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Lehman Brothers Holdings Inc. Plan Trust – ‘8-K’ for 10/10/07

On:  Monday, 10/15/07, at 2:43pm ET   ·   For:  10/10/07   ·   Accession #:  1104659-7-74884   ·   File #:  1-09466

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

10/15/07  Lehman Brothers Holdings Inc … Tr 8-K:9      10/10/07    4:335K                                   Merrill Corp-MD/FA

Current Report   —   Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     25K 
 2: EX-4.01     Instrument Defining the Rights of Security Holders  HTML     93K 
 3: EX-4.02     Instrument Defining the Rights of Security Holders  HTML     63K 
 4: EX-4.03     Instrument Defining the Rights of Security Holders  HTML     91K 


8-K   —   Current Report


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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of

the Securities Exchange Act of 1934

 

Date of Report (date of earliest event reported):

October 10, 2007

 

LEHMAN BROTHERS HOLDINGS INC.

(Exact name of registrant as specified in its charter)

 

Delaware

(State or other jurisdiction of incorporation)

 

1-9466

 

13-3216325

(Commission File Number)

 

(IRS Employer Identification No.)

 

 

 

745 Seventh Avenue

 

 

New York, New York

 

10019

(Address of principal

 

(Zip Code)

executive offices)

 

 

 

Registrant’s telephone number, including area code:

(212) 526-7000

 

Not Applicable

(Former name or former address, if changed since last report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

o  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 



 

Item 9.01.                               Financial Statements and Exhibits

 

(d)           Exhibits

 

The following Exhibits are incorporated by reference into Registration Statement on Form S-3 No. 333-134553 as exhibits thereto and are filed as part of this Report.

 

4.01                           Form of senior debt security—medium-term note (Return-Enhanced Notes Linked to a Basket of Ten Commodities)

 

4.02                           Form of senior debt security—medium-term note (FX Basket-Linked Note)

 

4.03                           Form of senior debt security—medium-term note (FX Basket-Linked Note)

 

2



 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

LEHMAN BROTHERS HOLDINGS INC.

 

 

(Registrant)

 

 

 

 

 

 

 

 

By:

/s/ James J. Killerlane III

 

 

 

James J. Killerlane III

 

 

 

Vice President

 

 

 

 

 

 

 

Date:  October 15, 2007

 

 

 

3



 

EXHIBIT INDEX

 

Exhibit No.

 

Exhibit

 

 

 

4.01

 

Form of senior debt security—medium-term note (Return-Enhanced Notes Linked to a Basket of Ten Commodities)

 

 

 

4.02

 

Form of senior debt security—medium-term note (FX Basket-Linked Note)

 

 

 

4.03

 

Form of senior debt security—medium-term note (FX Basket-Linked Note)

 

4



Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
Filed on:10/15/074,  424B2,  8-K,  FWP
For Period End:10/10/0710-Q,  4,  424B2,  8-K,  FWP
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Filing Submission 0001104659-07-074884   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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