FORM 5
 

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

FORM 5

ANNUAL 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(h) of the Investment Company Act of 1940

o Check box if no longer
subject to Section 16.
Form 4 or Form 5
obligations may continue.
See Instruction 1(b).
o Form 3 Holdings Reported
x Form 4 Transactions Reported

1. Name and Address of Reporting
Person*
2. Issuer Name and Ticker or Trading
Symbol
3. I.R.S. Identification Number of Reporting
Person, if an entity
(Voluntary)
  Schwarz, H. Marshall
(Last) (First) (Middle)
  Bowne & Co., Inc. (NYSE: BNE)
 
   
                 
  Bowne & Co., Inc.
345 Hudson, 11th Floor

4. Statement for Month/Year 5. If Amendment, Date of Original (Month/Year)
    12/31/02
 
  (Street) 6. Relationship of Reporting Person(s)
to Issuer
(Check All Applicable)
7. Individual or Joint/Group Reporting
(Check Applicable Line)
  New York, NY 10014
(City)        (State)        (Zip)
  x  Director o  10% Owner   x Form filed by One Reporting Person
    o  Officer (give title below)   o Form filed by More than One Reporting Person
    o  Other (specify below)  
     
     

*   If the form is filed by more than one reporting person, see instruction 4(b)(v).


 

                                                 

Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of
Security

(Instr. 3)
2. Transaction
Date

(Month/Day/Year)
2A. Deemed Execution
Date, if any

(Month/Day/Year)
3. Transaction
Code

(Instr. 8)
4. Securities Acquired (A)
or Disposed of (D)

(Instr. 3, 4 and 5)
5. Amount of Securities
Beneficially Owned
at the End of Issuer's
Fiscal Year

(Instr. 3 and 4)
6. Ownership
Form:
Direct (D) or
Indirect (I)

(Instr. 4)
7. Nature of
Indirect
Beneficial
Ownership

(Instr. 4)

                    Amount (A)
or
(D)
Price            

  Common Stock, Par Value $.01 per Share   2/08/02     A   48(1)   A $11.910         D  

  Common Stock, Par Value $.01 per Share   5/10/02     A   38(1)   A $15.010         D  

  Common Stock, Par Value $.01 per Share   8/9/02     A   46(1)   A $12.600     10,586(1)     D  

                     

                     

                     

                     

                     

                     

                     

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Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
  (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative
Security

(Instr. 3)
2. Conversion or Exercise
Price of Derivative
Security
3. Transaction Date
(Month/Day/Year)
3A. Deemed Execution
Date, if any

(Month/Day/Year)
4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities
Acquired (A) or Disposed of (D)

(Instr. 3, 4 and 5)

                            (A) (D)

  Options to Purchase Common Stock     $12.80     1/1/02     A   2,033

  Options to Purchase Common Stock     $12.80     2/13/02     A   633

  Options to Purchase Common Stock     $12.80     3/7/02     A   281

  Options to Purchase Common Stock     $12.80     3/20/02     A   211

  Options to Purchase Common Stock     $12.80     4/1/02     A   2,033

  Options to Purchase Common Stock     $12.80     4/4/02     A   422

  Options to Purchase Common Stock     $12.80     5/8/02     A   211

  Options to Purchase Common Stock     $12.80     5/30/02     A   281

  Options to Purchase Common Stock     $12.80     7/1/02     A   2,033

  Options to Purchase Common Stock     $12.80     7/22/02     A   281

  Options to Purchase Common Stock     $12.80     7/25/02     A   281

  Options to Purchase Common Stock     $12.80     12/19/02     A   5,000

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Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned — Continued
(e.g., puts, calls, warrants, options, convertible securities)

6. Date Exercisable and
Expiration Date

(Month/Day/Year)
7. Title and Amount of
Underlying Securities

(Instr. 3 and 4)
8. Price of Derivative
Security

(Instr. 5)
9. Number of Derivative
Securities Beneficially
Owned at End of
Year

(Instr. 4)
10. Ownership of
Derivative Security:
Direct (D)
or Indirect (I)

(Instr. 4)
11. Nature of
Indirect
Beneficial
Ownership

(Instr. 4)

  Date
Exercisable
Expiration
Date
  Title Amount or
Number of
Shares
                       

  (2) 12/31/11   Common Stock 2,033     (2)       2,033     D  

  (2) 2/12/12   Common Stock 633     (2)       633     D  

  (2) 3/6/12   Common Stock 281     (2)       281     D  

  (2) 3/19/12   Common Stock 211     (2)       211     D  

  (2) 3/31/12   Common Stock 2,033     (2)       2,033     D  

  (2) 4/3/12   Common Stock 422     (2)       422     D  

  (2) 5/7/12   Common Stock 211     (2)       211     D  

  (2) 5/29/12   Common Stock 281     (2)       281     D  

  (2) 6/29/12   Common Stock 2,033     (2)       2,033     D  

  (2) 7/21/12   Common Stock 281     (2)       281     D  

  (2) 7/24/12   Common Stock 281     (2)       281     D  

  (2) 12/18/12   Common Stock 5,000     (2)       5,000     D  

Explanation of Responses:

(1) The number of shares of Common Stock beneficially owned as of the date reported including the number of deferred stock units credited to the Reporting Person under Company plans, as permitted under applicable SEC rules.

(2) Non-qualified stock options granted under and governed by the Company's 1999 Incentive Compensation Plan, becoming exercisable one year from the date of the grant.

H. Marshall Schwarz   2/15/02

**Signature of Reporting Person
 
Date


**   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.

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