-------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION -----------------------------
FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL
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/ / CHECK THIS BOX IF NO STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0287
LONGER SUBJECT TO EXPIRES: DECEMBER 31, 2001
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 the Duane Reade Inc. (DRD) Director X 10% Owner
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
-------------------------------------------- --------------------- 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 share 6/13/01 S 2,355,921 D $32.84 2,867,271 I (1)(12)(15)
(17)(18)
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Common Stock, par value $.01 per share 6/13/01 S 93,824 D $32.84 114,188 I (2)(12)(15)
(17)(18)
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Common Stock, par value $.01 per share 6/13/01 S 115,852 D $32.84 140,997 I (2)(12)(15)
(17)(18)
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Common Stock, par value $.01 per share 6/13/01 S 137,738 D $32.84 167,633 I (2)(12)(15)
(17)(18)
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Common Stock, par value $.01 per share 6/13/01 S 51,151 D $32.84 62,254 I (2)(12)(15)
(17)(18)
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Common Stock, par value $.01 per share 6/13/01 S 418,281 D $32.84 509,070 I (6)(15)(17)
(18)
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Common Stock, par value $.01 per share 6/13/01 S 38,093 D $32.84 46,360 I (7)(12)(15)
(17)(18)
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Common Stock, par value $.01 per share 6/13/01 S 7,429 D $32.84 9,042 I (8)(12)(15)
(17)(18)
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Common Stock, par value $.01 per share 6/13/01 S 10,578 D $32.84 12,874 I (9)(12)(14)
(15)(17)(18)
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Common Stock, par value $.01 per share 6/13/01 S 448,800 D $32.84 546,211 I (10)(14)(17)
(18)
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Common Stock, par value $.01 per share 6/13/01 S 62,333 D $32.84 75,863 I (11)(16)(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 1474 (3-99)
PAGE 1 OF 4 PAGES
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.
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 Credit Suisse First
Boston business unit
/s/ Ivy B. Dodes July 10, 2001
--------------------------------- -------------
By: Ivy B. Dodes Date
**Intentional misstatements or omissions of facts constitute **Signature of Reporting Person
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.
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 Number.
PAGE 2 OF 4 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 DLJMB Funding II, Inc. ("Funding
II"), which is a Delaware corporation.
(7) These securities are held directly by DLJ Millennium Partners, L.P.
("Millennium"), which is a partnership.
(8) These securities are held directly by DLJ Millennium Partners-A, L.P.
("Millennium-A"), which is a partnership.
(9) These securities are held directly by DLJ EAB Partners, L.P. ("EAB"),
which is a partnership.
(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 Corporation 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 3 OF 4 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) 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 Credit Suisse First Boston business
unit (the "CSFB business unit" or the "Reporting Person"). The CSFB
business unit is engaged in the corporate and investment banking,
trading (equity, fixed income and foreign exchange), private equity
investment and derivatives businesses on a worldwide basis. The Bank
and its subsidiaries engage in other separately managed activities,
most of which constitute the independently operated Credit Suisse Asset
Management business unit. The Credit Suisse Asset Management business
unit provides asset management and investment advisory services to
institutional investors worldwide.
Credit Suisse First Boston, Inc. ("CSFBI"), a Delaware corporation,
owns 100% of the voting stock of CSFB-USA. The Bank owns a majority of
the voting stock, and all of the non-voting stock, of CSFBI. The
ultimate parent company of the Bank and CSFBI, and the direct owner of
the remainder of the voting stock of CSFBI, is Credit Suisse Group, a
corporation formed under the laws of Switzerland ("CSG").
The principal business of CSG is acting as a holding company for a
global financial services group with five distinct specialized business
units that are independently operated. In addition to the two business
units referred to above, CSG and its consolidated subsidiaries (other
than the Bank and its subsidiaries) are comprised of (a) the Credit
Suisse Private Bank business unit that engages in the global private
banking business; (b) one Credit Suisse business unit that engages in
the Swiss domestic banking business and (c) the Winterthur business
unit that engages in the global insurance business. CSG's business
address is Paradeplatz 8, Postfach 1, CH-8070, Zurich, Switzerland.
CSG, for purposes of federal securities laws, may be deemed ultimately
to control the Bank, and the CSFB business unit. CSG, its executive
officers and directors, and its direct and indirect subsidiaries
(including all of the business units except the CSFB 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. Due to the separate management and independent
operation of its business units, 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 and any of CSG's and the Bank's other business units.
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 14 of the Securities Exchange Act of 1934, as
amended, as an admission of beneficial ownership of the securities
reported on this statement.
PAGE 4 OF 4 PAGES