined by the Calculation Agent based on information reasonably available to it, means for a Calculation Day the following: (i) If the Basket Security is listed on a national securities exchange or is a NASDAQ National Market System ("NASDAQ NMS") security, Market Price means the last reported sale price at 4:00 p.m. New York City time, regular way, on such day on the principal securities exchange registered under the Securities Exchange Act of 1934 on which such Basket Security is listed or admitted to trading or NASDAQ NMS, as the case may be. (ii) (ii) If the Basket Security is not listed on a national securities exchange or is not a NASDAQ NMS security, Market Price means the last reported sale price on the over-the-counter market. As used herein, "Trading Day" shall mean a day on which trading generally conducted on the New York Stock Exchange ("NYSE"), AMEX and NASDAQ NMS and in the over-the-counter market for equity securities as determined by the Calculation Agent. "Market Disruption Event" with respect to a Basket Security means any of the following events as determined by the Calculation Agent: (iii) the suspension or material limitation in the trading of such Basket Security for more than two hours of trading during the period one-half hour prior to the time that such Basket Security is to be priced (for purposes of this definition, limitations pursuant to NYSE Rule 80A (or any applicable rule or regulation enacted or promulgated by the NYSE, any other self regulatory organization or the Securities and Exchange Commission of similar scope as determined by the Calculation Agent) on trading during significant market fluctuations shall be considered "material"), (iv) (iv) the suspension or material limitation (whether by reason of movements in price otherwise exceeding levels permitted by the relevant exchange or otherwise) in the trading of option contracts related to a Basket Security traded on any exchange for more than two hours of trading or during the period one-half hour prior to the time that such Basket Security is to be priced, or (v) a banking moratorium has been declared by federal or any state authorities. For the purposes of this definition, a limitation on the hours in a trading day and/or number of days of trading will not constitute a Market Disruption Event if it results from an announced change in the regular business hours of the relevant exchange. All percentages resulting from any calculation with respect to the Securities will be rounded to the nearest one hundred-thousandth of a percentage point, with five one millions of a percentage point rounded upwards (e.g., 9.876545% (or .09876545) would be rounded to 9.87655% (or .0987655)), and all dollar amounts used in or resulting from such calculation will be rounded to the nearest cent with one-half cent being rounded upwards. The Trustee shall fully rely on the determination by the Calculation Agent of the Settlement Amount and shall have no duty to make any such determination. This Security is not redeemable by Holdings or repayable at the option of the Holder prior to the Stated Maturity Date and is not subject to any sinking fund. If an Event of Default (as defined in the Indenture) with respect to the Securities shall occur and be continuing, the principal of all the Securities may be declared due and payable in the manner and with the effect provided in the Indenture. The amount payable to the Holder hereof upon any acceleration permitted under the Indenture will be equal to: the Maturity Payment Amount calculated as though the date at acceleration was the Stated Maturity. The Indenture contains provisions permitting Holdings and the Trustee, with the consent of the holders of not less than 66_% in aggregate principal amount of each series of Holdings' debt securities at the time Outstanding to be affected, evidenced as in the Indenture provided, to execute supplemental indentures adding any provisions to or changing in any manner or eliminating any of the provisions of the Indenture or of any supplemental indenture or modifying in any manner the rights of the holders of the debt securities of all such series; provided, however, that no such supplemental indenture shall, among other things, (i) extend the fixed maturity of any debt security, or reduce the principal amount thereof, or reduce any premium payable on redemption, or make the principal thereof, or premium, if any, payable in any coin or currency other than that hereinabove provided, without the consent of the holder of each debt security so affected, or (ii) change the place of payment on any debt security, or impair the right to institute suit for payment on any debt security, or reduce the aforesaid percentage of debt securities, the holders of which are required to consent to any such supplemental indenture, without the consent of the holders of each debt security so affected. It is also provided in the Indenture that, prior to any declaration accelerating the maturity of any series of debt securities, the holders of a majority in