-----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, GGHb2zJcefIauvi/aqmee/SlLOiOcIw5r0oZU3pG0wDTngdW8JKj7V1Zx200Ow5l ZSWTT7VCB+1plglMY45V8w== 0000046618-96-000056.txt : 19960202 0000046618-96-000056.hdr.sgml : 19960202 ACCESSION NUMBER: 0000046618-96-000056 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960201 SROS: NYSE GROUP MEMBERS: HEINE SECURITIES CORP /ADV GROUP MEMBERS: MICHAEL F. PRICE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LEHMAN BROTHERS HOLDINGS INC CENTRAL INDEX KEY: 0000806085 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 133216325 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39120 FILM NUMBER: 96510089 BUSINESS ADDRESS: STREET 1: AMERICAN EXPRESS TWR STREET 2: 3 WORLD FINANCIAL CNTR CITY: NEW YORK STATE: NY ZIP: 10048 BUSINESS PHONE: 2125267000 MAIL ADDRESS: STREET 1: AMERICAN EXPRESS TOWER 15TH FL STREET 2: 2 WORLD TRADE CENTER CITY: NEW YORK STATE: NY ZIP: 10048 FORMER COMPANY: FORMER CONFORMED NAME: SHEARSON LEHMAN HUTTON HOLDINGS INC DATE OF NAME CHANGE: 19901017 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HEINE SECURITIES CORP /ADV CENTRAL INDEX KEY: 0000046618 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 132629452 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 51 JOHN F KENNEDY PKWY CITY: SHORT HILLS STATE: NJ ZIP: 07078 BUSINESS PHONE: 2019122088 FORMER COMPANY: FORMER CONFORMED NAME: HEINE SECURITIES CORP /ADV DATE OF NAME CHANGE: 19940202 SC 13G/A 1 FORM 13G AMND#1 LEHMAN SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Lehman Brothers Holdings Inc. (Name of Issuer) Common Stock, $0.10 Par Value (Title of Class of Securities) 524908100 (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.)(See Rule 13d-7.) *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 the disclosures provided in a prior cover page. The information required in 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). (Continued on the following page(s)) Page 1 of 8 Pages CUSIP No. 524908100 13G Page 2 of 8 Pages 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Heine Securities Corporation 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* __ Not Applicable (a) /__/ (b) /__/ 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF INCORPORATION Delaware NUMBER OF 5 SOLE VOTING POWER SHARES 3,081,100 (See Introductory Note) BENEFICIALLY 6 SHARED VOTING POWER OWNED BY None (See Introductory Note) EACH 7 SOLE DISPOSITIVE POWER REPORTING 3,081,100 (See Introductory Note) PERSON 8 SHARED DISPOSITIVE POWER WITH None (See Introductory Note) 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,081,100 (See Introductory Note) 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* /__/ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.9% 12 TYPE OF REPORTING PERSON* IA *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 524908100 13G Page 3 of 8 Pages 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Michael F. Price 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* __ Not Applicable (a) /__/ (b) /__/ 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF INCORPORATION United States NUMBER OF 5 SOLE VOTING POWER SHARES 15,000 (See Introductory Note) BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 3,096,100 (See Introductory Note) EACH 7 SOLE DISPOSITIVE POWER REPORTING 15,000 (See Introductory Note) PERSON 8 SHARED DISPOSITIVE POWER WITH 3,096,100 (See Introductory Note) 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,096,100 (See Introductory Note) 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* /__/ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.0% 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTION BEFORE FILLING OUT! Introductory Note This statement on Schedule 13G is being filed by Heine Securities Corporation ("HSC"), an investment adviser registered under the Investment Advisers Act of 1940. One or more of HSC's advisory clients is the legal owner of the securities covered by this statement. Pursuant to investment advisory agreements with its advisory clients, HSC has sole investment discretion and voting authority with respect to such securities. This statement on Schedule 13G is also being filed by Michael F. Price. Mr. Price is President of HSC, in which capacity he exercises voting control and dispositive power over the securities reported herein by HSC. Mr. Price, therefore, may be deemed to have indirect beneficial ownership over such securities. Neither Mr. Price nor HSC has any interest in dividends or proceeds from the sale of such securities and disclaims beneficial ownership of all the securities owned by HSC's advisory clients reported herein by HSC. As of December 31, 1995, Mr. Price directly or indirecty owned shares of the Issuer's securities covered by this statement as disclosed in Item 4 of this Schedule. Page 4 Item 1 (a). Name of Issuer: Lehman Brothers Holdings Inc. Item 1 (b). Address of Issuer's Principal Executive Offices: 3 World Trade Center New York, NY 10285 Item 2 (a). Name of Persons Filing: Heine Securities Corporation, Michael F. Price Item 2 (b). Address of Principal Business Office: 51 John F. Kennedy Parkway Short Hills, NJ 07078 Item 2 (c). Citizenship: Heine Securities Corporation ("HSC") is a Delaware corporation. Michael F. Price is a United States citizen. Item 2 (d). Title of Class of Securities: Common Stock, $0.10 Par Value Item 2 (e). Cusip Number: 524908100 Item 3. The persons filing this Schedule 13G are: An investment adviser registered under Section 203 of the Investment Advisers Act of 1940; Mr. Price is President of HSC. Item 4. Ownership. (a) Amount Beneficially Owned: 3,081,100 (b) Percent of Class: 2.9% (c) Number of shares as to which HSC and Michael Price have: (i) sole power to vote or direct the vote: 3,081,100 Page 5 (ii) shared power to vote or direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 3,081,100 (iv) shared power to dispose or to direct the disposition of: 0 In addition, as of December 31, 1995, Mr. Price was the direct or indirect beneficial owner of 15,000 shares of the security being reported herein. He therefore may be deemed to be the beneficial owner of 3,096,100 shares and 3.0% of the class of such security. Item 5. Ownership of Five Percent or Less of a Class: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ] Item 6. Ownership of More Than Five Percent on Behalf of Another Person: Not Applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: Not Applicable Item 8. Identification and Classification of Members of the Group: Not Applicable Item 9. Notice of Dissolution of Group: Not Applicable Page 6 Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Signatures. 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. HEINE SECURITIES CORPORATION By: /s/ Michael F. Price President MICHAEL F. PRICE /s/ Michael F. Price Dated: February 1, 1996 Page 7 JOINT FILING AGREEMENT In accordance with Rule 13d-1(f)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with each other of the attached statement on Schedule 13G and to all amendments to such statement and that such statement and all amendments to such statement is made on behalf of each of them. IN WITNESS WHEREOF, the undersigned hereby execute this agreement on February 1, 1996. HEINE SECURITIES CORPORATION By: /s/ Michael F. Price President MICHAEL F. PRICE /s/ Michael F. Price Page 8 -----END PRIVACY-ENHANCED MESSAGE-----