-------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION -----------------------------
FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL
-------- -----------------------------
/ / CHECK THIS BOX IF NO STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0287
LONGER SUBJECT TO EXPIRES: January 31, 2005
SECTION 16. FORM 4 OR Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, ESTIMATED AVERAGE BURDEN
FORM 5 OBLIGATIONS MAY Section 17(a) of the Public Utility Holding Company Act of 1935 or HOURS PER RESPONSE .... 0.5
CONTINUE. SEE Section 30(f) of the Investment Company Act of 1940 -----------------------------
INSTRUCTION 1(b).
(Print or Type Responses)
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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)
Credit Suisse First Boston, on behalf of Duane Reade Inc. (DRD) Director X 10% Owner
the investment banking business of Credit ---- ----
Suisse First Boston business unit
--------------------------------------------------------------------------------------------- Officer (give Other
(Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- title ---- (specify
Number of Reporting Month/Year below) below
Person (Voluntary) ----------------- ------------------
11 Madison Avenue May 2002
-------------------------------------------- --------------------- 7. Individual or Joint/Group Filing
(Street) 5. If Amendment, (Check Applicable Line)
Date of Original _X_Form filed by One Reporting Person
(Month/Year) ___Form filed by More than One
New York, NY 10010 Reporting Person
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(City) (State) (Zip) TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
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1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature
(Instr. 3) action action or Disposed of (D) Securities ship of In-
Date Code (Instr. 3, 4 and 5) Beneficially Form: direct
(Instr. 8) Owned at Direct Bene-
(Month/ End of (D) or ficial
Day/ ------------------------------------------- Month Indirect Owner-
Year) (A) or (I) ship
Code V Amount (D) Price (Instr. 3 (Instr. 4) (Instr. 4)
and 4)
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Common Stock, par value $.01 per 5/15/02 J(19) 472,444 D 1,449,939 I (1) (12)
share (15) (17) (18)
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Common Stock, par value $.01 per 5/15/02 J(19) 18,815 D 57,743 I (2) (12)
share (15) (17)
(18)
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Common Stock, par value $.01 per 5/15/02 J(19) 23,232 D 71,301 I (3) (12)
share (15) (17)
(18)
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Common Stock, par value $.01 per 5/15/02 J(19) 27,621 D 84,770 I (4) (13)
share (15) (17)
(18)
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Common Stock, par value $.01 per 5/15/02 J(19) 10,258 D 31,480 I (5) (13)
share (15) (17)
(18)
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Common Stock, par value $.01 per 5/15/02 J(19) 7,639 D 23,443 I (6) (12)
share (15) (17)
(18)
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Common Stock, par value $.01 per 5/15/02 J(19) 1,490 D 4,572 I (7) (12)
share (15) (17)
(18)
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Common Stock, par value $.01 per 5/15/02 J(19) 2,121 D 6,511 I (8) (12)
share (14) (15)
(17) (18)
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Common Stock, par value $.01 per 4/24/02 S 26,399 D $32.73 I (9) (15)
share (17) (18)
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Common Stock, par value $.01 per 4/25/02 S 33,935 D $33.13 I (9) (15)
share (17) (18)
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Common Stock, par value $.01 per 4/26/02 S 10,091 D $32.31 I (9) (15)
share (17) (18)
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over)
* If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). SEC 1472 (02-02)
POTENTIAL PERSONS WHO ARE TO 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.
