Bear Stearns Companies Inc - Statement of Changes in Beneficial Ownership (4)
June 03 2008 - 12:23PM
Edgar (US Regulatory)
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FORM 4
[
X
]
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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February 28, 2011
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hours per response...
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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
*
NOVELLY PAUL A
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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)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
3920 N. A-1-A, UNIT 301
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/30/2008
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(Street)
FT. PIERCE, FL 34949
(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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Common Stock
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5/30/2008
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D
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3537
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D
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(1)
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0
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D
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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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Non-Emp. Dir. Restr. Stock Units
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(2)
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5/30/2008
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D
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31
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5/30/2008
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5/30/2008
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Common Stock
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31.00
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(3)
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0.00
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D
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Non-Emp. Dir. Restr. Stock Units
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(2)
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5/30/2008
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D
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39
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8/29/2008
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8/29/2008
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Common Stock
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39.00
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(4)
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0.00
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D
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Non-Employee Director Stock Options (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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146
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5/30/2003
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11/30/2012
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Common Stock
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146.00
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(5)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$62.64
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5/30/2008
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D
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149
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8/28/2003
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2/28/2013
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Common Stock
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149.00
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(6)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$66.70
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5/30/2008
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D
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1911
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9/26/2003
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3/26/2013
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Common Stock
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1911.00
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(7)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$77.27
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5/30/2008
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D
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121
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11/30/2003
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5/31/2013
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Common Stock
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121.00
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(8)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$69.98
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5/30/2008
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D
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133
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2/29/2004
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8/29/2013
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Common Stock
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133.00
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(9)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$72.46
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5/30/2008
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D
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129
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5/28/2004
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11/28/2013
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Common Stock
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129.00
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(10)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$87.84
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5/30/2008
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D
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106
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8/27/2004
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2/27/2014
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Common Stock
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106.00
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(11)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$87.68
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5/30/2008
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D
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1492
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9/30/2004
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3/31/2014
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Common Stock
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1492.00
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(12)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$81.06
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5/30/2008
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D
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115
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11/28/2004
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5/28/2014
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Common Stock
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115.00
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(13)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$87.92
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5/30/2008
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D
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106
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2/28/2005
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8/31/2014
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Common Stock
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106.00
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(14)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$97.58
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5/30/2008
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D
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96
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5/31/2005
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11/30/2014
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Common Stock
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96.00
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(15)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$99.50
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5/30/2008
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D
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94
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8/28/2005
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2/28/2015
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Common Stock
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94.00
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(16)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$99.07
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5/30/2008
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D
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2043
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10/7/2005
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4/7/2015
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Common Stock
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2043.00
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(17)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$99.04
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5/30/2008
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D
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94
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11/30/2005
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5/31/2015
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Common Stock
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94.00
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(18)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$100.50
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5/30/2008
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D
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93
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2/28/2006
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8/31/2015
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Common Stock
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93.00
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(19)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$110.99
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5/30/2008
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D
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84
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5/31/2006
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11/30/2015
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Common Stock
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84.00
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(20)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$134.44
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5/30/2008
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D
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69
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8/27/2006
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2/28/2016
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Common Stock
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69.00
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(21)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$142.37
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5/30/2008
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D
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1422
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10/11/2006
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4/11/2016
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Common Stock
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1422.00
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(22)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$133.75
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5/30/2008
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D
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70
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11/30/2006
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5/31/2016
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Common Stock
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70.00
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(23)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$130.33
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5/30/2008
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D
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71
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2/28/2007
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8/31/2016
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Common Stock
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71.00
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(24)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$152.48
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5/30/2008
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D
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61
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5/31/2007
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11/30/2016
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Common Stock
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61.00
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(25)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$152.24
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5/30/2008
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D
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61
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8/31/2007
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2/28/2017
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Common Stock
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61.00
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(26)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$157.02
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5/30/2008
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D
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1200
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10/18/2007
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4/18/2017
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Common Stock
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1200.00
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(27)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$149.96
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5/30/2008
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D
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62
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11/30/2007
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5/31/2017
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Common Stock
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62.00
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(28)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$108.66
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5/30/2008
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D
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86
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2/29/2008
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8/31/2017
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Common Stock
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86.00
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(29)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$99.70
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5/30/2008
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D
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94
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5/31/2008
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11/30/2017
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Common Stock
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94.00
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(30)
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0.00
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D
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Non-Emp. Dir. Stock Options (Rt. to buy)
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$79.86
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5/30/2008
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D
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117
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8/31/2008
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2/28/2018
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Common Stock
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117.00
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(31)
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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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Disposed of pursuant to the merger agreement between issuer and JPMorgan Chase & Co. in exchange for 757 shares of JPMorgan
Chase common stock having a market value of $9.35 per share on the effective date of the merger.
