-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IILNjVlrejx/AM4Fqan4w38gqJzclxL0Q7rZ4nV6RgIytTmrn/KEN/24eUvYbBPF 6fF5BAj6C8J1u2cGy4YI1Q== 0000898822-08-000436.txt : 20080415 0000898822-08-000436.hdr.sgml : 20080415 20080415155819 ACCESSION NUMBER: 0000898822-08-000436 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080415 DATE AS OF CHANGE: 20080415 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BEAR STEARNS COMPANIES INC CENTRAL INDEX KEY: 0000777001 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 133286161 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-36788 FILM NUMBER: 08757229 BUSINESS ADDRESS: STREET 1: ONE METROTECH NORTH STREET 2: 9TH FL CITY: BROOKLYN STATE: NY ZIP: 11201 BUSINESS PHONE: 3476439862 MAIL ADDRESS: STREET 1: ONE METROTECH NORTH STREET 2: 9TH FL. CITY: BROOKLYN STATE: NY ZIP: 11201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: J P MORGAN CHASE & CO CENTRAL INDEX KEY: 0000019617 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 132624428 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 270 PARK AVE STREET 2: 39TH FL CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122706000 MAIL ADDRESS: STREET 1: 270 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: CHASE MANHATTAN CORP /DE/ DATE OF NAME CHANGE: 19960402 FORMER COMPANY: FORMER CONFORMED NAME: CHEMICAL BANKING CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: CHEMICAL NEW YORK CORP DATE OF NAME CHANGE: 19880508 SC 13D/A 1 amendment4.htm AMENDMENT NO. 4 amendment4.htm -- Converted by SEC Publisher, created by BCL Technologies Inc., for SEC Filing

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D
(Rule 13d-101)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND
AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)

(Amendment No. 4)*

THE BEAR STEARNS COMPANIES INC.
________________________________________________________
(Name of Issuer)

Common Stock, par value $1.00 per share
___________________________________________________________________
(Title of Class of Securities)

073902108
_________________________________________________________________
(CUSIP Number)

Anthony J. Horan
Corporate Secretary
JPMorgan Chase & Co.
270 Park Avenue
New York, NY 10017
Telephone: (212) 270-7122
________________________________________________________________________________________
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

April 14, 2008
_______________________________________________
(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the following box. ¨

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent.

*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).


SCHEDULE 13D
CUSIP NO. 073902108                                                                                                                                                                         ;  PAGE 2 OF 9 

 
1             NAME OF REPORTING PERSON 
           JPMorgan Chase & Co. 
             I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) 
           13-2624428 

2             CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) 
        (a)  ¨    
        (b)  ¨    

3             SEC USE ONLY     

 
4             SOURCE OF FUNDS (See Instructions) 
        WC, OO     

5             CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 
             2(d) or 2(e)  x    

6             CITIZENSHIP OR PLACE OF ORGANIZATION 
        Delaware     

                 7    SOLE VOTING POWER 
                               118,380,394(1)
NUMBER OF 
SHARES 
BENEFICIALLY 
OWNED BY 
EACH 
REPORTING 
PERSON 
WITH
           8    SHARED VOTING POWER 
                   1,475,520(1)(2)
                         
           9    SOLE DISPOSITIVE POWER 
                   118,380,394(1)
                         
           10    SHARED DISPOSITIVE POWER 
                               1,475,520(1)(2)

11             AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 
         119,855,914(1)(2) 

12             CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 
             (See Instructions) ¨    

13             PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 
        49.78%(1)(3)     

14             TYPE OF REPORTING PERSON (See Instructions) 
        HC, CO     

(1) See Items 4 and 5 below.     
(2) Includes call options with respect to 1,057,800 shares. 
(3) This percentage is based upon 240,750,092 shares of Common Stock issued and outstanding as of April 14, 2008, 
    as reported directly by the Issuer to the Filing Parties. 


SCHEDULE 13D
CUSIP NO. 073902108                                                                                                                                                                         PAGE 3 OF 9 

 
1             NAME OF REPORTING PERSON 
           J. P. Morgan Ventures Corporation 
             I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) 
           13-3471824 

2             CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) 
        (a)  ¨    
        (b)  ¨    

3             SEC USE ONLY     

 
4             SOURCE OF FUNDS (See Instructions) 
        WC     

5             CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 
             2(d) or 2(e)  ¨    

6             CITIZENSHIP OR PLACE OF ORGANIZATION 
        Delaware     

                 7    SOLE VOTING POWER 
NUMBER OF 
SHARES 
BENEFICIALLY 
OWNED BY 
EACH 
REPORTING
PERSON 
WITH 
None
           8    SHARED VOTING POWER 
300(1)
     
           9    SOLE DISPOSITIVE POWER 
None
       
           10    SHARED DISPOSITIVE POWER 
            300(1) 

11             AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 
        300(1)     

12             CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 
             (See Instructions) ¨    

13             PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 
        0.0%(1)(2)     

14             TYPE OF REPORTING PERSON (See Instructions) 
        CO     

(1) See Items 4 and 5 below.     
(2) This percentage is based upon 240,750,092 shares of Common Stock issued and outstanding as of April 14, 2008, 
     as reported directly by the Issuer to the Filing Parties. 


