UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
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CURRENT REPORT
Pursuant to Section 13 or 15 (d) of the
Securities Exchange Act of 1934
DATE OF REPORT (Date of earliest event reported): July 24, 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 July 24, 2001, Neuberger Berman Inc. (the "Corporation"), announced that
its Board of Directors had declared a 3-for-2 stock split to be effected as a
50% stock dividend payable on August 16, 2001, to stockholders of record on
August 1, 2001.
In addition, the Corporation announced that its Board of Directors had
increased the cash dividend payable on the Corporation's common stock to
$0.075 per share on a post-split basis, payable on August 16, 2001, to
stockholders of record on August 1, 2001.
A copy of the press release issued by the Corporation is attached as Exhibit
99.1 and incorporated herein by reference.
ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS
Exhibits
Exhibit No. Document
(99) Additional Exhibits
99.1 Press release issued by the Corporation on July 24,
2001, reporting that its Board of Directors had declared
a 3-for-2 stock split of the Corporation's common stock
to be effected as a 50% stock dividend, increased the
Corporation's cash dividend to $0.075 on a post-split
basis, and had declared such dividend payable on August
16, 2001 to stockholders of record on August 1, 2001.
99.2 Press release issued by the Corporation on July 24,
2001, with respect to results of operations for the six
months and quarter ended June 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 99.2 to this Report.
Exhibit 99.2 is the Corporation's press release, dated July 24, 2001,
reporting the Corporation's results of operations for the six months
and quarter ended June 30, 2001.
The information in this Item 9 and the related Exhibit 99.2 are
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: July 27, 2001 By: /s/ Matthew S.Stadler
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Matthew S. Stadler
Chief Financial Officer
EXHIBIT INDEX
99.1 Press release issued by Neuberger Berman Inc. on July 24, 2001,
reporting that its Board of Directors had declared a 3-for-2
stock split of the Corporation's common stock to be effected as
a 50% stock dividend, and increased the Corporation's cash
dividend to $0.075 per share on a post-split basis, payable on
August 16, 2001, to stockholders of record on August 1, 2001.
99.2 Press release issued by Neuberger Berman Inc. on July 24, 2001,
reporting the Corporation's results of operations for the six
months and quarter ended June 30, 2001.