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(
2)
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One for one.
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(
3)
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These Restricted Stock Units were converted in the merger into 6 Restricted Stock Units of JPMorgan Chase.
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(
4)
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These Restricted Stock Units were converted in the merger into 8 Restricted Stock Units of JPMorgan Chase.
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(
5)
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This option was converted in the merger into an option to purchase 31 shares of JPMorgan Chase common stock for $294.21 per
share.
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(
6)
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This option was converted into an option to purchase 32 shares of JPMorgan Chase common stock for $287.96 per share.
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(
7)
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This option was converted into an option to purchase 415 shares of JPMorgan Chase common stock for $306.61 per share.
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(
8)
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This option was converted into an option to purchase 26 shares of JPMorgan Chase common stock for $355.22 per share.
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(
9)
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This option was converted into an option to purchase 28 shares of JPMorgan Chase common stock for $321.70 per share.
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(
10)
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This option was converted into an option to purchase 28 shares of JPMorgan Chase common stock for $333.10 per share.
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(
11)
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This option was converted into an option to purchase 23 shares of JPMorgan Chase common stock for $403.81 per share.
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(
12)
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This option was converted into an option to purchase 324 shares of JPMorgan Chase common stock for $403.07 per share.
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(
13)
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This option was converted into an option to purchase 25 shares of JPMorgan Chase common stock for $372.64 per share.
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(
14)
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This option was converted into an option to purchase 23 shares of JPMorgan Chase common stock for $404.17 per share.
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(
15)
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This option was converted into an option to purchase 20 shares of JPMorgan Chase common stock for $448.58 per share.
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(
16)
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This option was converted into an option to purchase 20 shares of JPMorgan Chase common stock for $457.41 per share.
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(
17)
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This option was converted into an option to purchase 444 shares of JPMorgan Chase common stock for $455.45 per share.
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(
18)
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This option was converted into an option to purchase 20 shares of JPMorgan Chase common stock for $455.29 per share.
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(
19)
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This option was converted into an option to purchase 20 shares of JPMorgan Chase common stock for $462.01 per share.
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(
20)
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This option was converted into an option to purchase 18 shares of JPMorgan Chase common stock for $510.23 per share.
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(
21)
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This option was converted into an option to purchase 15 shares of JPMorgan Chase common stock for $618.03 per share.
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(
22)
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This option was converted into an option to purchase 309 shares of JPMorgan Chase common stock for $654.48 per share.
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(
23)
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This option was converted into an option to purchase 15 shares of JPMorgan Chase common stock for $614.86 per share.
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(
24)
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This option was converted into an option to purchase 15 shares of JPMorgan Chase common stock for $599.23 per share.
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(
25)
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This option was converted into an option to purchase 13 shares of JPMorgan Chase common stock for $700.96 per share.
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(
26)
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This option was converted into an option to purchase 13 shares of JPMorgan Chase common stock for $699.86 per share.
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(
27)
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This option was converted into an option to purchase 261 shares of JPMorgan Chase common stock for $721.83 per share.
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(
28)
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This option was converted into an option to purchase 13 shares of JPMorgan Chase common stock for $689.38 per share.
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(
29)
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This option was converted into an option to purchase 18 shares of JPMorgan Chase common stock for $499.52 per share.
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(
30)
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This option was converted into an option to purchase 20 shares of JPMorgan Chase common stock for $458.33 per share.
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(
31)
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This option was converted into an option to purchase 25 shares of JPMorgan Chase common stock for $367.12 per share.
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Remarks:
Attorney in fact for the Reporting Person, Paul A. Novelly
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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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NOVELLY PAUL A
3920 N. A-1-A, UNIT 301
FT. PIERCE, FL 34949
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X
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Signatures
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/s/ James F. Sanders
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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:
|
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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