UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
DATE OF REPORT (Date of earliest event reported): October 22, 2001
NEUBERGER BERMAN INC.
(Exact name of registrant as specified in its charter)
COMMISSION FILE NUMBER 001-15361
DELAWARE 06-1523639
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
605 Third Avenue
New York, NY 10158
(Address of principal executive offices)
(212) 476-9000
(Registrant's telephone number, including area code)
ITEM 5. OTHER EVENTS
On October 22, 2001, Neuberger Berman Inc. (the "Corporation") announced
that it entered into an agreement to acquire the assets of Oscar Capital
Management, LLC, which has over $800 million in assets under management. A
copy of the press release issued by the Corporation is attached as Exhibit
99.1 and incorporated herein by reference.
In addition, on October 23, 2001, the Corporation announced that its Board
of Directors declared the Corporation's cash dividend for the third quarter
of 2001, in the amount of $0.075 per share. The dividend will be payable on
November 14, 2001 to stockholders of record at the close of business on
November 2, 2001. A copy of the press release issued by the Corporation is
attached as Exhibit 99.2 and incorporated herein by reference.
ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS
Exhibits
Exhibit No. Document
99.1 Press release issued by the Corporation on October 22, 2001
reporting that it entered into an agreement to acquire the
assets of Oscar Capital Management, LLC, which has over $800
million in assets under management.
99.2 Press release issued by the Corporation on October 23, 2001
with respect to the declaration of a third quarter cash
dividend.
99.3 Press release issued by the Corporation on October 23, 2001
with respect to its results of operations for the third
quarter ended September 30, 2001.
ITEM 9. REGULATION FD DISCLOSURE
The Corporation is furnishing under Item 9 of this Current Report on Form
8-K the information included as Exhibit 99.3 to this Report. Exhibit 99.3
is the Corporation's press release, dated October 23, 2001, reporting the
Corporation's results of operations for the third quarter ended September
30, 2001.
The information in this Item 9, and the related Exhibit 99.3, is furnished
pursuant to Regulation FD, and shall not be deemed to be "filed" for
purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise
subject to the liabilities of that Section.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
Registrant has duly caused this Report to be signed on its behalf by the
undersigned thereunto duly authorized.
Neuberger Berman Inc.
(Registrant)
Date: October 24, 2001 By: /s/ Matthew Stadler
-----------------------
Matthew S. Stadler
Chief Financial Officer
EXHIBIT INDEX
99.1 Press release issued by Neuberger Berman Inc. on October 22, 2001,
announcing that it entered into an agreement to acquire the assets of
Oscar Capital Management, LLC, which has over $800 million in assets
under management.
99.2 Press release issued by Neuberger Berman Inc. on October 23, 2001,
with respect to the declaration of the Corporation's third quarter
dividend.
99.3 Press release issued by Neuberger Berman Inc. on October 23, 2001,
reporting the Corporation's results of operations for the third
quarter ended September 30, 2001.