-----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, ICCCHkODUWV0mZPmy9hL8UDL7wN+G6PvBZ4ZlirRmZURiS1LWJWLpnwIOkRGVb3I iJv+5Gx8D0/p63uw5vP11g== 0000908255-02-000025.txt : 20020415 0000908255-02-000025.hdr.sgml : 20020415 ACCESSION NUMBER: 0000908255-02-000025 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020301 FILED AS OF DATE: 20020305 COMPANY DATA: COMPANY CONFORMED NAME: DICKENS KIMBERLY CENTRAL INDEX KEY: 0001168558 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] OFFICER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 200 S MICHIGAN AVE CITY: CHICAGO STATE: IL ZIP: 60604 BUSINESS PHONE: 3123228500 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BORGWARNER INC CENTRAL INDEX KEY: 0000908255 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 133404508 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12162 FILM NUMBER: 02567376 BUSINESS ADDRESS: STREET 1: 200 S MICHIGAN AVE CITY: CHICAGO STATE: IL ZIP: 60604 BUSINESS PHONE: 3123228500 MAIL ADDRESS: STREET 1: 200 SOUTH MICHIGAN AVE STREET 2: 200 SOUTH MICHIGAN AVE CITY: CHICAGO STATE: IL ZIP: 60604 FORMER COMPANY: FORMER CONFORMED NAME: BORG WARNER AUTOMOTIVE INC DATE OF NAME CHANGE: 19930628 3 1 kd2002.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - ------------------------------------------------------------------------------ FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities 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 1. Name and Address of Reporting Person KIMBERLY DICKENS 200 S. Michigan Ave. Chicago, IL 60604 2. Issuer Name and Ticker or Trading Symbol BorgWarner Inc. (BWA) 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) - 4. Statement For Month/Year March 1, 2002 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) ( ) Director (x)Officer (give title below) ( ) 10% Owner ( ) Other Vice President, Human Resources 7. Individual or Joint/Group Filing (Check applicable line) /x/ Form Filed by One Reporting Person --- Form Filed by More Than One Reporting Person
- ------------------------------------------------------------------------------- Table I - Non-Derivative Securities Beneficially Owned - ------------------------------------------------------------------------------- 1.Title of Security|2.Amount of Securities| 3.Ownership | 4.Nature of | Beneficially Owned | Form;Direct| Indirect Beneficial | | or Indirect| Ownership - ------------------------------------------------------------------------------- | | | Common Stock | 233.282 | D | - ------------------------------------------------------------------------------ Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g. Puts, Calls, Warrants, Options, Convertible Securities) - ------------------------------------------------------------------------------- 1.Title of Deriv-|2.Date Exercisable |3.Title and Amount|4.Conversion ative Security | and Expiration | of Securities | or Exercise | Date (month/day | Underlying | Price of | year) | Derivative | Derivative | Date | Expir- | Security | Security | Exer- | ation | Amount or#| | cisable| Date | Title |of Shares | - ------------------------------------------------------------------------------- | | | | | Employee Stock Options | |Common | | (Right to Buy) | 7/24/99|7/24/07 |Stock |350 | $55.00 Employee Stock Options | |Common | | (Right to Buy) | 7/24/00|7/24/07 |Stock |350 | $55.00 Employee Stock Options | |Common | | (Right to Buy) | 7/21/00|7/21/08 |Stock |400 | $50.9063 Employee Stock Options | |Common | | (Right to Buy) | 7/21/01|7/21/08 |Stock |400 | $50.9063 Employee Stock Options | |Common | | (Right to Buy) | 7/20/01|7/20/09 |Stock |625 | $53.875 Employee Stock Options | |Common | | (Right to Buy) | 7/20/02|7/20/09 |Stock |625 | $53.875 Employee Stock Options | |Common | | (Right to Buy) | 7/21/02|7/21/10 |Stock |998 | $36.0938 Employee Stock Options | |Common | | (Right to Buy) | 7/21/03|7/21/10 |Stock |997 | $36.0938 Employee Stock Options | |Common | | (Right to Buy) | 7/25/03|7/25/11 |Stock |900 | $48.275 Employee Stock Options | |Common | | (Right to Buy) | 7/25/04|7/25/11 |Stock |900 | $48.275 - ------------------------------------------------------------------------------- 5.Ownership | 6.Nature of Indirect Form of Deriv-| Beneficial Ownership ative Security| Direct (D) or | Indirect (I) | - ------------------------------------------------------------------------------- | - ------------------------------------------------------------------------------- D - -------------------------------------------------------------------------------
Signature of Reporting Person KIMBERLY DICKENS /s/ Laurene H. Horiszny as attorney-in-fact for reporting person Date: March 5, 2002 -----END PRIVACY-ENHANCED MESSAGE-----