-----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, AwiCjjGcgPIInmyWyPG+tcDRkcRzp6LN6AjPU+Dkqm7+AE+6355KiUp6bGQFg/OH zuwlMft70wZ578litW4xeg== 0001047469-03-004084.txt : 20030205 0001047469-03-004084.hdr.sgml : 20030205 20030205132555 ACCESSION NUMBER: 0001047469-03-004084 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030131 FILED AS OF DATE: 20030205 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: LUKENS MAX L CENTRAL INDEX KEY: 0001040101 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 4 GREENWAY PLAZA STREET 2: PO BOX 2765 77252-2765 CITY: HOUSTON STATE: TX ZIP: 77046 MAIL ADDRESS: STREET 1: 4 GREENWAY PLAZA STREET 2: PO BOX 2765 77252-2765 CITY: HOUSTON STATE: TX ZIP: 77046 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STEWART & STEVENSON SERVICES INC CENTRAL INDEX KEY: 0000094328 STANDARD INDUSTRIAL CLASSIFICATION: ENGINES & TURBINES [3510] IRS NUMBER: 741051605 STATE OF INCORPORATION: TX FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11443 FILM NUMBER: 03540174 BUSINESS ADDRESS: STREET 1: 2707 N LOOP W CITY: HOUSTON STATE: TX ZIP: 77008 BUSINESS PHONE: 7138687700 MAIL ADDRESS: STREET 1: P O BOX 1637 CITY: HOUSTON STATE: TX ZIP: 77251-1637 5 1 a2102454z5.txt FORM 5
- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------------- FORM 5 WASHINGTON, D.C. 20549 OMB APPROVAL - -------- ----------------------------- / / CHECK BOX IF NO LONGER ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0362 SUBJECT TO SECTION 16. EXPIRES: JANUARY 31, 2005 FORM 4 OR FORM 5 OBLI- Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, ESTIMATED AVERAGE BURDEN GATIONS MAY CONTINUE. Section 17(a) of the Public Utility Holding Company Act of 1935 or HOURS PER RESPONSE .... 1.0 SEE INSTRUCTION 1(b). Section 30(h) of the Investment Company Act of 1940 ----------------------------- / / FORM 3 HOLDINGS REPORTED /X/ FORM 4 TRANSACTIONS REPORTED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director 10% Owner LUKENS MAX L. STEWART & STEVENSON SERVICES, INC. (SVC) ---- ---- - ------------------------------------------------------------------------------------------- Officer (give Other (specify (Last) (First) (Middle) 3. IRS Identification 4. Statement for ---- title below) ----below) Number of Reporting Month/Year Person, if an entity Chairman of the Board and Director P.O. Box 1637 (voluntary) 1/31/2003 ------------------------------------ - ------------------------------------------- ------------------------------------------------------------- (Street) 5. If Amendment, 7. Individual or Joint/Group Reporting Date of Original (check applicable line) (Month/Year) _X_Form Filed by One Houston TX 77251-1637 Reporting Person - ------------------------------------------- (City) (State) (Zip) ___Form Filed by More than One Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of 2. Trans- 2A. Deemed 3. Trans- 4. Securities Acquired (A) or 5. Amount of 6. Owner- 7. Nature of Security action Execution action Disposed of (D) Securities ship Indirect (Instr. 3) Date Date, if Code (Instr. 3, 4 and 5) Beneficially Form: Beneficial any (Instr. 8) Owned at Direct Ownership (Month/ (Month/ end of (D) or (Instr. 4) Day/ Day/ ------------------------------ Issuer's Indirect Year) Year) Amount (A) or Price Fiscal Year (I) (D) (Instr. 3 (Instr. 4) and 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5,221.00 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ *If the form is filed by more than one reporting person, SEE Instruction 4(b)(v).
FORM 5 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - --------------------------------------------------------------------------------------------------------------------------- 1. Title of 2. Conver- 3. Trans- 3A. Deemed 4. Trans- 5. Number of 6. Date Exer- Derivative Security sion of action Execution action Derivative cisable and (Instr. 3) Exercise Date Date, if Code Securities Ac- Expiration Price of (Month/ any (Instr. 8) quired (A) or Date Deriv- Day/ (Month/ Disposed of Month/Day/ ative Year) Day/Year (D) Year) Security (Instr. 3, 4, and 5) -------------------- ----------------- (A) (D) Date Expir- Exer- ation cisable Date - --------------------------------------------------------------------------------------------------------------------------- Non-Qualified Stock $13.40 12/10/02 A4 100,000.00 (1) 12/10/12 Option (right to buy) - --------------------------------------------------------------------------------------------------------------------------- Non-Qualified Stock $17.05 06/11/12 Option (right to buy) - --------------------------------------------------------------------------------------------------------------------------- Non-Qualified Stock $20.00 12/12/10 Option (right to buy) - --------------------------------------------------------------------------------------------------------------------------- Non-Qualified Stock $33.90 06/12/11 Option (right to buy) - --------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------- 7. Title and Amount of 8. Price of 9. Number of 10. Ownership 11. Nature of Underlying Securities Derivative Derivative of Derivative Indirect (Instr. 3 and 4) Security Securities Security: Beneficial (Instr. 5) Beneficially Direct (D) Ownership Owned at End (Instr. 4) (Instr. 4) of Year or Indirect (I) (Instr. 4) - ------------------------------------ Amount or Title Number of Shares - -------------------------------------------------------------------------------------------------------- Common Stock 100,000.00 (2) 100,000.00 D - -------------------------------------------------------------------------------------------------------- Common Stock 5,000.00 5,000.00 D - -------------------------------------------------------------------------------------------------------- Common Stock 3,000.00 3,000.00 D - -------------------------------------------------------------------------------------------------------- Common Stock 3,000.00 3,000.00 D - -------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------- Explanation of Responses: (1) The stock option becomes exercisable in full on December 10, 2003. (2) Granted under the 1996 Director Stock Plan. /s/ Max L. Lukens 2-4-03 ----------------------------------- ----------- **Signature of Reporting Person Date **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, SEE Instruction 6 for procedure. http://www.sec.gov/divisions/corpfin/forms/form5.htm LAST UPDATE: 09/03/2002
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