-----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, Sv0SBn3EyraKSCl+o2V1uL1IB5hantymf+CHxS/gyH7ykq1XASQneQ23GinvWZV8 RDJLSgsUzgLRUCtJWBu2uQ== 0000806085-03-000187.txt : 20040223 0000806085-03-000187.hdr.sgml : 20040223 20031016144825 ACCESSION NUMBER: 0000806085-03-000187 CONFORMED SUBMISSION TYPE: 8-A12B PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20031016 DATE AS OF CHANGE: 20040223 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 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09466 FILM NUMBER: 03943680 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 COMPANY: FORMER CONFORMED NAME: SHEARSON LEHMAN HUTTON HOLDINGS INC DATE OF NAME CHANGE: 19901017 8-A12B 1 f03-10_168a.txt FORM 8 A United States Securities and Exchange Commission (the "Commission") Washington, DC 20549 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 (State of incorporation or organization) 13-3216325 (IRS Employer Identification No.) 745 Seventh Avenue New York, New York 10019 (Address of principal executive offices, including zip code) If this form relates to the registration of a class of securities pursuant to Section 12 (b) of the Exchange Act and is effective pursuant to General Instruction A.(c), check the following box. [X] If this form relates to the registration of a class of securities pursuant to Section 12 (g) of the Exchange Act and is effective pursuant to General Instruction A.(d), check the following box. [ ] Securities Act Registration statement file number to which this form relates: 333-108711 Securities to be registered pursuant to Section 12(b) of the Exchange Act: Name of each exchange on which each Title of each class to be so registered: class is to be registered: Guarantee by Lehman Brothers Holdings Inc. New York Stock Exchange, Inc. of 7 5/8% Notes due 2006 of Lehman Brothers Inc. Securities to be Registered Pursuant to Section 12(g) of the Exchange Act: None Item 1. Description of Registrant's Securities to be Registered. - ------ ------------------------------------------------------- Lehman Brothers Holdings Inc. (the "Registrant") hereby incorporates by reference the descriptions set forth under the caption "Description of the Guarantees" on pages S-5 to S-7 of the Prospectus Supplement dated September 11, 2003, contained in the Registation Statement on Form S-3 (File Number 333-108711), filed with the Commission under the Securities Act of 1933 on September 11, 2003, as amended. Item 2. Exhibits. - ------ -------- The securities described herein are to be registered pursuant to Section 12(b) of the Securities Exchange Act of 1934, as amended, on an exchange on which other securities of the Registrant are currently registered. In accordance with the instructions regarding exhibits on Form 8-A, the following exhibits are incorporated herein by reference: 1.1 Restated Certificate of Incorporation of the Registrant dated May 27, 1994 (incorporated by reference to Exhibit 3.1 to the Registrant's Transition Report on Form 10-K for the eleven months ended November 30, 1994). 1.2 Certificate of Amendment of the Restated Certificate of Incorporation of the Registrant, dated April 9, 2001 (incorporated by reference to Exhibit 3.5 to the Registrant's Quarterly Report on Form 10-Q for the quarter ended February 28, 2001). 1.3 By-Laws of the Registrant, amended as of October 22, 2002 (incorporated by reference to Exhibit 3.06 to the Registrant's Annual Report on Form 10-K for the fiscal year ended November 30, 2002). 1.4 Form of Second Supplemental Indenture among Lehman Brothers Inc., Lehman Brothers Holdings Inc., as guarantor, and Bank One Trust Company N.A. (as successor in interest to The First National Bank of Chicago), as Trustee (incorporated by reference to Exhibit 4(c) to the Registrant's Registration Statement on Form S-3 (File Number 333-108711), filed on September 11, 2003). 2 SIGNATURE Pursuant to the requirements of Section 12 of the Exchange Act, the Registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereto duly authorized. Lehman Brothers Holdings Inc. By: /s/ Barrett S. DiPaolo ---------------------- Barrett S. DiPaolo Senior Vice President Date: October 16, 2003 3 -----END PRIVACY-ENHANCED MESSAGE-----