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OMB APPROVAL 3235-0167
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Expires: October 31, 2004
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 15
CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION
12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE
REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934.
Commission File Number 001-15361
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Neuberger Berman Inc.
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(Exact name of registrant as specified in its charter)
605 Third Avenue, New York, New York 10158, (212) 476-9000
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(Address, including zip code, and telephone number, including area code, of
registrant's principal executive offices)
Liquid Yield Option(TM) Notes Due 2021 (Zero Coupon-Senior)
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(Title of each class of securities covered by this Form)
None
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(Titles of all other classes of securities for which a duty to file
reports under section 13(a) or 15(d) remains)
Please place an X in the box(es) to designate the appropriate rule
provision(s) relied upon to terminate or suspend the duty to file reports:
Rule 12g-4(a)(1)(i) |_| Rule 12h-3(b)(1)(i) |X|
Rule 12g-4(a)(1)(ii) |_| Rule 12h-3(b)(1)(ii) |_|
Rule 12g-4(a)(2)(i) |_| Rule 12h-3(b)(2)(i) |_|
Rule 12g-4(a)(2)(ii) |_| Rule 12h-3(b)(2)(ii) |_|
Rule 15d-6 |_|
Approximate number of holders of record as of the certification or
notice date: 13
Pursuant to the requirements of the Securities Exchange Act of 1934,
Neuberger Berman Inc. has caused this certification/notice to be signed on its
behalf by the undersigned duly authorized person.
Date: January 15, 2004 By: /s/ MAXINE L. GERSON
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Name: Maxine L. Gerson
Title: Assistant Secretary
Instruction: This form is required by Rules 12g-4, 12h-3 and 15d-6 of the
General Rules and Regulations under the Securities Exchange Act of 1934. The
registrant shall file with the Commission three copies of Form 15, one of
which shall be manually signed. It may be signed by an officer of the
registrant, by counsel or by any other duly authorized person. The name and
title of the person signing the form shall be typed or printed under the
signature.
Persons who respond to the collection of information contained
in this form are not required to respond unless the form
SEC 2069 (09-03) displays a currently valid OMB control number.