Page 1 of 7 Pages
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Common Stock, par value $.01 per 4/29/02 S 13,455 D $31.42 341,310 I (9) (15)
share (17) (18)
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Common Stock, par value $.01 per 4/24/02 S 28,325 D $32.73 I (10) (14)
share (17) (18)
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Common Stock, par value $.01 per 4/25/02 S 36,411 D $33.13 I (10) (14)
share (17) (18)
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Common Stock, par value $.01 per 4/26/02 S 10,827 D $32.31 I (10) (14)
share (17) (18)
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Common Stock, par value $.01 per 4/29/02 S 14,437 D $31.42 366,211 I (10) (14)
share (17) (18)
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Common Stock, par value $.01 per 4/24/02 S 3,934 D $32.73 I (11) (16)
share (17) (18)
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Common Stock, par value $.01 per 4/25/02 S 5,057 D $33.13 I (11) (16)
share (17) (18)
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Common Stock, par value $.01 per 4/26/02 S 1,505 D $32.31 I (11) (16)
share (17) (18)
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Common Stock, par value $.01 per 4/29/02 S 2,004 D $31.42 50,863 I (11) (16)
share (17) (18)
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Common Stock, par value $.01 per 5/15/02 J(20) 20,000 A 60,000 I (18) (21)
share
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Common Stock, par value $.01 per 5/15/02 J(20) 7,500 A 22,500 I (18) (22)
share
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Common Stock, par value $.01 per 5/15/02 J(20) 3,750 A 11,250 I (18) (23)
share
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Common Stock, par value $.01 per 5/15/02 J(20) 6,250 A 18,750 I (18) (24)
share
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Common Stock, par value $.01 per 5/15/02 J(25) 5,205 A I (18) (26)
share
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Common Stock, par value $.01 per 4/24/02 S 1,638 D $32.73 I (18) (26)
share
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Common Stock, par value $.01 per 4/25/02 S 2,106 D $33.13 I (18) (26)
share
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Common Stock, par value $.01 per 4/26/02 S 626 D $32.31 I (18) (26)
share
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Common Stock, par value $.01 per 4/29/02 S 835 D $31.42 5,205 I (18) (26)
share
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Common Stock, par value $.01 per 5/15/02 J(27) 3,386 A I (18) (28)
share
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Common Stock, par value $.01 per 4/24/02 S 1066 D $32.73 I (18) (28)
share
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Common Stock, par value $.01 per 4/25/02 S 1370 D $33.13 I (18) (28)
share
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Common Stock, par value $.01 per 4/26/02 S 541 D $32.31 I (18) (28)
share
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Common Stock, par value $.01 per 4/29/02 S 407 D $31.42 3,386 I (18) (28)
share
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Common Stock, par value $.01 per 5/15/02 J(29) 623 A I (18) (30)
share
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Common Stock, par value $.01 per 4/23/02 S 185 D $32.35 I (18) (30)
share
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Common Stock, par value $.01 per 4/24/02 S 438 D $32.41 I (18) (30)
share
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Common Stock, par value $.01 per 5/29/02 S 623 D $33.35 0 I (18) (30)
share
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Common Stock, par value $.01 per 5/15/02 J(31) 781 A I (18) (32)
share
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Common Stock, par value $.01 per 4/24/02 S 246 D $32.73 I (18) (32)
share
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Common Stock, par value $.01 per 4/25/02 S 316 D $33.13 I (18) (32)
share
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Common Stock, par value $.01 per 4/26/02 S 94 D $32.31 I (18) (32)
share
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Common Stock, par value $.01 per 4/29/02 S 125 D $31.42 781 I (18) (32)
share
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Common Stock, par value $.01 per 5/15/02 J(33) 372 A I (18) (34)
share
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Common Stock, par value $.01 per 4/24/02 S 117 D $32.73 I (18) (34)
share
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Common Stock, par value $.01 per 4/25/02 S 150 D $33.13 I (18) (34)
share
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Common Stock, par value $.01 per 4/26/02 S 45 D $32.31 I (18) (34)
share
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Common Stock, par value $.01 per 4/29/02 S 60 D $31.42 372 I (18) (34)
share
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Common Stock, par value $.01 per 5/15/02 J(35) 875 A I (18) (36)
share
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Common Stock, par value $.01 per 4/24/02 S 275 D $32.73 I (18) (36)
share
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Common Stock, par value $.01 per 4/25/02 S 354 D $33.13 I (18) (36)
share
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Common Stock, par value $.01 per 4/26/02 S 105 D $32.31 I (18) (36)
share
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Common Stock, par value $.01 per 4/29/02 S 141 D $31.42 875 I (18) (36)
share
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Common Stock, par value $.01 per 5/15/02 J(37) 2 A I (18) (38)
share
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Common Stock, par value $.01 per 3/06/02 S 1 D $33.34 I (18) (38)
share
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Common Stock, par value $.01 per 3/08/02 S 1 D $32.72 2 I (18) (38)
share
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Page 2 of 7 Pages
FORM 4 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
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1. Title of Derivative Security 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- 6. Date Exer-
(Instr. 3) sion or action tion Code ative Securities Ac- cisable and Ex-
Exercise Date (Instr. 8) quired (A) or Dis- piration Date
Price of (Month/ posed of (D) (Month/Day/
Deriv- Day/ (Instr. 3, 4, and 5) Year)
ative Year)
Security
--------------------
Date Expira-
-------------------------------------- Exer- tion
cisable Date
Code V (A) (D)
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7. Title and Amount of Under- 8. Price 9. Number 10. Owner- 11. Nature
lying Securities of of Deriv- ship of In-
(Instr. 3 and 4) Deriv- ative Form direct
ative Securi- of De- Bene-
Secur- ties rivative ficial
ity Bene- Secu- Own-
(Instr. ficially rity: ership
5) Owned Direct (Instr. 4)
at End (D) or
Amount or of Indi-
Title Number of Month rect (I)
Shares (Instr. 4) (Instr. 4)
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Explanation of Responses:
SEE ATTACHMENT A FOR ADDITIONAL FOOTNOTES.
