FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
WASHINGTON, D.C. 20549 OMB Number: 3235-0287
Expires: December 31, 2001
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Estimated average burden
hours per response.......0.5
/ / CHECK THIS BOX IF NO LONGER
SUBJECT TO SECTION 16. FORM 4 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
OR FORM 5 OBLIGATIONS MAY Section 17(a) of the Public Utility Holding Company Act of 1935 or
CONTINUE. SEE INSTRUCTION 1(b). Section 30(f) of the Investment Company Act of 1940
(Print of Type Responses)
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1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol
Credit Suisse First Boston, on behalf of the Duane Reade Inc. (DRD)
Credit Suisse First Boston business unit
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(Last) (First) (Middle) 3. I.R.S. Identification 4. Statement for
Number of Reporting Month/Year
Person, if an entity January 2002
11 Madison Avenue (Voluntary)
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(Street) 5. If Amendment,
Date of Original
(Month/Year)
New York, NY 10010
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(City) (State) (Zip) TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF,
OR BENEFICIALLY OWNED
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. Title of Security 2. Trans 3. Transaction 4. Securities Acquired (A)
(Instr. 3) action Code or Disposed of (D)
Date (Instr. 8) (Instr. 3, 4 and 5)
(Month/
Day/
Year)
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Code V Amount (A) or
(D) Price
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Common Stock, par value $.01 per share 1/16/02 J(19) 472,444 D
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Common Stock, par value $.01 per share 1/16/02 J(19) 18,815 D
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Common Stock, par value $.01 per share 1/16/02 J(19) 23,232 D
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Common Stock, par value $.01 per share 1/16/02 J(19) 27,621 D
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Common Stock, par value $.01 per share 1/16/02 J(19) 10,258 D
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Common Stock, par value $.01 per share
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Common Stock, par value $.01 per share 1/16/02 J(19) 7,639 D
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Common Stock, par value $.01 per share 1/16/02 J(19) 1,490 D
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Common Stock, par value $.01 per share 1/16/02 J(19) 2,121 D
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Common Stock, par value $.01 per share
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Common Stock, par value $.01 per share
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Common Stock, par value $.01 per share 1/16/02 J(20) 20,000 A
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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).
PAGE 1 OF 7 PAGES
POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF (Over)
INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND SEC 1474 (3-99)
UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER.
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Common Stock, par value $.01 per share 1/16/02 J(20) 7,500 A
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Common Stock, par value $.01 per share 1/16/02 J(20) 3,750 A
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Common Stock, par value $.01 per share 1/16/02 J(20) 6,250 A
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Common Stock, par value $.01 per share 1/16/02 J(25) 5,205 A
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Common Stock, par value $.01 per share 1/16/02 J(27) 3,384 A
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Common Stock, par value $.01 per share 1/16/02 J(29) 623 A
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Common Stock, par value $.01 per share 1/16/02 J(31) 781 A
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Common Stock, par value $.01 per share 1/16/02 J(33) 372 A
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Common Stock, par value $.01 per share 1/16/02 J(35) 875 A
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Common Stock, par value $.01 per share 1/16/02 J(37) 2 A
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(Print of Type Responses)
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6. Relationship of Reporting person(s) to Issuer
(Check all applicable)
Director X 10% Owner
----- -----
Officer (give Other (Specify
----- -----
title below) below
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7. Individual or Joint/Group Filing (check
Applicable Line)
X Form filed by One Reporting Person
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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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5. Amount of 6. Owner-ship 7. Nature of
Securities Form: Indirect
Beneficially Direct (D) Beneficial
Owned at End or Ownership
of Month Indirect
(I)
(Instr. 3 and 4) (Instr. 4)
(Instr. 4)
