Bear Stearns Companies Inc - Statement of Changes in Beneficial Ownership (4)
02 6월 2008 - 11:52PM
Edgar (US Regulatory)
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FORM 4
[
X
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange 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
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1. Name and Address of Reporting Person
*
SOLENDER MICHAEL S
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2. Issuer Name
and
Ticker or Trading Symbol
BEAR STEARNS COMPANIES INC
[
BSC
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
General Counsel
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(Last)
(First)
(Middle)
C/O BEAR, STEARNS & CO. INC., 383 MADISON AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/30/2008
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(Street)
NEW YORK, NY 10179
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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CAP Units (2002)
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(1)
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5/30/2008
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D
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14
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11/30/2007
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11/30/2007
(2)
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Common Stock
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14.00
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(3)
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0.00
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D
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CAP Units (2003)
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(1)
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5/30/2008
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D
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3834
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11/30/2008
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11/30/2008
(2)
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Common Stock
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3834.00
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(4)
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0.00
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D
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CAP Units (2004)
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(1)
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5/30/2008
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D
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4285
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11/30/2009
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11/30/2009
(5)
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Common Stock
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4285.00
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(6)
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0.00
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D
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CAP Units (2005)
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(1)
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5/30/2008
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D
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4669
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11/30/2010
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11/30/2010
(5)
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Common Stock
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4669.00
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(7)
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0.00
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D
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CAP Units (2006)
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(1)
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5/30/2008
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D
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5225
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11/30/2011
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11/30/2011
(5)
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Common Stock
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5225.00
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(8)
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0.00
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D
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CAP Units 2007
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(1)
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5/30/2008
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D
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17464
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11/30/2007
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11/30/2012
(5)
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Common Stock
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17464.00
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(9)
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0.00
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D
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Emp. Stock Option (Rt. to Buy)
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$73.75
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5/30/2008
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D
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4444
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12/15/2003
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12/15/2013
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Common Stock
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4444.00
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(10)
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0.00
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D
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Emp. Stock Option (Rt. to Buy)
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$116.50
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5/30/2008
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D
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4672
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12/22/2005
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12/22/2015
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Common Stock
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4672.00
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(11)
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0.00
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D
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Emp. Stock Option (rt. to buy)
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$165.32
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5/30/2008
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D
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2900
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12/20/2006
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12/20/2016
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Common Stock
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2900.00
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(12)
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0.00
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D
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Employee Stock Option (Right to Buy)
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$64.00
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5/30/2008
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D
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1100
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11/30/2005
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11/30/2012
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Common Stock
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1100.00
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(13)
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0.00
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D
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Employee Stock Option (Right to Buy)
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$102.65
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5/30/2008
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D
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4404
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12/28/2004
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12/28/2014
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Common Stock
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4404.00
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(14)
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0.00
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D
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Explanation of Responses:
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(
1)
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This type of derivative security typically does not have a conversion or exercise price
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(
2)
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The shares of common stock underlying the CAP Units will be distributed on or about 11/30/2008
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(
3)
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The CAP Units were converted in the merger into 3 CAP Units of JPMorgan Chase.
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(
4)
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The CAP Units were converted in the merger into 833 CAP Units of JPMorgan Chase.
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(
5)
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In connection with the merger, the deferral period for the CAP Units will be accelerated and the shares of common stock underlying the CAP Units will be distributed on or about 1/15/2009.
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(
6)
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The CAP Units were converted in the merger into 932 CAP Units of JPMorgan Chase.
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(
7)
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The CAP Units were converted in the merger into 1,015 CAP Units of JPMorgan Chase.
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(
8)
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The CAP Units were converted in the merger into 1,136 CAP Units of JPMorgan Chase.
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(
9)
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The CAP Units were converted in the merger into 3,798 CAP Units of JPMorgan Chase.
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(
10)
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This option was converted in the merger into an option to purchase 966 shares of JPMorgan Chase common stock for $339.03 per share.
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(
11)
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This option was converted in the merger into an option to purchase 1,016 shares of JPMorgan Chase common stock for $535.56 per share.
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(
12)
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This option was converted in the merger into an option to purchase 630 shares of JPMorgan Chase common stock for $759.99 per share.
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(
13)
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This option was converted in the merger into an option to purchase 239 shares of JPMorgan Chase common stock for $294.21 per share.
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(
14)
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This option was converted in the merger into an option to purchase 958 shares of JPMorgan Chase common stock for $471.89 per share.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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SOLENDER MICHAEL S
C/O BEAR, STEARNS & CO. INC.
383 MADISON AVENUE
NEW YORK, NY 10179
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General Counsel
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Signatures
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/s/ Solender, Michael S.
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6/2/2008
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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