SCHEDULE 13D
CUSIP NO. 073902108                                                                                                                                                                         PAGE 4 OF 9 

 
1             NAME OF REPORTING PERSON 
           J. P. Morgan Whitefriars Inc. 
             I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) 
           22-2252041 

2             CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) 
        (a)  ¨    
        (b)  ¨    

3             SEC USE ONLY     

 
4             SOURCE OF FUNDS (See Instructions) 
        WC     

5             CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 
             2(d) or 2(e)  ¨    

6             CITIZENSHIP OR PLACE OF ORGANIZATION 
        Delaware     

                 7    SOLE VOTING POWER 
None
NUMBER OF
SHARES 
BENEFICIALLY
OWNED BY 
EACH 
REPORTING 
PERSON 
WITH 
           8    SHARED VOTING POWER 
442,568(1)(2)
       
           9    SOLE DISPOSITIVE POWER 
None
       
           10    SHARED DISPOSITIVE POWER 
            442,568(1)(2) 

11             AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 
        442,568(1)(2)     

12             CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 
             (See Instructions) ¨    

13             PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 
        0.18%(1)(3)     

14             TYPE OF REPORTING PERSON (See Instructions) 
        CO     

(1) See Items 4 and 5 below.     
(2) Includes call options with respect to 26,800 shares. 
(3) This percentage is based upon 240,750,092 shares of Common Stock issued and outstanding as of April 14, 2008, 
    as reported directly by the Issuer to the Filing Parties. 


SCHEDULE 13D
CUSIP NO. 073902108                                                                                                                                                                         PAGE 5 OF 9 

 
1             NAME OF REPORTING PERSON 
           J. P. Morgan Securities Inc. 
             I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) 
           13-3379014 

2             CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) 
        (a)  ¨    
        (b)  ¨    

3             SEC USE ONLY     

 
4             SOURCE OF FUNDS (See Instructions) 
        WC     

5             CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 
             2(d) or 2(e)  x    

6             CITIZENSHIP OR PLACE OF ORGANIZATION 
        Delaware     

                 7    SOLE VOTING POWER 
None 

NUMBER OF 
SHARES 
BENEFICIALLY 
OWNED BY 
EACH 
REPORTING 
PERSON
WITH 

           8    SHARED VOTING POWER 
1,032,652(1)(2)
     
           9    SOLE DISPOSITIVE POWER 
None
       
           10    SHARED DISPOSITIVE POWER 
            1,032,652(1)(2) 

11             AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 
        1,032,652(1)(2)     

12             CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 
             (See Instructions) ¨    

13             PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 
        0.43%(1)(3)     

14             TYPE OF REPORTING PERSON (See Instructions) 
        CO     

(1) See Items 4 and 5 below.     
(2) Includes call options with respect to 1,031,000 shares. 
(3) This percentage is based upon 240,750,092 shares of Common Stock issued and outstanding as of April 14, 2008, 
    as reported directly by the Issuer to the Filing Parties. 


SCHEDULE 13D
CUSIP NO. 073902108        PAGE 6 OF 9 

     This Amendment No. 4 amends the Schedule 13D dated March 24, 2008 (as amended, the “Schedule 13D”) of JPMorgan Chase & Co., a Delaware corporation (“JPMorgan Chase”), and its wholly owned direct and indirect subsidiaries, J.P. Morgan Securities Inc., a Delaware corporation, J.P. Morgan Ventures Corporation, a Delaware corporation and J.P. Morgan Whitefriars Inc., a Delaware corporation (collectively, the “Filing Parties”), in respect of shares of common stock, par value $1.00 per share (the “Common Stock”), of The Bear Stearns Companies Inc., a Delaware corporation (the “Issuer”), as follows (unless otherwise indicated, all capitalized terms used but not defined herein have the meaning ascribed to such terms in the Schedule 13D):

Item 3 Source and Amount of Funds or Other Consideration

     Item 3 is hereby amended by adding the following paragraph at the beginning thereof:

     Between April 11, 2008 and April 14, 2008, JPMorgan Chase acquired 3,298,600 shares of Common Stock in the open market. The aggregate purchase price of $33,154,017.54 for such shares was paid out of working capital. The number of shares purchased on each day and the volume weighed average price for such shares are set forth in Schedule III to this Statement and incorporated herein by reference.

