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SEC 1474 POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTIONS OF INFORMATION
(02-02) CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM
DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER.
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FORM 4 OMB APPROVAL
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[ ] CHECK THIS BOX IF NO OMB Number: 3235-0287
LONGER SUBJECT TO Expires: January 31, 2005
SECTION 16. FORM 4 Estimated average burden
OR FORM 5 OBLIGATIONS hours per response.... 0.5
MAY CONTINUE. SEE --------------------------
INSTRUCTION 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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(f) of the Investment Company Act of 1940
(Print or Type Responses)
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1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s)
Hamada Robert S. Fleming Companies, Inc. (FLM) to Issuer (Check all applicable)
--------------------------------------------- ---------------------------------------------- X Director 10% Owner
(Last) (First) (Middle) 3. IRS Identification 4. Statement for ---- ---
University of Chicago Number of Reporting Month/Year Officer (give Other (Specify
1101 E. 58th St. Person, if an entity 05/02 ---- title --- below)
--------------------------------------------- (voluntary) ------------------- below)
(Street) 5. If Amendment,
Date of Original
Chicago, IL 60637 -------------------- (Month/Year) --------------------------------
--------------------------------------------- 7. Individual or Joint/Group Filing
(City) (State) (Zip) ------------- (Check Applicable Line)
X Form filed by One Reporting
--- Person
Form filed by More than One
--- Reporting Person
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TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
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1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature
(Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In-
Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct
(Instr. 8) End of Month Direct Benefi-
(Month/ (Instr. 3 and 4) (D) or cial
Day/ ------------------------------------ Indirect Owner-
Year) Code V Amount (A) or Price (I) ship
(D) (Instr. 4) (Instr. 4)
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Common Stock, $2.50 par value 5/14/01 A V 940 A * 7,940 I By Trust
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4,000 D
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* These shares represent restricted stock awarded under the 2002 Stock Incentive Plan
FORM 4 (CONTINUED)
TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
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1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price
Security sion or action action Derivative cisable and of Underlying of
(Instr. 3) Exercise Date Code Securities Ac- Expiration Securities Deriv-
Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative
Deriv- Day/ Disposed of (D) (Month/Day/ Secur-
ative Year) (Instr. 3, 4, Year) ity
Security and 5) (Instr. 5)
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Date Expira- Amount or
-------------------------- Exer- tion Title Number of
Code V (A) (D) cisable Date Shares
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Stock Equivalent Units 1-for-1 (1) A V 1,092.03 (2) (2) Common Stock 1,092.03
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9. Number of 10. Ownership 11. Nature of
Derivative Form of Indirect
Securities Derivative Beneficial
Beneficially Security: Ownership
Owned at End Direct (D) (Instr. 4)
of Month or Indirect (I)
(Instr. 4) (Instr. 4)
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1,092.03 D
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Explanation of Responses:
(1) The reporting person elected to defer his compensation and convert it to Stock Equivalent Units pursuant to the Company'
Director Deferred Compensation Plan. The reporting person received stock equivalent units in lieu of cash compensation in
several transactions ranging from 1/23/02 to 7/8/02.
(2) The cash value requested by the Stock Equivalent Units will be paid on January 1 of the first year in which the reporting
person ceases to be a director, either in one lump sum payment or in annual installments for up to a ten-year period.
/s/ Robert S. Hamada 8-14-02
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**Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
See Instruction 6 for procedure.