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Common Stock, par value $.01 per share 2,394,827 I (1)(12)(15)(17)(18)
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Common Stock, par value $.01 per share 95,373 I (2)(12)(15)(17)(18)
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Common Stock, par value $.01 per share 117,765 I (3)(12)(15)(17)(18)
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Common Stock, par value $.01 per share 140,012 I (4)(13)(15)(17)(18)
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Common Stock, par value $.01 per share 51,996 I (5)(13)(15)(17)(18)
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Common Stock, par value $.01 per share 509,070 I (6)(15)(17)(18)
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Common Stock, par value $.01 per share 38,721 I (7)(12)(15)(17)(18)
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Common Stock, par value $.01 per share 7,552 I (8)(12)(15)(17)(18)
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Common Stock, par value $.01 per share 10,753 I (9)(12)(14)(15)(17)
(18)
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Common Stock, par value $.01 per share 546,211 I (10)(14)(17)(18)
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Common Stock, par value $.01 per share 75,863 I (11)(16)(17)(18)
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Common Stock, par value $.01 per share 20,000 I (18)(21)
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Common Stock, par value $.01 per share 7,500 I (18)(22)
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Common Stock, par value $.01 per share 3,750 I (18)(23)
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Common Stock, par value $.01 per share 6,250 I (18)(24)
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Common Stock, par value $.01 per share 5,205 I (18)(26)
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Common Stock, par value $.01 per share 3,384 I (18)(28)
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Common Stock, par value $.01 per share 623 I (18)(30)
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Common Stock, par value $.01 per share 781 I (18)(32)
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Common Stock, par value $.01 per share 372 I (18)(34)
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Common Stock, par value $.01 per share 875 I (18)(36)
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Common Stock, par value $.01 per share 2 I (18)(38)
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PAGE 2 OF 7 PAGES
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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1. Title of Derivative 2. Conver- 3. Trans 4. Transaction 5. Number of Derivative 6. Date Exercisable and
Security sion or action (Instr. 8) Securities Acquired (A) or Expiration Date
(Instr. 3) or Exercise Date Disposed of (D) (Month/Day/Year)
Price of (Instr. 3, 4 and 5)
Derivative (Month/
Security Day/
Year)
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Date Expiration
Exercisable Date
Code V (A) (D)
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7. Title and Amount of 8. Price of 9. Number of 10. Ownership 11. Nature of
Underlying Securities Derivative Derivative Form of Indirect
(Instr. 3 and 4) Security Securities Derivative Beneficial
(Instr. 5) Beneficially Security; Ownership
Owned at Direct (D) (Instr. 4)
End of or Indirect
Month (I) (Instr. 4)
Instr. 4)
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Title Amount or
Number of
Shares
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Explanation of Responses:
SEE ATTACHMENT A FOR ADDITIONAL FOOTNOTES.
Credit Suisse First Boson, acting solely on
behalf of the Credit Suisse First Boston
business unit
/s/ Louise Guarneri 2/11/02
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By: Louise Guarneri, Director 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 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.
PAGE 3 OF 7 PAGES
Attachment A
Explanation of Responses
(1) These securities are held directly by DLJ Merchant Banking Partners II,
L.P. ("Partners II"), which is a partnership.
(2) These securities are held directly by DLJ Merchant Banking Partners
II-A, L.P. ("Partners II-A"), which is a partnership.
(3) These securities are held directly by DLJ Offshore Partners II, C.V.
("Offshore Partners II"), which is a partnership.
(4) These securities are held directly by DLJ Diversified Partners, L.P.
("Diversified"), which is a partnership.
(5) These securities are held directly by DLJ Diversified Partners-A, L.P.
("Diversified-A"), which is a partnership.
(6) These securities are held directly by DLJMB Funding II, Inc. ("Funding
II"), which is a Delaware corporation.
(7) These securities are held directly by DLJ Millennium Partners, L.P.
("Millennium"), which is a partnership.
(8) These securities are held directly by DLJ Millennium Partners-A, L.P.
("Millennium-A"), which is a partnership.
(9) These securities are held directly by DLJ EAB Partners, L.P. ("EAB"),
which is a partnership.
(10) These securities are held by DLJ First ESC, L.P. ("ESC"), which is a
partnership.
