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):
July 29, 2002
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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 July 29, 2002, Neuberger Berman Inc. (the "Company"), and certain
stockholders of the Company (the "Selling Stockholders"), entered into an
underwriting agreement (the "Underwriting Agreement") with Goldman, Sachs
& Co., as the representative of the underwriters named in Schedule I
thereto (the "Underwriters"), in connection with the offering by the
Selling Stockholders (the "Offering") of 3,845,737 shares of the Company's
common stock, par value $.01 per share (the "Common Stock"). A copy of the
Underwriting Agreement is attached hereto as Exhibit 1.1 and is
incorporated herein by reference.
On July 30, 2002, the Company and the Selling Stockholders announced the
sale to the underwriters of 3,845,737 shares of the Company's Common
Stock, par value $.01 per share (the "Common Stock"). A copy of the Press
Release is attached as Exhibit 99.1 and incorporated herein by reference.
ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS
(c) Exhibits:
Exhibit No. Document
(99) Additional Exhibits:
1.1 Underwriting Agreement, dated July 29, 2002, among
the Company, certain of the Company's stockholders
and the representative named in Schedule I thereto,
as the representative of the several underwriters
named in Schedule I thereto
99.1 Press Release issued by the Company on July 30,
2002, with respect to the sale of 3,845,737 shares
of its common stock by certain of its stockholders
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: July 31, 2002 By: /s/ Matthew S. Stadler
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Matthew S. Stadler
Chief Financial Officer
EXHIBIT INDEX
1.1 Underwriting Agreement, dated July 29, 2002, among
the Company, certain of its stockholders and the
representative named in Schedule I thereto, as the
representative of the several underwriters named in
Schedule I thereto
99.1 Press Release issued by the Company on July 30, 2002
with respect to the sale of 3,845,737 shares of its
common stock by certain of its stockholders