Form 8-K

-----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, AT2oIjGFYWemtYHtUOK5MLeWdrUmuIR8QRGh/tDkkf01KOwURuBgFCHDsdYDLbIg pYglKkzfIsf+c2NadpQMxg== 0001193125-08-150495.txt : 20080714 0001193125-08-150495.hdr.sgml : 20080714 20080714164929 ACCESSION NUMBER: 0001193125-08-150495 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 6 CONFORMED PERIOD OF REPORT: 20080710 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20080714 DATE AS OF CHANGE: 20080714 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: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-09466 FILM NUMBER: 08951122 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-K 1 d8k.htm FORM 8-K Form 8-K

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of

the Securities Exchange Act of 1934

Date of Report (date of earliest event reported):

July 10, 2008

Lehman Brothers Holdings Inc.

(Exact name of registrant as specified in its charter)

Delaware

(State or other jurisdiction of incorporation)


1-9466		13-3216325
(Commission File Number)		(IRS Employer Identification No.)

745 Seventh Avenue

New York, New York

10019

(Address of principal executive offices)

(Zip Code)

Registrant’s telephone number, including area code:

(212) 526-7000

Not Applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

¨	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

¨	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

¨	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

¨	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Item 8.01.

Other Events.

Attached as Exhibit 100 to this Current Report on Form 8-K (the “Form 8-K”) are the following materials from Lehman Brothers Holdings Inc.’s Quarterly Report on Form 10-Q for the quarter ended May 31, 2008, filed with the Securities and Exchange Commission on July 10, 2008, formatted in XBRL (eXtensible Business Reporting Language): (i) Consolidated Statement of Income for the three and six months ended May 31, 2008 and May 31, 2007, respectively; (ii) Consolidated Statement of Financial Condition at May 31, 2008 and November 30, 2007; and (iii) Consolidated Statement of Cash Flows for the six months ended May 31, 2008 and May 31, 2007, respectively. Users of this data are advised pursuant to Rule 401 of Regulation S-T that the financial and other information contained in the XBRL documents is unreviewed and these are not the official publicly filed financial statements of Lehman Brothers Holdings Inc. The purpose of submitting these XBRL formatted documents is to test the related format and technology and, as a result, investors should continue to rely on the official version of the furnished documents and not rely on the information in this Form 8-K, including Exhibit 100, in making investment decisions.

In accordance with Rule 402 of Regulation S-T, the information in this Form 8-K, including Exhibit 100, shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liability of that section, and shall not be incorporated by reference into any registration statement or other document filed under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference to this Form 8-K.

Item 9.01.

Financial Statements and Exhibits

(d)

Exhibits

The following Exhibit is furnished as part of this Report.


Exhibit 100		The following materials from Lehman Brothers Holdings Inc.’s Quarterly Report on Form 10-Q for the quarter ended May 31, 2008, filed on July 10, 2008, formatted in XBRL (eXtensible Business Reporting Language): (i) Consolidated Statement of Income for the three and six months ended May 31, 2008 and May 31, 2007, respectively; (ii) Consolidated Statement of Financial Condition at May 31, 2008 and November 30, 2007; and (iii) Consolidated Statement of Cash Flows for the six months ended May 31, 2008 and May 31, 2007, respectively.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.


	LEHMAN BROTHERS HOLDINGS INC.

Date: July 14, 2008	By:	/s/ James J. Killerlane III
		James J. Killerlane III
		Vice President and Assistant Secretary

EXHIBIT INDEX


Exhibit 100		The following materials from Lehman Brothers Holdings Inc.’s Quarterly Report on Form 10-Q for the quarter ended May 31, 2008, filed on July 10, 2008, formatted in XBRL (eXtensible Business Reporting Language): (i) Consolidated Statement of Income for the three and six months ended May 31, 2008 and May 31, 2007, respectively; (ii) Consolidated Statement of Financial Condition at May 31, 2008 and November 30, 2007; and (iii) Consolidated Statement of Cash Flows for the six months ended May 31, 2008 and May 31, 2007, respectively.