(11) These securities are held directly by UK Investment Plan 1997 Partners
("1997 Partners").
(12) DLJ Merchant Banking II, Inc. ("MB II Inc.") is the Managing General
Partner of each of Partners II, Partners II-A, Millennium and
Millennium-A and Advisory General Partner of Offshore Partners II. In
addition, DLJ Merchant Banking II, LLC ("MB II LLC") is the Associate
General Partner of each of Partners II, Partners II-A, Offshore
Partners II, Millennium, Millennium-A, and EAB. MB II Inc. is also the
Managing Member of MB II LLC.
(13) DLJ Diversified Partners, Inc. ("Diversified Partners") is the General
Partner of each of Diversified and Diversified-A. DLJ Diversified
Associates, L.P. ("Diversified Associates") is the Associate General
Partner of each of Diversified and Diversified-A. Diversified Partners
is also the General Partner of Diversified Associates.
(14) DLJ LBO Plans Management Corp. is the Managing General Partner of EAB
and ESC.
(15) DLJ Capital Investors, Inc. ("DLJCI") is the sole stockholder of each
of MB II Inc., Diversified Partners and Funding II.
PAGE 4 of 7 PAGES
(16) These securities are held indirectly by UK Investment Plan 1997, Inc.
("Plan 1997"), General Partner of 1997 Partners.
(17) Credit Suisse First Boston (USA) Inc. ("CSFB-USA"), a Delaware
corporation formerly named Donaldson, Lufkin & Jenrette, Inc., is the
sole stockholder of DLJCI, DLJ LBO Plans Management Corporation and
Plan 1997.
(18) This Form 4 is being filed by Credit Suisse First Boston (the "Bank"),
a Swiss bank, on behalf of itself and its subsidiaries, to the extent
that they constitute part of the Credit Suisse First Boston business
unit (the "CSFB business unit" or the "Reporting Person"). The CSFB
business unit is engaged in the corporate and investment banking,
trading (equity, fixed income and foreign exchange), private equity
investment and derivatives businesses on a worldwide basis. The Bank
and its subsidiaries engage in other separately managed activities,
most of which constitute the independently operated Credit Suisse Asset
Management business unit. The Credit Suisse Asset Management business
unit provides asset management and investment advisory services to
institutional investors worldwide.
Credit Suisse First Boston, Inc. ("CSFBI"), a Delaware corporation,
owns 100% of the voting stock of CSFB-USA. The Bank owns a majority of
the voting stock, and all of the non-voting stock, of CSFBI. The
ultimate parent company of the Bank and CSFBI, and the direct owner of
the remainder of the voting stock of CSFBI, is Credit Suisse Group, a
corporation formed under the laws of Switzerland ("CSG").
The principal business of CSG is acting as a holding company for a
global financial services group with five distinct specialized business
units that are independently operated. In addition to the two business
units referred to above, CSG and its consolidated subsidiaries (other
than the Bank and its subsidiaries) are comprised of (a) the Credit
Suisse Private Bank business unit that engages in the global private
banking business; (b) one Credit Suisse business unit that engages in
the Swiss domestic banking business and (c) the Winterthur business
unit that engages in the global insurance business. CSG's business
address is Paradeplatz 8, Postfach 1, CH-8070, Zurich, Switzerland.
CSG, for purposes of federal securities laws, may be deemed ultimately
to control the Bank, and the CSFB business unit. CSG, its executive
officers and directors, and its direct and indirect subsidiaries
(including all of the business units except the CSFB business unit),
may beneficially own securities issued by the Issuer or derivative
securities relating thereto, and any such securities are not reported
in this statement. Due to the separate management and independent
operation of its business units, CSG disclaims beneficial ownership of
any such securities beneficially owned by its direct and indirect
subsidiaries, including the Reporting Person. The Reporting Person
disclaims beneficial ownership of any such securities beneficially
owned by CSG and any of CSG's and the Bank's other business units.