Credit Suisse First Boson, acting
solely on behalf of the investment
banking business of Credit Suisse
First Boston business unit
/s/ Ivy Dodes 6/10/02
----------------------------------- -----------
**Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly
* If the form is filed by more than on reporting person, SEE Instruction 4(b)(v).
** 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 is insufficient,
SEE Instruction 6 for procedure.
Page 2
SEC 1472 (02-02)
Page 3 of 7 Pages
Attachment A
Explanation of Responses
(1) These securities are held directly by DLJ Merchant Banking Partners II,
L.P. ("Partners II"), which is a partnership.
(2) These securities are held directly by DLJ Merchant Banking Partners II-A,
L.P. ("Partners II-A"), which is a partnership.
(3) These securities are held directly by DLJ Offshore Partners II, C.V.
("Offshore Partners II"), which is a partnership.
(4) These securities are held directly by DLJ Diversified Partners, L.P.
("Diversified"), which is a partnership.
(5) These securities are held directly by DLJ Diversified Partners-A, L.P.
("Diversified-A"), which is a partnership.
(6) These securities are held directly by DLJ Millennium Partners, L.P.
("Millennium"), which is a partnership.
(7) These securities are held directly by DLJ Millennium Partners-A, L.P.
("Millennium-A"), which is a partnership.
(8) These securities are held directly by DLJ EAB Partners, L.P. ("EAB"),
which is a partnership.
(9) These securities are held directly by DLJMB Funding II, Inc. ("Funding
II"), which is a Delaware corporation.
(10) These securities are held by DLJ First ESC, L.P. ("ESC"), which is a
partnership.
(11) These securities are held directly by UK Investment Plan 1997 Partners
("1997 Partners").
(12) DLJ Merchant Banking II, Inc. ("MB II Inc.") is the Managing General
Partner of each of Partners II, Partners II-A, Millennium and Millennium-A
and Advisory General Partner of Offshore Partners II. In addition, DLJ
Merchant Banking II, LLC ("MB II LLC") is the Associate General Partner of
each of Partners II, Partners II-A, Offshore Partners II, Millennium,
Millennium-A, and EAB. MB II Inc. is also the Managing Member of MB II
LLC.
(13) DLJ Diversified Partners, Inc. ("Diversified Partners") is the General
Partner of each of Diversified and Diversified-A. DLJ Diversified
Associates, L.P. ("Diversified Associates") is the Associate General
Partner of each of Diversified and Diversified-A. Diversified Partners is
also the General Partner of Diversified Associates.
(14) DLJ LBO Plans Management Corp. is the Managing General Partner of EAB and
ESC.
(15) DLJ Capital Investors, Inc. ("DLJCI") is the sole stockholder of each of
MB II Inc., Diversified Partners and Funding II.
Page 4 of 7 Pages
(16) These securities are held indirectly by UK Investment Plan 1997, Inc.
("Plan 1997"), General Partner of 1997 Partners.
(17) Credit Suisse First Boston (USA) Inc. ("CSFB-USA"), a Delaware corporation
formerly named Donaldson, Lufkin & Jenrette, Inc., is the sole stockholder
of DLJCI, DLJ LBO Plans Management Corporation and Plan 1997.
(18) In accordance with Securities and Exchange Commission Release No. 34-39538
(January 12, 1998), this Form 4 is being filed by Credit Suisse First
Boston (the "Bank"), a Swiss bank, on behalf of itself and its
subsidiaries, to the extent that they constitute part of the investment
banking business (the "Reporting Person") of the Credit Suisse First
Boston business unit (the "CSFB business unit"). The CSFB business unit is
also comprised of an asset management business ("Asset Management"). The
Reporting Person provides financial advisory and capital raising services,
sales and trading for users and suppliers of capital around the world and
invests in and manages private equity and venture capital funds. Asset
Management provides asset management and investment advisory services to
institutional, mutual fund and private investors worldwide. The address of
the Bank's principal business and office is Uetlibergstrasse 231, P.O. Box
900, CH 8070 Zurich, Switzerland. The address of the Reporting Person's
principal business and office in the United States is Eleven Madison
Avenue, New York, New York 10010.
The ultimate parent company of the Bank is Credit Suisse Group ("CSG"), a
corporation formed under the laws of Switzerland. CSG is a global
financial services company with two distinct business units. In addition
to the CSFB business unit, CSG and its consolidated subsidiaries are
comprised of the Credit Suisse Financial Services business unit. CSG's
business address is Paradeplatz 8, P.O. Box 1, CH 8070 Zurich,
Switzerland.