EX-100.INS 2 leh-20080531.xml XBRL INSTANCE DOCUMENT 1775000000

10559000000

29374000000

218000000

5810000000

127000000

6981000000

298000000

2385000000

2419000000

5206000000

2000000000

19647000000

18815000000

1159000000

3578000000

395000000

809000000

1108000000

553000000

0.30

184000000

4.17

4.42

6278000000 8454000000 -7611000000 1063000000 2419000000 5987000000 5293000000

631000000

16315000000

240000000

39824000000

28000000

65000000

2684000000

-598000000

447000000

461000000

211000000

2039000000

-126000000

-32000000

-23815000000

-843000000

23964000000

6492000000

9063000000

281000000

2313000000

56923000000

41929000000

-84000000

1008000000

225000000

284000000

-694000000

915000000

5512000000

15579000000

120000000

2889000000

55000000

3633000000

152000000

1256000000

1273000000

2718000000

1150000000

10558000000

10067000000

606000000

1879000000

201000000

414000000

568000000

287000000

0.15

100000000

2.21

2.33

21395000000 -2263000000 4127000000

5524000000

22490000000

28066000000

181732000000

162635000000

53307000000

138599000000

19698000000

29622000000

11005000000

3861000000

1095000000

61206000000

3101000000

22992000000

2650000000

5406000000

123150000000

691063000000

668573000000

313129000000

149617000000

29363000000

12743000000

7286000000

16039000000

9733000000

-310000000

61000000

691063000000

2097000000

2839000000

18610000000

198000000

-2670000000

235000000

6263000000

373000000

-2408000000

-2285000000

4166000000

1725000000

17405000000

15771000000

-1139000000

-3424000000

504000000

853000000

1297000000

612000000

0.34

175000000

-4.33

-3955000000 -8838000000 -1664000000 288000000 -2285000000 7286000000 6513000000

868000000

22769000000

203000000

5856000000

32798000000

2000000

3046000000

-8000000

487000000

91000000

334000000

760000000

367000000

-59000000

-17899000000

-578000000

17704000000

-15870000000

60935000000

734000000

2028000000

-43052000000

-7743000000

5696000000

-6261000000

37000000

325000000

-773000000

1094000000

-668000000

6240000000

100000000

-3442000000

158000000

3419000000

188000000

-2873000000

-2774000000

2325000000

858000000

7771000000

6908000000

-1313000000

-4087000000

252000000

414000000

639000000

309000000

0.17

87000000

-5.14

19283000000 -3666000000 4101000000

4922000000

26276000000

35302000000

127846000000

169684000000

55420000000

124842000000

16901000000

20784000000

16701000000

4278000000

6993000000

57251000000

3835000000

24656000000

4236000000

5853000000

128182000000

639432000000

613156000000

269409000000

141507000000

29355000000

13031000000

6513000000

9802000000

11268000000

-359000000

61000000

639432000000

0000806085 2006-12-01 2007-05-31 0000806085 2007-05-31 0000806085 2006-12-01 2007-05-31 0000806085 2007-03-01 2007-05-31 0000806085 2007-11-30 0000806085 2007-12-01 2008-05-31 0000806085 2008-05-31 0000806085 2007-12-01 2008-05-31 0000806085 2008-03-01 2008-05-31 0000806085 2008-05-31 iso4217:USD iso4217:USD shares EX-100.SCH 3 leh-20080531.xsd XBRL TAXONOMY EXTENSION SCHEMA EX-100.CAL 4 leh-20080531_cal.xml XBRL TAXONOMY EXTENSION CALCULATION LINKBASE EX-100.LAB 5 leh-20080531_lab.xml XBRL TAXONOMY EXTENSION LABEL LINKBASE Accrued liabilities and other payables Accumulated other comprehensive loss, net of tax Additional paid-in capital Asset management and other Total assets Commissions Business development Cash and cash equivalents Net change in cash and cash equivalents Cash and securities segregated and on deposit for regulatory and other purposes Cash and cash equivalents at the beginning of the year. Cash equivalents are short-term, highly liquid investments that are both readily convertible to known amounts of cash and so near their maturity that they present insignificant risk of changes in value because of changes in interest rates. Generally, only investments with original maturities of three months or less qualify under the definition. Cash and cash equivalents, beginning of period Cash and cash equivalents at the end of the year. Cash equivalents are short-term, highly liquid investments that are both readily convertible to known amounts of cash and so near their maturity that they present insignificant risk of changes in value because of changes in interest rates. Generally, only investments with original maturities of three months or less qualify under the definition. Cash and cash equivalents, end of period The capital supplied by common stockholder-capital stock, paid-in capital, retained earnings and, occasionally, certain reserves. Total common stockholders' equity The capital supplied by common stockholder-capital stock, paid-in capital, retained earnings and, occasionally, certain reserves. Common StockholdersEquity Dividends paid per common share Shares authorized: 1,200,000,000 in 2008 and 2007; Shares issued: 612,948,910 in 2008 and 612,882,506 in 2007; Shares outstanding: 552,704,921 in 2008 and 531,887,419 in 2007 Technology and communications Technology and communications Deposit liabilities at banks (including $10,252 in 2008 and $15,986 in 2007 at fair value) Depreciation and amortization Basic Diluted Tax benefit from the issuance of stock-based awards Financial instruments and other inventory positions owned (includes $43,031 in 2008 and $63,499 in 2007 pledged as collateral) Financial instruments and other inventory positions sold but not yet purchased Financial instruments and other inventory positions