As filed with the Securities and Exchange Commission on August 14, 2006
Registration No. 333-________
================================================================================
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
------------
FORM S-3
REGISTRATION STATEMENT
UNDER THE
SECURITIES ACT OF 1933
------------
The Bear Stearns Companies Inc.
(Exact Name of Registrant as Specified in Its Charter)
Delaware 13-3286161
(State or Other Jurisdiction of (I.R.S. Employer
Incorporation or Organization) Identification No.)
383 Madison Avenue
New York, New York 10179
(212) 272-2000
(Address, Including Zip Code, and Telephone Number,
Including Area Code, of Registrant's Principal Executive Offices)
Samuel L. Molinaro, Jr.
Chief Financial Officer
The Bear Stearns Companies Inc.
383 Madison Avenue
New York, New York 10179
(212) 272-2000
(Name, Address, Including Zip Code, and Telephone Number,
Including Area Code, of Agent For Service)
Copies To:
Dennis J. Block, Esq.
Cadwalader, Wickersham & Taft LLP
One World Financial Center
New York, New York 10281
(212) 504-6000
------------------
Approximate date of commencement of proposed sale to the public: At various
times after this Registration Statement becomes effective.
If the only securities being registered on this form are being offered
pursuant to dividend or interest reinvestment plans, please check the following
box. [__]
If any of the securities being registered on this form are to be offered on
a delayed or continuous basis pursuant to Rule 415 under the Securities Act of
1933, other than securities offered only in connection with dividend or interest
reinvestment plans, check the following box. [X]
If this form is filed to register additional securities for an offering
pursuant to Rule 462(b) under the Securities Act, please check the following box
and list the Securities Act registration statement number of the earlier
effective registration statement for the same offering. [X] 333-121744
If this form is a post-effective amendment filed pursuant to Rule 462(c)
under the Securities Act, check the following box and list the Securities Act
registration statement number of the earlier effective registration statement
for the same offering. [__] 333-______________
If this Form is a registration statement pursuant to General Instruction
I.D. or a post-effective amendment thereto that shall become effective upon
filing with the Commission pursuant to Rule 462(e) under the Securities Act,
check the following box. [__]
If this Form is a post-effective amendment to a registration statement
filed pursuant to General Instruction I.D. filed to register additional
securities or additional classes of securities pursuant to Rule 413(b) under the
Securities Act, check the following box. [__]
CALCULATION OF REGISTRATION FEE
====================================================================================================================================
Additional Proposed Proposed
Amount to be Maximum Offering Maximum Aggregate Amount of
Title of Each Class of Securities to be Registered Registered(1)(2) Price Per Unit(3) Offering Price(3) Registration Fee
------------------------------------------------------------------------------------------------------------------------------------
Debt Securities, Warrants, Preferred Stock and
Depositary Shares.............................. $216,935,000 100% $216,935,000 $23,212
====================================================================================================================================
(1) In U.S. dollars or their equivalent in one or more foreign or composite
currencies.
(2) The amount of debt securities and warrants to be registered is their issue
price plus the issue price of any warrants or the issue price of any debt
securities to be issued upon the exercise of the warrants and that amount
also includes any offers and sales of debt securities and warrants in
market-making transactions by Bear, Stearns & Co. Inc., an affiliate of the
Registrant.
(3) Estimated solely for the purpose of calculating the registration fee
pursuant to Rule 457 under the Securities Act of 1933, as amended.
This Registration Statement shall become effective upon filing with the
Commission in accordance with Rule 462(b) under the Securities Act of 1933, as
amended.
================================================================================
NOTE
This Registration Statement has been filed pursuant to Rule 462(b) under
the Securities Act of 1933. The Registrant hereby incorporates by reference into
this Registration Statement its Registration Statement on Form S-3 (No.
333-121744), filed on December 30, 2004 and declared effective by the Securities
and Exchange Commission on February 2, 2005.
2
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the registrant
hereby certifies that it has reasonable grounds to believe that it meets all of
the requirements for filing on Form S-3 and has duly caused this Registration
Statement to be signed on its behalf by the undersigned, thereunto duly
authorized, in the City of New York, State of New York, on August 14, 2006.
THE BEAR STEARNS COMPANIES INC.
By: /S/ SAMUEL L. MOLINARO JR.
------------------------------------
Samuel L. Molinaro, Jr.
Senior Vice President - Finance and
Chief Financial Officer
Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed by the following persons in the
capacities indicated on August 14, 2006.
-------------------------------------- ---------------------------------------
Signature Title
====================================== =======================================
/s/ JAMES E. CAYNE Chairman of the Board, Chief Executive
-------------------------------------- Officer (Principal Executive Officer)
James E. Cayne and Director
-------------------------------------- ---------------------------------------
* Director
-------------------------------------- ---------------------------------------
Henry S. Bienen
-------------------------------------- ---------------------------------------
* Director
-------------------------------------- ---------------------------------------
Carl D. Glickman
-------------------------------------- ---------------------------------------
Chairman of the Executive Committee
* and Director
-------------------------------------- ---------------------------------------
Alan C. Greenberg
-------------------------------------- ---------------------------------------
* Director
-------------------------------------- ---------------------------------------
Donald J. Harrington
-------------------------------------- ---------------------------------------
* Director
-------------------------------------- ---------------------------------------
Frank T. Nickell
-------------------------------------- ---------------------------------------
* Director
-------------------------------------- ---------------------------------------
Paul A. Novelly
-------------------------------------- ---------------------------------------
* Director
-------------------------------------- ---------------------------------------
Frederic V. Salerno
-------------------------------------- ---------------------------------------
President, Co-Chief Operating Officer
* and Director
-------------------------------------- ---------------------------------------
Alan D. Schwartz
-------------------------------------- ---------------------------------------
II-1
-------------------------------------- ---------------------------------------
President, Co-Chief Operating Officer
* and Director
-------------------------------------- ---------------------------------------
Warren J. Spector
-------------------------------------- ---------------------------------------
* Director
-------------------------------------- ---------------------------------------
Vincent Tese
-------------------------------------- ---------------------------------------
* Director
-------------------------------------- ---------------------------------------
Wesley S. Williams, Jr.
-------------------------------------- ---------------------------------------
/s/ SAMUEL L. MOLINARO JR. Executive Vice President and Chief
-------------------------------------- Financial Officer (Principal Financial
Samuel L. Molinaro Jr. Officer)
-------------------------------------- ---------------------------------------
Controller (Principal Accounting
/s/ JEFFREY M. FARBER Officer)
-------------------------------------- ---------------------------------------
Jeffrey M. Farber
-------------------------------------- ---------------------------------------
* By: /s/ SAMUEL L. MOLINARO JR.
---------------------------------
Samuel L. Molinaro Jr.
Attorney-in-Fact
II-2
EXHIBIT INDEX
Exhibit No. Description
----------- -----------------------------------------------------------
5 Opinion of Cadwalader, Wickersham & Taft LLP.*
23(a) Consent of Deloitte & Touche LLP.*
23(b) Consent of Cadwalader, Wickersham & Taft LLP (included in
Exhibit 5).*
24(a) Power of attorney (included in the signature pages to the
Registration Statement filed on December 30, 2004).
* Filed herewith
II-3