FORM 4 ------------------------------
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OMB Number: 3235-0104
Expires: December 31, 2001
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, DC 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
[_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).
(Print or Type Response)
________________________________________________________________________________
1. Name and Address of Reporting Person*
E.M. Warburg, Pincus & Co., LLC (1)
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(Last) (First) (Middle)
466 Lexington Avenue
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(Street)
New York NY 10017
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
Dime Bancorp, Inc. (DME)
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
13-3536050
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4. Statement for Month/Year
October 2000
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5. If Amendment, Date of Original (Month/Year)
July 2000
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6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
[_] Director [X] 10% Owner
[_] Officer (give title below) [_] Other (specify below)
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7. Individual or Joint/Group Filing (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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<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (Month/Day/ Code V (D) and 4) (Instr.4) (Instr. 4)
Year)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
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</TABLE>
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).
Potential persons who are to 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.
(Over)
SEC 1474 (3-99)
Page 1 of 2
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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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<TABLE>
<CAPTION>
10.
9. Owner-
Number ship
of Form
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
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Series B October P 1,598.173 (2) (2) Common 1,598.173 13,607.664 I Part-
Preferred Stock 6, 2000 shares Stock nership
(2)
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Warrants to $21.50 October 1,598.173 October October Series D 1,598.173 5,464.926 I Part-
Purchase Series D (5) 6, 2000 P warrants 6, 2000 6, 2000 Preferred nership
Preferred Stock (7) (8) Stock (7)
(6)
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</TABLE>
Explanation of Responses:
(1) The security holder is Warburg, Pincus Equity Partners, L.P., including
three affiliated partnerships ("WPEP"). Warburg, Pincus & Co. ("WP") is
the sole general partner of WPEP. WPEP is managed by E.M. Warburg, Pincus
& Co., LLC ("EMWP"). Lionel I. Pincus is the managing partner of WP and
the managing member of EMWP and may be deemed to control both entities.
The address of the Warburg Pincus entities is 466 Lexington Avenue, New
York, New York 10017.
(2) Stock Purchase Rights were converted into 12,009.491 shares of Series B
Preferred Stock on August 1, 2000, upon the receipt of clearance under the
Hart-Scott-Rodino Antitrust Improvements Act of 1976. 1,598.173 shares of
additional Series B Preferred Stock were acquired on October 6, 2000, upon
receipt of certain regulatory approvals, including approval by the Office
of Thrift Supervision. Shares of Series B Preferred Stock will convert
into shares of common stock on the earliest of (1) the issuance of
litigation tracking warrants, (2) a change in control of Dime Bancorp,
Inc., (3) the lapsing of transfer restrictions placed on the securities
under certain circumstances, or (4) April 6, 2001.
(3) If unexercised, the warrants to purchase Series C Preferred Stock will
be exchanged when it is permissible to do so under the federal banking
laws and regulations or in the event that WPEP intends to transfer the
warrants in a widely dispersed sale. At such time, the warrants will be
exchanged for warrants to purchase Series B Preferred Stock if the Series
B Preferred Stock has not yet converted into shares of common stock.
Otherwise, the warrants will be converted into warrants to purchase common
stock.
(4) At such time when it is permissible under the federal banking laws and
regulations or WPEP intends to transfer the Series C Preferred Stock
pursuant to a widely dispersed sale, shares of Series C Preferred Stock
will be convertible into shares of common stock, unless the Series B
Preferred Stock has not yet converted into common stock, in which case the
shares of Series C Preferred Stock will be convertible only into shares of
Series B Preferred Stock.
(5) Subject to antidilution and other adjustments.
(6) If unexercised, warrants to purchase Series D Preferred Stock will be
exchanged for warrants to purchase Series C Preferred Stock upon the
requisite approval by Dime Bancorp, Inc. stockholders under the rules of
the New York Stock Exchange.
(7) 3,866.753 warrants to purchase Series D Preferred Stock were issued and
became exercisable on July 6, 2000. The remaining 1,598.173 warrants to
purchase Series D Preferred Stock were issued and became exercisable on
October 6, 2000, upon receipt of certain regulatory approvals, including
approval by the Office of Thrift Supervision.
(8) Warrants to purchase Series D Preferred Stock will expire seven years
after issuance.
(9) Shares of Series D Preferred Stock will convert into Series C Preferred
Stock upon the requisite approval by Dime Bancorp, Inc. stockholders under
the rules of the New York Stock Exchange.
E.M WARBURG, PINCUS & CO., LLC
By: /s/ Stephen Distler November 8, 2000
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Name: Stephen Distler Date
Title: Member
**Signature of Reporting Person
** 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 provided is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB number.
SEC 1474 (3-99)
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