SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
_______________
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D) OF THE
SECURITIES AND EXCHANGE ACT OF 1934
Date of Report (date of earliest event reported): November 14, 2000
LEHMAN BROTHERS HOLDINGS INC.
(Exact Name of Registrant as Specified in Charter)
Delaware
(State or Other Jurisdiction of Incorporation)
1-9466
(Commission File Number)
13-3216325
(I.R.S. Employer Identification No.)
3 World Financial Center, New York, NY 10285
(Address of principal executive offices)(Zip Code)
(212) 526-7000
(Registrant's Telephone Number, Including Area Code)
<PAGE>
ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS
(c) Exhibits
The following Exhibits are incorporated be reference into
Registration Statement on Form S-3 No. 33-53651 as exhibits thereto and are
filed as part of this Report.
Exhibit No. Description
----------- -----------
4.01 Calculation Agency Agreement, dated as of November 14,
2000, between Lehman Brothers Holdings Inc. (the
"Corporation") and Lehman Brothers Inc., as calculation
agent, relating to the Corporation's Notes Due November
14, 2007, Performance Linked to Pfizer Inc. (PFE) Common
Stock.
4.02 Calculation Agency Agreement, dated as of November 14,
2000, between the Corporation and Lehman Brothers Inc.,
as calculation agent, relating to the Corporation's Notes
Due November 14, 2007, Performance Linked to Marsh &
McLennan Companies, Inc. (MMC) Common Stock.
4.03 Global Security representing $13,000,000 aggregate
principal amount of the Corporation's Notes Due November
14, 2007, Performance Linked to Pfizer Inc. (PFE) Common
Stock.
4.04 Global Security representing $13,000,000 aggregate
principal amount of the Corporation's Notes Due November
14, 2007, Performance Linked to Marsh & McLennan
Companies, Inc. (MMC) Common Stock.
-2-
<PAGE>
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the
Corporation has duly caused this Report to be signed on its behalf by the
undersigned hereunto duly authorized.
LEHMAN BROTHERS HOLDINGS INC.
By: /s/ Barrett S. DiPaolo
-------------------------------------
Barrett S. DiPaolo
Vice President
Date: November 14, 2000
-3-
<PAGE>
EXHIBIT INDEX
Exhibit No. Description
----------- -----------
4.01 Calculation Agency Agreement, dated as of November 14,
2000, between Lehman Brothers Holdings Inc. (the
"Corporation") and Lehman Brothers Inc., as calculation
agent, relating to the Corporation's Notes Due November
14, 2007, Performance Linked to Pfizer, Inc. (PFE) Common
Stock.
4.02 Calculation Agency Agreement, dated as of November 14,
2000, between the Corporation and Lehman Brothers Inc.,
as calculation agent, relating to the Corporation's Notes
Due November 14, 2007, Performance Linked to Marsh &
McLennan Companies, Inc. (MMC) Common Stock.
4.03 Global Security representing $13,000,000 aggregate
principal amount of the Corporation's Notes Due November
14, 2007, Performance Linked to Pfizer, Inc. (PFE) Common
Stock.
4.04 Global Security representing $13,000,000 aggregate
principal amount of the Corporation's Notes Due November
14, 2007, Performance Linked to Marsh & McLennan
Companies, Inc. (MMC) Common Stock.
-4-
