SECURITIES AND EXCHANGE COMMISSION
Washington D.C. 20549
FORM N-8A
AMENDED
NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(A)
OF THE INVESTMENT COMPANY ACT OF 1940
The undersigned investment company hereby notifies the Securities and
Exchange Commission that it amends its registration under and pursuant to the
provisions of Section 8(a) of the Investment Company Act of 1940 and in
connection with such amended notification of registration submits the following
information:
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NAME: Neuberger Berman Equity Series
ADDRESS AND PRINCIPAL BUSINESS OFFICE: 605 Third Avenue, 2nd Floor
New York, NY 10158-0180
TELEPHONE NUMBER: (212) 476-8800
NAME AND ADDRESS OF AGENT FOR SERVICE OF PROCESS: Ellen Metzger, Esq.
605 Third Avenue, 2nd Floor
New York, NY 10158-0180
Registrant is filing a Registration Statement pursuant to Section 8(b) of the
Investment Company Act of 1940 concurrently with filing of Form N-8A:
__Yes X No
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ITEM 1. EXACT NAME OF REGISTRANT.
Neuberger Berman Equity Series
ITEM 2. NAME OF STATE UNDER THE LAWS OF WHICH REGISTRANT WAS ORGANIZED
OR CREATED AND THE DATE OF SUCH ORGANIZATION OR CREATION.
Delaware; September 22, 1998
ITEM 3. FORM OF ORGANIZATION OF REGISTRANT (FOR EXAMPLE, CORPORATION,
PARTNERSHIP, TRUST, JOINT STOCK COMPANY, ASSOCIATION, FUND).
Business trust
ITEM 4. CLASSIFICATION OF REGISTRANT (FACE AMOUNT CERTIFICATE COMPANY,
UNIT INVESTMENT TRUST, OR MANAGEMENT COMPANY).
Registrant is a management company.
ITEM 5. IF REGISTRANT IS A MANAGEMENT COMPANY:
(a) STATE WHETHER REGISTRANT IS REGISTERING AS A "CLOSED-END"
COMPANY OR AN "OPEN-END" COMPANY;
Registrant is registering as an open-end company.
(b) STATE WHETHER REGISTRANT IS REGISTERING AS A "DIVERSIFIED" COMPANY
OR A "NON-DIVERSIFIED" COMPANY (READ INSTRUCTION 4(I)CAREFULLY
BEFORE REPLYING).
Registrant is registering as a non-diversified company.
ITEM 6. NAME AND ADDRESS OF EACH INVESTMENT ADVISER OF REGISTRANT.
Neuberger&Berman Management, Inc.
605 Third Avenue, 2nd Floor
New York, NY 10158-0180
Neuberger&Berman LLC
605 Third Avenue, 2nd Floor
New York, NY 10158-0180
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ITEM 7. IF REGISTRANT IS AN INVESTMENT COMPANY HAVING A BOARD OF DIRECTORS,
STATE THE NAME AND ADDRESS OF EACH OFFICER AND DIRECTOR OF THE REGISTRANT.
TRUSTEES
Faith Colish John T. Patterson, Jr.
Stanley Egener John P. Rosenthal
Howard Mileaf Cornelius T. Ryan
Edward I. O'Brien Gustave Shubert
Lawrence Zicklin
OFFICERS
Stanley Egener Chairman (Chief Executive Officer)
Lawrence Zicklin President
Daniel J. Sullivan Vice President
Michael J. Weiner Vice President (Principal Financial Officer)
Richard Russell Treasurer (Principal Accounting Officer)
Barbara DiGiorgio Assistant Treasurer
Celeste Wischerth Assistant Treasurer
Claudia A. Brandon Secretary
Stacy Cooper-Shugrue Assistant Secretary
C. Carl Randolph Assistant Secretary
ITEM 8. IF REGISTRANT IS AN UNINCORPORATED INVESTMENT COMPANY NOT
HAVING A BOARD OF DIRECTORS:
(a) STATE THE NAME AND ADDRESS OF EACH SPONSOR OF REGISTRANT;
NOT APPLICABLE
(b) STATE THE NAME AND ADDRESS OF EACH OFFICER AND DIRECTOR OF EACH
SPONSOR OF REGISTRANT;
NOT APPLICABLE
(c) STATE THE NAME AND ADDRESS OF EACH TRUSTEE AND EACH CUSTODIAN OF
REGISTRANT.
NOT APPLICABLE
ITEM 9. (a) STATE WHETHER REGISTRANT IS CURRENTLY ISSUING AND OFFERING
ITS SECURITIES DIRECTLY TO THE PUBLIC (YES OR NO).
No
(b) IF REGISTRANT IS CURRENTLY ISSUING AND OFFERING ITS SECURITIES
TO THE PUBLIC THROUGH AN UNDERWRITER, STATE THE NAME AND ADDRESS OF SUCH
UNDERWRITER.
NOT APPLICABLE
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(c) IF THE ANSWER TO ITEM 9(A) IS "NO" AND THE ANSWER TO ITEM 9(B)
IS "NOT APPLICABLE," STATE WHETHER REGISTRANT PRESENTLY PROPOSES TO MAKE A
PUBLIC OFFERING OF ITS SECURITIES (YES OR NO).
Yes
(d) STATE WHETHER REGISTRANT HAS ANY SECURITIES CURRENTLY ISSUED AND
OUTSTANDING (YES OR NO).
No
(e) IF THE ANSWER TO ITEM 9(D) IS "YES," STATE AS OF A DATE NOT TO
EXCEED TEN DAYS PRIOR TO THE FILING OF THIS NOTIFICATION OF REGISTRATION THE
NUMBER OF BENEFICIAL OWNERS OF REGISTRANT'S OUTSTANDING SECURITIES (OTHER THAN
SHORT-TERM PAPER) AND THE NAME OF ANY COMPANY OWNING 10 PERCENT OR MORE OF
REGISTRANT'S OUTSTANDING VOTING SECURITIES.
NOT APPLICABLE
ITEM 10. STATE THE CURRENT VALUE OF REGISTRANT'S TOTAL ASSETS.
Zero (0)
ITEM 11. STATE WHETHER REGISTRANT HAS APPLIED OR INTENDS TO APPLY FOR A LICENSE
TO OPERATE AS A SMALL BUSINESS INVESTMENT COMPANY UNDER THE SMALL BUSINESS
INVESTMENT COMPANY ACT OF 1958 (YES OR NO).
No
ITEM 12. ATTACH AS AN EXHIBIT A COPY OF REGISTRANT'S LAST REGULAR PERIODIC
REPORT TO ITS SECURITYHOLDERS, IF ANY.
NOT APPLICABLE
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SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the
registrant has caused this notification of registration to be duly signed on its
behalf in the City of New York and the State of New York on the 7th day of
October, 1998.
NEUBERGER BERMAN EQUITY SERIES
By: /s/Stanley Egener
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Stanley Egener, as Trustee
Attest: /s/Claudia A. Brandon
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By: Claudia A. Brandon
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Title: Corporate Secretary
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