-----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, G7vMYBENo9gYUWbmw5lvaAm8dTNZB08uB4k9RD6yqTArz6qY+VbD8ceGuIs6c3je FL+j7n0YLqz82TrQ3rcMhg== 0000908255-02-000011.txt : 20020414 0000908255-02-000011.hdr.sgml : 20020414 ACCESSION NUMBER: 0000908255-02-000011 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020214 COMPANY DATA: COMPANY CONFORMED NAME: MICHAS ALEXIS P CENTRAL INDEX KEY: 0001044005 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] DIRECTOR STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 200 S MICHIGAN AVE CITY: CHICAGO STATE: IL ZIP: 60604 BUSINESS PHONE: 3123228500 MAIL ADDRESS: STREET 1: 200 SOUTH MICHIGAN AVE CITY: CHICAGO STATE: IL ZIP: 60604 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BORGWARNER INC CENTRAL INDEX KEY: 0000908255 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 133404508 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12162 FILM NUMBER: 02545405 BUSINESS ADDRESS: STREET 1: 200 S MICHIGAN AVE CITY: CHICAGO STATE: IL ZIP: 60604 BUSINESS PHONE: 3123228500 MAIL ADDRESS: STREET 1: 200 SOUTH MICHIGAN AVE STREET 2: 200 SOUTH MICHIGAN AVE CITY: CHICAGO STATE: IL ZIP: 60604 FORMER COMPANY: FORMER CONFORMED NAME: BORG WARNER AUTOMOTIVE INC DATE OF NAME CHANGE: 19930628 5 1 am2001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - ------------------------------------------------------------------------------ FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP / / Check box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See instruction 1(b). Filed pursuant to Section 16(a) of the Securities Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person ALEXIS P. MICHAS 200 S. Michigan Ave. Chicago, IL 60604 2. Issuer Name and Ticker or Trading Symbol BorgWarner Inc. (BWA) 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) - 4. Statement For Month/Year December 31, 2001 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) (x) Director ( )Officer (give title below) ( ) 10% Owner ( ) Other 7. Individual or Joint/Group Filing (Check applicable line) /x/ Form Filed by One Reporting Person --- Form Filed by More Than One Reporting Person
- ------------------------------------------------------------------------------- Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------------------------------------------- 1.Title of Security|2.Transaction Date |3. Transac- |4.Securities Acquired | (Month/Day/Year) | tion Code | (A) or Disposed of(D) | | Code | V | Amount |(A)or(D)|Price - ------------------------------------------------------------------------------- | | | | | | Common Stock | | | | | | Common Stock | | | | | | - ------------------------------------------------------------------------------ 5. Amount of Securities |6. Ownership Form | 7.Nature of Indirect Beneficially Owned at| Direct (D) or | Beneficial Ownership End of Month | Indirect (I) | - ------------------------------------------------------------------------------- | | 5 | I | *By Custodian to minor 36,880 | D | - ------------------------------------------------------------------------------- Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g. Puts, Calls, Warrants, Options, Convertible Securities) - ------------------------------------------------------------------------------- 1.Title of Deriv-|2.Conversion |3.Transaction |4.Trans- |5.Number of ative Security | or Exercise| Date(month | action | Derivative | Price of | \day\year) | Code | Securities Ac- | Derivative | | | quired(A)or | Security | | | Disposed of(D) | | |Code| V | (A) | (D) - ------------------------------------------------------------------------------- | | | | | | Director Stock | $51.25 | 1/15/02 | A |V | 1000| Option (right to buy) Director Stock | $51.25 | 1/15/02 | A |V | 1000| Option (right to buy) Phantom Stock Units(1)| 1-for-1| 1/1/01 |A | | 497.61| - ------------------------------------------------------------------------------- 6.Date Exercisable |7.Title and |8.Price of |9.Number of |10.Ownership and Expiration | Amount of | Derivative| Derivative |Form of Deriv- Date(month/day/year) | Underlying | Security | Securities |ative Security Date Exer-|Expiration| Securities | | Beneficially|Direct (D) or cisable | Date | Title|Amt.or| | Owned At End|Indirect (I) | | |#of shrs| | Of Month | - ------------------------------------------------------------------------------- | | | | | | 1/15/04 | 1/15/12 |Common |1000 | | 1000 | D 1/15/05 | 1/15/12 |Common |1000 | | 1000 | D (1) | (1) |Common Stock|497.61| | 2,008.98 | D - ------------------------------------------------------------------------------- 11. Nature of Indirect Beneficial Ownership - ------------------------------------------------------------------------------- (1)The phantom stock units were accrued under the Borg-Warner Automotive, Inc. Board of Directors Deferred Compensation Plan and are to be settled 100% in cash according to the terms of the plan.
Signature of Reporting Person /s/ Laurene H. Horiszny as attorney-in-fact for ALEXIS P. MICHAS Date: February 14, 2002
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