Item 5 Interest in Securities of the Issuer

     Item 5 is hereby amended by replacing the paragraph contained in Item 5(a) and (b) with the following:

     As of April 14, 2008 JPMorgan Chase beneficially owned 119,855,914 shares of Common Stock, or approximately 49.78% of the outstanding shares of Common Stock based on 240,750,092 shares of Common Stock issued and outstanding as of April 14, 2008, as reported directly by the Issuer to the Filing Parties. Of such shares, JPMorgan Chase had the sole power to vote or to direct the vote and the sole power to dispose or to direct the disposition of 118,380,394 shares of Common Stock, and shared voting and dispositive power with the other Filing Parties with respect to 1,475,520 shares (including 1,057,800 shares which one or more Filing Parties have the right to acquire under call options).

     Item 5 is hereby further amended by adding the following to Item 5(c) at the beginning thereof:

     Schedule III to this Statement sets forth transactions in the Common Stock which were effected between April 11, 2008 and April 14, 2008. The transactions in the Common Stock described in Schedule III that were made since April 11, 2008 were effected on NASDAQ, NYSE Arca or the International Securities Exchange. Except as set forth in Schedule III, no transactions in the Common Stock were effected by the Filing Parties or, to the knowledge of any of the Filing Parties, any of the persons listed on Schedule I hereto, between April 11, 2008 and April 14, 2008.

Item 6 Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer

     Item 6 is hereby amended by replacing the paragraph contained in Item 6 with the following:

     The information set forth in Items 4 and 5, and in the Form 3 filed by JPMorgan Chase with respect to the Issuer on April 15, 2008, are hereby incorporated herein by reference. Except for the preceding sentence and as otherwise described in this Statement, there are at present no contracts, arrangements, understandings or relationships (legal or otherwise) between any such persons and any other person with respect to any securities of the Issuer.

Item 7 Material to be Filed as Exhibits

Exhibit    Description 
No.    
 
 1.    Agreement Required for Joint Filing Under Rule 13d-1(k)(1)* 
 
 2.    Agreement and Plan of Merger, dated as of March 16, 2008, by and between The Bear Stearns Companies 
    Inc. and JPMorgan Chase & Co. (incorporated by reference to Exhibit 2.1 to JPMorgan Chase’s current 
report on Form 8-K filed with the Securities and Exchange Commission on March 20, 2008)


SCHEDULE 13D
CUSIP NO. 073902108        PAGE 7 OF 9 

3. Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 23, 2008, by and between The 
Bear Stearns Companies Inc. and JPMorgan Chase & Co. (incorporated by reference to Exhibit 2.1 to
JPMorgan Chase’s current report on Form 8-K filed with the Securities and Exchange Commission on
March 24, 2008)

4. Share Exchange Agreement, dated as of March 23, 2008, by and between The Bear Stearns Companies Inc. 
and JPMorgan Chase & Co. (incorporated by reference to Exhibit 2.2 to JPMorgan Chase’s current report
    on Form 8-K filed with the Securities and Exchange Commission on March 24, 2008) 
 
5.    Amended and Restated Guaranty, dated as of March 23, 2008 (incorporated by reference to Exhibit 99.1 to 
    JPMorgan Chase’s current report on Form 8-K filed with the Securities and Exchange Commission on 
    March 24, 2008) 
 
6.    Fed Guaranty, dated as of March 23, 2008 (incorporated by reference to Exhibit 99.2 to JPMorgan Chase’s 
    current report on Form 8-K filed with the Securities and Exchange Commission on March 24, 2008) 
 
* Filed in original Schedule 13D, dated March 24, 2008. 


SCHEDULE 13D
CUSIP NO. 073902108        PAGE 8 OF 9 

SIGNATURE

     After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated: April 15, 2008

JPMORGAN CHASE & CO. 
 
 
By:  /s/ Anthony J. Horan
       Name: Anthony J. Horan 
       Title: Corporate Secretary 
 
 
J.P. MORGAN SECURITIES INC. 
 
 
By:  /s/ Anthony J. Horan
       Name: Anthony J. Horan 
       Title: Assistant Secretary 
 
 
J.P. MORGAN VENTURES 
CORPORATION 
 
 
By:  /s/ Kathleen A. Juhase
       Name: Kathleen A. Juhase 
       Title: Assistant Secretary 
 
 
J.P. MORGAN WHITEFRIARS INC. 
 
 
By:  /s/ Colleen A. Meade
       Name: Colleen A. Meade 
       Title: Assistant Secretary 


SCHEDULE 13D
CUSIP NO. 073902108        PAGE 9 OF 9 

     Schedule III

Transactions During the Past Sixty Days

     Schedule III is hereby amended to add the following to the beginning thereof:

                       Name                                           Security    Purchase   Quantity   Price   Trade
(P) / Sale $ Date
        (S)             

 
JPMorgan Chase & Co.    BSC COMMON STOCK    P       1,450,000    10.1364    4/11/2008 

JPMorgan Chase & Co.    BSC COMMON STOCK    P       1,848,600     9.9839    4/14/2008 



-----END PRIVACY-ENHANCED MESSAGE-----