-----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, HkcyUDrT6ZGTwkJtbE2/ofBF6PPZN8E3MC3EK9ARVtY7DTOobK+chmp5qjiB3VKD VEoTzJEDKYgp11Q1HsUZ0A== 0000950123-97-001191.txt : 19970222 0000950123-97-001191.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950123-97-001191 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NONE 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: 97531554 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: NIPPON LIFE INSURANCE CO CENTRAL INDEX KEY: 0000905591 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: MO FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 2-2 YURAKUCHO CHIYODA STREET 2: 1-CHOME CHIYODA-KU CITY: TOKYO 100 STATE: M0 BUSINESS PHONE: 2123187700 MAIL ADDRESS: STREET 2: 1251 AVENUE OF THE AMERICAS SUITE 5210 CITY: NEW YORK STATE: NY ZIP: 10020-1198 SC 13G/A 1 SCHEDULE 13G 1 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 (Title of Class of Securities) 524908 10 0 (CUSIP Number) -------------------- Page 1 of 6 Pages 2 SCHEDULE 13G CUSIP NO.: 524908 10 0 (1) NAME OF REPORTING PERSON: Nippon Life Insurance Company S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |_| (3) SEC USE ONLY (4) CITIZENSHIP OR PLACE OF ORGANIZATION: Japan NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: (5) SOLE VOTING POWER: 8,400,307 (6) SHARED VOTING POWER: (7) SOLE DISPOSITIVE POWER: 8,400,307 (8) SHARED DISPOSITIVE POWER: (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 8,400,307 (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |_| (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 8.0% (12) TYPE OF REPORTING PERSON: IC Page 2 of 6 Pages 3 ITEM 1(a). NAME OF ISSUER: Lehman Brothers Holdings Inc. (the "Issuer") ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 3 World Financial Center New York, NY 10285 ITEM 2(a). NAME OF PERSON FILING: Nippon Life Insurance Company ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 2-2 Yurakucho, 1-chome Chiyoda-ku, Tokyo 100, Japan ITEM 2(c). CITIZENSHIP: Japan ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(e). CUSIP NUMBER: 524908 10 0 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A: (a) |_| Broker or dealer registered under Section 15 of the Act, (b) |_| Bank as defined in Section 3(a)(6) of the Act, (c) /X/ Insurance Company as defined in Section 3(a)(19) of the Act, (d) |_| Investment Company registered under Section 8 of the Investment Company Act, Page 3 of 6 Pages 4 (e) |_| Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, (f) |_| Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund, see 13d-1(b)(1)(ii)(F), (g) |_| Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G); see Item 7, (h) |_| Group, in accordance with Rule 13d-1(b)(1)(ii)(H). ITEM 4. OWNERSHIP. If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount beneficially owned: 8,400,307 (b) Percent of class: 8.0% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 8,400,307 (ii) Shared power to vote or to direct the vote: -0- (iii) Sole power to dispose or to direct the disposition of: 8,400,307 (iv) Shared power to dispose or to direct the disposition of: -0- 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 Common Stock, check the following |_|. Page 4 of 6 Pages 5 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 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 purposes or effect. Page 5 of 6 Pages 6 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. February 12, 1997 NIPPON LIFE INSURANCE COMPANY By: /s/ Junichi Miyagaki -------------------------------- Junichi Miyagaki Deputy Chief Rep. Page 6 of 6 Pages -----END PRIVACY-ENHANCED MESSAGE-----