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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| CAP Units (2002) | (2) | 05/30/2008 | D | 17 | 11/30/2007 | 11/30/2007(3) | Common Stock | 17 | (4) | 0 | D | ||||
| CAP Units (2003) | (2) | 05/30/2008 | D | 2,492 | 11/30/2008 | 11/30/2008(3) | Common Stock | 2,492 | (5) | 0 | D | ||||
| CAP Units (2004) | (2) | 05/30/2008 | D | 3,299 | 11/30/2009 | 11/30/2009(6) | Common Stock | 3,299 | (7) | 0 | D | ||||
| CAP Units (2005) | (2) | 05/30/2008 | D | 3,617 | 11/30/2010 | 11/30/2010(6) | Common Stock | 3,617 | (8) | 0 | D | ||||
| CAP Units (2006) | (2) | 05/30/2008 | D | 4,568 | 11/30/2011 | 11/30/2011(6) | Common Stock | 4,568 | (9) | 0 | D | ||||
| CAP Units 2007 | (2) | 05/30/2008 | D | 13,341 | 11/30/2007 | 11/30/2012(6) | Common Stock | 13,341 | (10) | 0 | D | ||||
| Emp. Stock Option (Right to Buy) | $ 73.75 | 05/30/2008 | D | 3,559 | 12/15/2006 | 12/15/2013 | Common Stock | 3,559 | (11) | 0 | D | ||||
| Emp. Stock Option (Rt. to Buy) | $ 116.5 | 05/30/2008 | D | 3,931 | 12/22/2005 | 12/22/2015 | Common Stock | 3,931 | (12) | 0 | D | ||||
| Emp. Stock Option (rt. to buy) | $ 165.32 | 05/30/2008 | D | 2,646 | 12/20/2006 | 12/20/2016 | Common Stock | 2,646 | (13) | 0 | D | ||||
| Employee Stock Option (Right to Buy) | $ 49.63 | 05/30/2008 | D | 2,719 | 12/11/2003 | 12/11/2010 | Common Stock | 2,719 | (14) | 0 | D | ||||
| Employee Stock Option (Right to Buy) | $ 56.88 | 05/30/2008 | D | 2,907 | 12/17/2004 | 12/17/2011 | Common Stock | 2,907 | (15) | 0 | D | ||||
| Employee Stock Option (Right to Buy) | $ 64 | 05/30/2008 | D | 3,000 | 11/30/2005 | 11/30/2012 | Common Stock | 3,000 | (16) | 0 | D | ||||
| Employee Stock Option (Right to Buy) | $ 102.65 | 05/30/2008 | D | 3,707 | 12/28/2004 | 12/28/2014 | Common Stock | 3,707 | (17) | 0 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| FARBER JEFFREY M C/O BEAR, STEARNS & CO. INC. 383 MADISON AVENUE NEW YORK, NY 10179 |
Controller | |||
| /s/ Farber, Jeffrey M. | 06/02/2008 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Disposed of pursuant to the merger agreement between issuer and JPMorgan Chase & Co. in exchange for 850 shares of JPMorgan Chase common stock having a market value of $9.35 per share on the effective date of the merger. |
| (2) | This type of derivative security typically does not have a conversion or exercise price |
| (3) | The shares of common stock underlying the CAP Units will be distributed on or about 11/30/2008 |
| (4) | The CAP Units were converted in the merger into 3 CAP Units of JPMorgan Chase. |
| (5) | The CAP Units were converted in the merger into 542 CAP Units of JPMorgan Chase. |
| (6) | In connection with the merger, the deferral period for the CAP Units will be accelerated and the shares of common stock underlying the CAP Units will be distributed on or about 1/15/2009. |
| (7) | The CAP Units were converted in the merger into 717 CAP Units of JPMorgan Chase. |
| (8) | The CAP Units were converted in the merger into 786 CAP Units of JPMorgan Chase. |
| (9) | The CAP Units were converted in the merger into 993 CAP Units of JPMorgan Chase. |
| (10) | The CAP Units were converted in the merger into 2,902 CAP Units of JPMorgan Chase. |
| (11) | This option was converted in the merger into an option to purchase 774 shares of JPMorgan Chase common stock for $339.03 per share. |
| (12) | This option was converted in the merger into an option to purchase 855 shares of JPMorgan Chase common stock for $535.56 per share. |
| (13) | This option was converted in the merger into an option to purchase 575 shares of JPMorgan Chase common stock for $759.99 per share. |
| (14) | This option was converted in the merger into an option to purchase 591 shares of JPMorgan Chase common stock for $228.13 per share. |
| (15) | This option was converted in the merger into an option to purchase 632 shares of JPMorgan Chase common stock for $261.48 per share. |
| (16) | This option was converted in the merger into an option to purchase 652 shares of JPMorgan Chase common stock for $294.21 per share. |
| (17) | This option was converted in the merger into an option to purchase 806 shares of JPMorgan Chase common stock for $471.89 per share. |