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