sold but not yet purchased Brokerage, clearance and distribution fees Brokerage, clearance and distribution fees Income before taxes Provision for income taxes Accrued liabilities and other payables Receivables from brokers, dealers and clearing organizations Receivables from brokers, dealers and clearing organizations The net change during the reporting period in the amount of cash subject to withdrawal restrictions, restricted deposits held as compensating balances, and cash and securities segregated in compliance with regulations (such as cash deposited in a special reserve account for the exclusive benefit of customers pursuant). Cash and securities segregated and on deposit for regulatory and other purposes Cash and securities segregated and on deposit for regulatory and other purposes Financial instruments and other inventory positions sold but not yet purchased Financial instruments and other inventory positions owned Financial instruments and other inventory positions owned Other receivables and assets Other receivables and assets The net change during the reporting period in the secured financing other than securities sold under agreements to repurchase and securities loaned. Other secured borrowings Other secured borrowings Payables to brokers, dealers and clearing organizations The net change during the reporting period in the amounts payable to customers at the balance sheet date. The term customers generally excludes other broker-dealers; persons who are principal officers, directors, and stockholders; and persons whose securities or funds are part of the regulatory net capital of the broker-dealer. Another broker-dealer's account can be classified as a customer if the account is carried as an omnibus account in compliance with certain regulations. The accounts of principal officers, directors and stockholders may be combined in the customer captions if they are not material and the combination is disclosed in the oath that is required to accompany the annual audited FOCUS Report. Payables to customers The net change during the reporting period in the amount due from customers for fees and charges arising from transactions related to the entity's brokerage activities and operations. Receivables from customers Receivables from customers Resale agreements, net of repurchase agreements Resale agreements, net of repurchase agreements Securities borrowed, net of securities loaned Securities borrowed, net of securities loaned Assets, excluding financial assets, that lack physical substance, net of accumulated amortization. Identifiable intangible assets and goodwill (net of accumulated amortization of $361 in 2008 and $340 in 2007) Assets, excluding financial assets, that lack physical substance, net of accumulated amortization. Intangible Assets, Net Interest and dividends Interest and dividends Interest expense Investment banking Compensation and benefits Total liabilities Total liabilities and stockholders' equity Long-term borrowings (including $27,278 in 2008 and $27,204 in 2007 at fair value) Long-term borrowings (including $27,278 in 2008 and $27,204 in 2007 at fair value) Net cash provided by financing activities Net cash used in investing activities Net cash used in operating activities Net income Net income Net income applicable to common stock Occupancy The profit or loss of the entity net of income taxes for the reporting period, calculated and presented in the income statement in accordance with GAAP. Net income Total non-interest expenses Other adjustments Other assets Equity not otherwise defined. Other stockholders' equity, net Other Others Other secured borrowings (including $13,617 in 2008 and $9,149 in 2007 at fair value) Brokers, dealers and clearing organizations Brokers, dealers and clearing organizations Customers Derivative contracts with a financing element Derivative contracts with a financing element Purchase of treasury stock Purchase of treasury stock Dividends paid Business acquisitions, net of cash acquired Purchase of property, equipment and leasehold improvements, net Purchase of property, equipment and leasehold improvements, net Preferred stock Principal transactions Principal transactions Proceeds from sale of business Issuance of common stock Issuance of long-term borrowings Issuance of preferred stock, net of issuance cost Deposit liabilities at banks Issuance of short-term borrowings, net Issuance of treasury stock Professional fees Property, equipment and leasehold improvements (net of accumulated depreciation and amortization of $2,697 in 2008 and $2,438 in 2007) Brokers, dealers and clearing organizations Brokers, dealers and clearing organizations Customers Principal payments of long-term borrowings, including the current portion of long term borrowings Retained earnings Total revenues Net revenues Securities borrowed Securities loaned Securities purchased under agreements to resell Securities sold under agreements to repurchase Non-cash compensation Short-term borrowings and current portion of long-term borrowings (including $9,354 in 2008 and $9,035 in 2007 at fair value) Total stockholders' equity Total NonPersonnel Expenses Total non-personnel expenses Total NonPersonnel Expenses Total NonPersonnel Expenses Common stock in treasury, at cost (60,243,989 shares in 2008 and 80,995,087 shares in 2007) Common stock in treasury, at cost (60,243,989 shares in 2008 and 80,995,087 shares in 2007) EX-100.PRE 6 leh-20080531_pre.xml XBRL TAXONOMY EXTENSION PRESENTATION LINKBASE -----END PRIVACY-ENHANCED MESSAGE-----