The Reporting Person disclaims beneficial ownership of securities held
directly by any entity described herein except with respect to the
Reporting Person's proportionate interest in or ownership of such
entity. The filing of this statement shall not be construed for
purposes of Section 14 of the Securities Exchange Act of 1934, as
amended, as an admission of beneficial ownership of the securities
reported on this statement.
(19) Distribution of securities to partners of the limited partnership on a
pro rata basis.
(20) Pro rata distribution from Partners II, of which the direct holder of
such securities is a partner.
(21) These securities are held directly by WSW 1996 Buyout Fund L.P., which
is a partnership and itself a partner of Partners II.
PAGE 5 of 7 PAGES
(22) These securities are held directly by WSW 1996 Buyout Fund II L.P.,
which is a partnership and itself a partner of Partners II.
(23) These securities are held by WSW 1996 Exchange Fund L.P., which is a
partnership and itself a partner of Partners II.
(24) These securities are held by WSW 1995 Exchange Fund L.P., which is a
partnership and itself a partner of Partners II.
(25) Pro rata distribution of 4,677 shares of Common Stock from Partners II,
of which the direct holder of such Common Stock is a partner; pro rata
distribution of 186 shares of Common Stock from Partners II-A, of which
the direct holder of such Common Stock is a partner; pro rata
distribution of 76 shares of Common Stock from Millenium, of which the
direct holder of such Common Stock is a partner; pro rata distribution
of 15 shares of Common stock from Millenium-A, of which the direct
holder of such Common Stock is a partner; pro rata distribution of 21
shares of Common Stock from EAB; of which the direct holder of such
Common Stock is a partner; and pro rata distribution of 230 shares of
Common Stock from Offshore Partners II, of which the direct holder of
such Common Stock is a partner.
(26) These securities are held directly by MB II LLC.
(27) Pro rata distribution of 1,483 shares of Common Stock from Partners II,
of which the direct holder of such Common Stock is a partner; pro rata
distribution of 3 shares of Common Stock from Partners II-A, of which
the direct holder of such Common Stock is a partner; pro rata
distribution of 704 shares of Common Stock from Millenium, of which the
direct holder of such Common Stock is a partner; pro rata distribution
of 694 shares of Common stock from Millenium-A, of which the direct
holder of such Common Stock is a partner; and pro rata distribution of
500 shares of Common Stock from Offshore Partners II, of which the
direct holder of such Common Stock is a partner.
(28) These securities are held directly by MB II Inc.
(29) Pro rata distribution of 255 shares of Common Stock from Diversified,
of which the direct holder of such Common Stock is a partner; and pro
rata distribution of 368 shares of Common Stock from Diversified-A, of
which the direct holder of such Common Stock is a partner.
(30) These securities are held by DLJ Strategic Partners, L.P., which is a
partnership and itself a partner of Diversified and Diversified-A.
(31) Pro rata distribution of 368 shares of Common Stock from Diversified,
of which the direct holder of such Common Stock is a partner; and pro
rata distribution of 413 shares of Common Stock from Diversified-A, of
which the direct holder of such Common Stock is a partner.
(32) These securities are held directly by Diversified Partners.
(33) Pro rata distribution of 272 shares of Common Stock from Diversified,
of which the direct holder of such Common Stock is a partner; and pro
rata distribution of 100 shares of Common Stock from Diversified-A, of
which the direct holder of such Common Stock is a partner.
(34) These securities are held directly by Diversified Associates.
(35) Pro rata distribution of shares of Common Stock from EAB, of which the
direct holder of such Common Stock is a partner.
PAGE 6 of 7 PAGES
(36) These securities are held directly by DLJ LBO Plans Management Corp.
(37) Pro rata distribution of shares of Common Stock from Offshore Partners
II, of which the direct holder of such Common Stock is a partner.
(38) These securities are held directly by DLJ Offshore Management N.V.,
which is a partner of Offshore Partners II.
PAGE 7 of 7 PAGES