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): May 6, 2002
NEUBERGER BERMAN INC.
(Exact name of registrant as specified in its charter)
COMMISSION FILE NUMBER 001-15361
DELAWARE 06-1523639
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
605 Third Avenue
New York, NY 10158
(Address of principal executive offices)
(212) 476-9000
(Registrant's telephone number, including area code)
ITEM 5. OTHER EVENTS
On April 11, 2002, Neuberger Berman Inc. (the "Corporation"), announced and
sent notice to each holder (a "Noteholder"), of its zero coupon senior
convertible notes due 2021 (the "Notes"), that, subject to the terms of the
indenture governing the Notes, the Corporation would purchase for cash, at
the option of the Noteholder, the Notes held by such Noteholder at the
accreted value on May 4, 2002, of $867.42 per $1000 principal amount at
maturity. On May 6, 2002, the Corporation repurchased 5% of the aggregate
principal amount at maturity of the Notes that had been validly tendered
and not with drawn as of the close of business on Friday, May 3, 2002, for
aggregate cash consideration of $7,581,250.80. As a result, $166,260,000
aggregate principal amount at maturity of the Notes remain outstanding. A
copy of the press release issued by the Corporation is attached as Exhibit
99.1 and incorporated by reference.
ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS
(c) Exhibits
Exhibit No. Document
(99) Additional Exhibits
99.1 Press release issued by the Corporation on May 6, 2002, with
respect to the repurchase for cash of 5% of the aggregate
principal amount of its Zero Coupon Senior Convertible Notes
due 2021.
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 thereunto duly authorized.
Neuberger Berman Inc.
(Registrant)
Date: May 6, 2002 By: /s/ Robert Matza
----------------
Robert Matza
Executive Vice President
Chief Operating Officer
EXHIBIT INDEX
99.1 Press release issued by Neuberger Berman on May 6, 2002, with
respect to the repurchase for cash of 5% of the aggregate
principal amount of its Zero Coupon Senior Convertible
Notes due 2021.