aggregate principal amount of the debt securities of such series Outstanding may on behalf of the holders of all the debt securities of such series waive any past default or Event of Default under the Indenture with respect to such series and its consequences, except a default in the payment of the principal of, or premium if any, on any of the debt securities of such series, or in the payment of any sinking fund installment or analogous obligation with respect to debt securities of such series. Any such consent or waiver by the Holder hereof shall be conclusive and binding upon such Holder and upon all future holders and owners of this Security and any Securities which may be issued in exchange or substitution hereof, irrespective of whether or not any notation thereof is made upon this Security or such other Securities. No reference herein to the Indenture and no provision of this Security or of the Indenture shall alter or impair the obligation of Holdings, which is absolute and unconditional, to pay the principal amount with respect to this Security and any interest the over-due amount thereof at the places, at the respective times, at the rate, and in the coin or currency herein prescribed. The Securities are issuable shall be in denominations of $25.00 and any integral multiples of $25.00. At the option of the Holders thereof, either at the office or agency to be designated and maintained by Holdings for such purpose in the Borough of Manhattan, The City of New York, pursuant to the provisions of the Indenture or at any of such other offices or agencies as may be designated and maintained by Holdings for such purpose pursuant to the provisions of the Indenture, and in the manner and subject to the limitations provided in the Indenture, but without the payment of any service charge, except for any tax or other governmental charges imposed in connection therewith, Securities may be exchanged for an equal aggregate principal amount of Securities of like tenor and of other authorized denominations. Holdings, the Trustee, and any agent of Holdings or of the Trustee may deem and treat the registered holder (the "Holder") hereof as the absolute owner of this Security (whether or not this Security shall be overdue and notwithstanding any notation of ownership or other writing hereon), for the purpose of receiving payment hereof, or on account hereof, and for all other purposes and neither Holdings nor the Trustee nor any agent of Holdings or of the Trustee shall be affected by any notice to the contrary. All such payments made to or upon the order of such registered holder shall, to the extent of the sum or sums paid, effectually satisfy and discharge liability for moneys payable on this Security. No recourse for the payment of the principal of, premium, if any, or interest on this Security, or for any claim based hereon or otherwise in respect hereof, and no recourse under or upon any obligation, covenant or agreement of Holdings in the Indenture or any indenture supplemental thereto or in any Security, or because of the creation of any indebtedness represented thereby, shall be had against any incorporator, stockholder, officer or director, as such, past, present or future, of Holdings or of any successor corporation, either directly or through Holdings or any successor corporation, whether by virtue of any constitution, statute or rule of law or by the enforcement of any assessment or penalty or otherwise, all such liability being, by the acceptance hereof and as part of the consideration for the issue hereof, expressly waived and released. As provided in the Indenture and subject to certain limitations set forth therein, the transfer of this Security is registrable in the Security Register, upon surrender of this Security for registration of transfer at the Corporate Trust Office or agency in a Place of Payment for this Security, duly endorsed by, or accompanied by a written instrument of transfer in form satisfactory to Holdings and the Security Registrar requiring such written instrument of transfer duly executed by, the Holder hereof or his attorney duly authorized in writing, and thereupon one or more new Securities, of authorized denominations and for the same aggregate principal amount, will be issued to the designated transferee or transferees. THE INDENTURE AND THIS SECURITY SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE LAWS OF THE STATE OF NEW YORK. Set forth below are definitions of some of the terms used in this Security. "Basket Securities" shall mean the securities included in the Regional Bank Basket. "Regional Bank Basket" shall mean a group of stocks (or the depositary receipts representing such stocks) of 20 corporations, selected by the Calculation Agent, operating as bank holding companies in the United States, 19 of which operate regional banks and one of which operates a national bank. "Original Basket Value" shall mean 100. All terms used but not defined in this Security are used herein as defined in the Indenture. -----END PRIVACY-ENHANCED MESSAGE-----