CSG, for purposes of the federal securities laws, may be deemed ultimately
to control the Bank and the Reporting Person. CSG, its executive officers
and directors, and its direct and indirect subsidiaries (including Asset
Management and the Credit Suisse Financial Services business unit) may
beneficially own securities issued by the Issuer or derivative securities
relating thereto, and any such securities are not reported in this
statement. CSG disclaims beneficial ownership of any such securities
beneficially owned by its direct and indirect subsidiaries, including the
Reporting Person. The Reporting Person disclaims beneficial ownership of
any such securities beneficially owned by CSG, Asset Management and the
Credit Suisse Financial Services business unit.
The Reporting Person disclaims beneficial ownership of securities held
directly by any entity described herein except with respect to the
Reporting Person's proportionate interest in or ownership of such entity.
The filing of this statement shall not be construed for purposes of
Section 16 of the Securities Exchange Act of 1934, as amended, as an
admission of beneficial ownership of the securities reported on this
statement.
(19) Distribution of securities to partners of the limited partnership on a pro
rata basis.
(20) Pro rata distribution from Partners II, of which the direct holder of such
securities is a partner.
(21) These securities are held directly by WSW 1996 Buyout Fund L.P., which is
a partnership and itself a partner of Partners II.
(22) These securities are held directly by WSW 1996 Buyout Fund II L.P., which
is a partnership and itself a partner of Partners II.
Page 5 of 7 Pages
(23) These securities are held by WSW 1996 Exchange Fund L.P., which is a
partnership and itself a partner of Partners II.
(24) These securities are held by WSW 1995 Exchange Fund L.P., which is a
partnership and itself a partner of Partners II.
(25) Pro rata distribution of 4,677 shares of Common Stock from Partners II, of
which the direct holder of such Common Stock is a partner; pro rata
distribution of 186 shares of Common Stock from Partners II-A, of which
the direct holder of such Common Stock is a partner; pro rata distribution
of 76 shares of Common Stock from Millenium, of which the direct holder of
such Common Stock is a partner; pro rata distribution of 15 shares of
Common stock from Millenium-A, of which the direct holder of such Common
Stock is a partner; pro rata distribution of 21 shares of Common Stock
from EAB; of which the direct holder of such Common Stock is a partner;
and pro rata distribution of 230 shares of Common Stock from Offshore
Partners II, of which the direct holder of such Common Stock is a partner.
(26) These securities are held directly by MB II LLC.
(27) Pro rata distribution of 1,483 shares of Common Stock from Partners II, of
which the direct holder of such Common Stock is a partner; pro rata
distribution of 3 shares of Common Stock from Partners II-A, of which the
direct holder of such Common Stock is a partner; pro rata distribution of
704 shares of Common Stock from Millenium, of which the direct holder of
such Common Stock is a partner; pro rata distribution of 694 shares of
Common stock from Millenium-A, of which the direct holder of such Common
Stock is a partner; and pro rata distribution of 500 shares of Common
Stock from Offshore Partners II, of which the direct holder of such Common
Stock is a partner.
(28) These securities are held directly by MB II Inc.
(29) Pro rata distribution of 255 shares of Common Stock from Diversified, of
which the direct holder of such Common Stock is a partner; and pro rata
distribution of 368 shares of Common Stock from Diversified-A, of which
the direct holder of such Common Stock is a partner.
(30) These securities are held by DLJ Strategic Partners, L.P., which is a
partnership and itself a partner of Diversified and Diversified-A.
(31) Pro rata distribution of 368 shares of Common Stock from Diversified, of
which the direct holder of such Common Stock is a partner; and pro rata
distribution of 413 shares of Common Stock from Diversified-A, of which
the direct holder of such Common Stock is a partner.
(32) These securities are held directly by Diversified Partners.
(33) Pro rata distribution of 272 shares of Common Stock from Diversified, of
which the direct holder of such Common Stock is a partner; and pro rata
distribution of 100 shares of Common Stock from Diversified-A, of which
the direct holder of such Common Stock is a partner.
(34) These securities are held directly by Diversified Associates.
(35) Pro rata distribution of shares of Common Stock from EAB, of which the
direct holder of such Common Stock is a partner.
(36) These securities are held directly by DLJ LBO Plans Management Corp.
Page 6 of 7 Pages
(37) Pro rata distribution of shares of Common Stock from Offshore Partners II,
of which the direct holder of such Common Stock is a partner.
(38) These securities are held directly by DLJ Offshore Management N.V., which
is a partner of Offshore Partners II.
Page 7 of 7 Pages