FORM 4
[ ] Check this box if no longer
subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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*
Minikes, Michael
(Last) (First) (Middle)
c/o Bear, Stearns & Co. Inc.
383 Madison Avenue
(Street)
New York, NY 10179
(City) (State) (Zip)
U.S.A.
|
2. Issuer Name and Ticker or Trading Symbol The Bear Stearns Companies Inc. BSC
3. I.R.S. Identification
Number of Reporting Person, if an entity (voluntary) |
4. Statement for (Month/Year) December 4, 2002
5. If Amendment,
Date of Original (Month/Year) 11/29/2002
|
6. Relationship of Reporting Person(s) to Issuer
(Check all applicable) Director
10% Owner
X Officer
Other
Officer/Other
Description
Treasurer
7. Individual or Joint/Group
Filing (Check Applicable Line) X Individual Filing
Joint/Group Filing
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1. Title of Security (Instr. 3) |
2. Transaction Date
(Month/Day/Year) |
3. Transaction Code and Voluntary Code (Instr. 8) Code | V
|
4. Securities Acquired (A) or Disposed (D) Of (Instr. 3, 4, and 5) Amount | A/D | Price
|
5. Amount of
Securities Beneficially Owned at End ofMonth (Instr. 3 and 4) |
6. Owner-
ship Form: Direct(D) or Indirect (I) (Instr. 4) |
7. Nature of
Indirect Beneficial Ownership (Instr. 4) |
Common Stock
|
11/26/2002
|
M (1) |
|
115,779 | A |
|
|
D
|
|
Common Stock
|
11/26/2002
|
J (2) |
|
91,667 | D | $60.9600
|
|
D
|
|
Common Stock
|
11/26/2002
|
S |
|
8,333(3) | D | $62.9500
|
304,944 |
D
|
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v). (over)
SEC 1474 (3-99) |
Minikes, Michael - November 2002 |
Form 4 (continued) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivative Security
(Instr. 3) |
2. Conver-
sion or Exercise Price of Deri- vative Security |
3. Transaction
Date (Month/ Day/ Year) |
4. Transaction
Code and Voluntary (V) Code (Instr.8) Code | V
|
5. Number of Derivative Securities Acquired (A) or Disposed (D) Of (Instr. 3,4 and 5) |
6. Date Exercisable(DE) and
Expiration Date(ED) (Month/Day/Year) (DE) | (ED)
|
7. Title and Amount of
Underlying Securities (Instr. 3 and 4) |
8. Price
of Derivative Security (Instr.5) |
9. Number of Derivative Securities Beneficially Owned at End of Month (Instr.4) |
10. Owner- ship Form of Deriv- ative Security: Direct (D) or Indirect (I) |
11. Nature of Indirect Beneficial Ownership (Instr.4) |
CAP Units (1997) |
$0.0000 | 11/26/2002 |
M (1) |
|
(D) 115,779 |
11/30/2002 | 11/30/2002
|
Common Stock - 115,779 |
|
0 |
D
|
|
** 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. 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. |
By: Michael Minikes ________________________________ __________________ ** Signature of Reporting Person Date Power of Attorney Page 2
SEC 1474 (3-99) |
Minikes, Michael - November 2002 |
Form 4 (continued) |
FOOTNOTE Descriptions for The Bear Stearns Companies Inc. BSC Form 4 - November 2002 Michael Minikes
c/o Bear, Stearns & Co. Inc. 383 Madison Avenue New York, NY 10179 Explanation of responses: (1) Settlement of CAP Units and distribution of common stock to Reporting Person pursuant to CAP Plan; exempt under Rule 16b-3. Includes 100,000 shares of common stock subject to a forward contract pursuant to the CAP Plan with The Bear Stearns Companies Inc. entered into by the Reporting Person on September 3, 2002. (2) On September 3, 2002, the Reporting Person entered into a forward contract pursuant to the CAP Plan with The Bear Stearns Companies Inc. (BSC) in which the Reporting Person agreed to sell up to, and including, 100,000 common shares of BSC issuable upon settlement of CAP Units pursuant to the CAP Plan to BSC. The forward contract settled on November 26, 2002. On November 26, 2002, the Reporting Person delivered to BSC 91,667 common shares of BSC in settlement of its obligation under the forward contract at a purchase price of $60.96 per share. (3) On November 29, 2002, the Reporting Person mistakenly filed a Form 4 reporting a sale of 8,227 shares that did not in fact occur and a disposition to the issuer of 7,552 shares that did not in fact occur. As of December 4, 2002, the Reporting Person owned 304,944 shares of common stock. |
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