-----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, PGJRa4gkUqc4L3dIPk2u3rwbHODaYkwA7oBnpuzTAitIhIgn/v5gi4Y0ZGwjU1Dv 54NJZgyjuOnO+Fkesqq3nQ== 0000912057-99-001447.txt : 19991019 0000912057-99-001447.hdr.sgml : 19991019 ACCESSION NUMBER: 0000912057-99-001447 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991018 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEUBERGER BERMAN INC CENTRAL INDEX KEY: 0001068144 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 061523639 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-57015 FILM NUMBER: 99730156 BUSINESS ADDRESS: STREET 1: 605 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10158 BUSINESS PHONE: 2124769000 MAIL ADDRESS: STREET 1: 605 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10158 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NEUBERGER BERMAN EMPLOYEE DEFINED CONTRIBUTION INC PL TR CENTRAL INDEX KEY: 0001097083 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 137212564 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O NEUBERGER BERMAN TRUST CO OF DELAWAR STREET 2: 919 MARKET STREET STE 506 CITY: WILMINGTON STATE: DE ZIP: 19801 BUSINESS PHONE: 2124769100 SC 13G 1 SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* Neuberger Berman Inc. --------------------- (NAME OF ISSUER) Common Stock, Par Value $0.01 ----------------------------- (TITLE OF CLASS OF SECURITIES) 641234 10 9 -------------- (CUSIP NUMBER) October 7, 1999 --------------- (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) * 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). 1 CUSIP NO. 641234 10 9 1. NAMES OF REPORTING PERSONS: Neuberger Berman Employee Defined Contribution Incentive Plan Trust 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [ ] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION: United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7. SOLE VOTING POWER: 4,264,344 shares 8. SHARED VOTING POWER: None 9. SOLE DISPOSITIVE POWER: 4,264,344 shares 10. SHARED DISPOSITIVE POWER: None 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 4,264,344 shares 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ] 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): Prior to the completion of the Offering*, 9.1% As of the Offering, 8.5% 14. TYPE OF REPORTING PERSON: OO - -------- * For a definition of this term, please see Item 4. 2 Item 1. - ------- (a) Neuberger Berman Inc. (the "Company"). (b) 605 Third Avenue, New York, New York 10158. Item 2. - ------- (a) Neuberger Berman Employee Defined Contribution Incentive Plan Trust (the "Trust"). (b) c/o Neuberger Berman Trust Company of Delaware, 919 Market Street, Suite 506, Wilmington, Delaware 19801. (c) United States. (d) Common Stock, Par Value $0.01 (e) 641234 10 9 Item 3. - ------- (a)-(j) Not applicable. Item 4. - ------- (a) Amount beneficially owned: 4,264,344 shares The Trust has acquired 4,264,344 shares of Common Stock through an irrevocable contribution by the Company prior to the completion of an initial public offering of Common Stock by the Company (the "Offering"). (b) Percent of class: Prior to the completion of the Offering, 9.1 percent Percent of class: As of the Offering, 8.5 percent (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 4,264,344 shares 3 (ii) Shared power to vote or to direct the vote: None (iii) Sole power to dispose or direct the disposition of: 4,264,344 shares (iv) Shared power to dispose or direct the disposition of: None Item 5. - ------- Not applicable Item 6. - ------- Not applicable. Item 7. - ------- Not applicable. Item 8. - ------- Not applicable. Item 9. - ------- Not applicable. Item 10. - -------- (a) By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are 4 not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. October 15, 1999 ---------------- Date /s/Elizabeth Mathieu -------------------- Signature Elizabeth Mathieu, President of NEUBERGER BERMAN TRUST COMPANY OF DELAWARE, as trustee -------------------- Name/Title 5 -----END PRIVACY-ENHANCED MESSAGE-----