SEC FORM 4 Page 1 of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 301 of 347 SEC Form 4 FORM 4 Check It,,, boo V it longer subject lo 0 Section 16. Forma or FormS chianti:ins may confiners See tine". on Ida) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington. D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Stamm?. Exchange Ad ol 1934. Section 17(a) of the Pubic Uitty Holding Company Act of 1935 or Section 30(h) ol the Investment Company Ad ol 1940 OMB APPROVAL 0118 Number'. Etprel Boman average motion hours mu moons, 3235.0207 February 29. 2011 0.5 1. Name and Address ol Reporting Person* GREENBERG ALAN C 2. Issuer Name and lick., or Trading Symbd BEAR STEARNS COMPANIES INC 5. Rdalionship c4 Repcang Per:anis) to Issuer (Check WI appbeabb) X Cued*. 10% Onner Officer (give fide Other (sootily below) below) 1 BSC ] - Man (Rest) (Middle) CO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3.01M of Earliest Transaction (Lionth'Day)Yead 02/14/2007 4. V Amendment. Dale of Original Filed (MordhiDaylVear) 8. intivickiat or JrnilLSIOup Filing (Check Appltable Line) X Fenn filed by One Repcang Person Form fled by More than One Repcang Person (Street) NEW YORK NY 10179 ICAO (Stale) ROI Table I • Non-Derivative Securities Acquired. Di posed of. or Beneficially Owned 1. TS of Security (Instr. 3) a Transaction Dale (Manihriaylern) 2A. Deemed Pls.:ellen Date. ii any (MOnthDarfear) 3. Transaction Cods (Instr. 8) 4. Securities A au red (A) or Disposed 01 ID (Mae. 3.4 and 4) 5. Amount at Smudges Denelicially Owned Foso i g Reported Trams:fonts) Omar. 3 and 4) 4 Ownership Form: Direct MO or indireci (II (Man 4) 7. Nature of blear/et Beneficial °wieldy Pent, II Dodo V Amourn (id or ID) Prise Table II • Derivative Se uriti a Acquired. Disposed ol. or Beneficially Owned (e g.. puts. cal s. warrant . options. convert) le securities) 1. Title el Dmlvattve Security (ran. 3) 2. Conversion or Exorcise Price of Derivabve Security 3. Transaction Date (MonthDay.Yea) 3A. Deemed Evocation Dale. II any Odontheay.Yeari 4. Transacilon Code (Instr. 9) S. Number of Derivative Securities Acquired (Alm Disposed W(0) Warn. 3.4 and 5) Cs Dale Exercisable and Expration Dale (Momhtliarf oar) 7. TRW and Amount of Securities Underlying Derivative Semidry (Instr. 3 and 4) S. Price of Dedvanve Sectwity Mitt 5) 9. Number of derivative Securities Beneficially Owned Fosovnng Reported Transaction (s)(Instt. 4) 10. ownership Form: Direct to) or indirect (I) (Maw. 4) ii . nature or Marcel Beneficial Ownership (Instr.4i Cods 0 Ski (0) Dais lianclsablit Expiration Orias Tide Amount or number ol Shares CAP i Mt, (2001) Ill l i 02f143007 A (2 i 1.818 iinotzooa iummos COMM011 Snick 1,818 So 1.818 D CAP Uinta (20021 III 02t14/2007 A ii 2 I 6.232 11003007 1181112807 Common slack 6.252 so 99.293 D CAP trims (2003) III 0M4a007 A (21 6.194 1100/2008 1181112001 Common Siock 6.194 SO 98.379 D CAP thins (20041 III 02/14/2007 A ii 2 I 3.749 II/384200 Ilf3W200? Common siock 3.749 so 39.343 D CAP Units (2005) III OV143007 (2 1 (A'1 3.268 1100/2010 118182010 Common Stock 3.268 SO 31.9W D lbgslanalle of Responses: I. Thu type o defaults< mangy i)pitally &es an have a comenaon or exercise price 2, CAP Cent mined to Reponum Person's amnia( faint 2114(071 based on Oncal Vex 2006 Not Umtata Adjustments pursuum to the Inners Cumuli Accumulation Plan lot Senior Masupos Direviors ICAP Plan): exempt meter Rule 16b.1 Remarks: Oreenbe 02/15/2007 Signature el Regaling Person Dale Reminder: Report on a separate line for each class of securities beraficialy owned directly or indirectly. • If the lam is lied by more than one reporting person. see Instruchon 4 (b)(v). Intentional misstatements or omissions ol facts constitute Federal Criminal Violabons See 18 U.S.C. 1001 and 15 U.S.C. 7811(a). Note: File three copies of ths Form. one of whch must be manually signed. If space is insulficient. see Instructing tiler procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. hap://www.sec.gov/Archives/edgar/data/777001/000077700107000016/xs1F345X02Jgre4... 10/30/2008 EFTA00317014

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 302 of 347 SEC Form 4 FORM 4 Cheek this box I nebn9er subject te 0 Section It Forman FormS enlist:pas mar:online. See insnxtion UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington. D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant le Section 16(a) ci the Securities Exchange Aa el 1934. Beefier, 17(a) of the Pubic WIN Holding Company Ad of 1935 or Section 30(h) el me Investment Company Act el 1940 0188 APPROVAL OBBNwhoer 32350207 FobrUary 28. 2011 Ernmaled average burden hours p.. reepinse 0.5 I. Name and Address el Reporting Person* GREENBERG ALAN C 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC 5. Relationship of Rea:tang Person(s) to Issuer (Cheat all tcp1C3b/e) X DreClor 10% Owner Officer (give title Other (Racily below) below) 1 BSC ] - 0.ao0 (Fest) (Middle) CO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Dale el Earliest Transaction (Llonth'DaylYear) 03/22/2007 4.1 Amendment. Date ci Original Filed (MontivDaynearl 8. Incivicbat or JOillIGIOup Filing (Check Applicable Line) X Form Sled by One Rey:tang Person Form fled by More man One Repaling Person I MM0 NEW YORK NY 10179 (MN (Stale) (Zpl Table I - Non-Derivative Securities Acquired. Di posed of or Beneficially Owned 1. Title el Security (Instr. 3) 1. Transaction Date (ifOnllythrydearl 2s Deemed Execution Dale, if any (MOrdhOrlyNeer) 3. Transit lion Code (Mew. 0) 4. Securities Ace end IA) ce Deformed Of ID) Onstr. 3, 4 and 5) S. Amount of Securities Enna'ash Owned Following Reported TransactiOn(el (Inet,. 3 and 4) O. Ownership Pons Direct ID) a indirect II) (Inat,. 4) 7. Nature of Indirect Beneficial Owners,* jinni. 4i Cede V known (A) a ID) Price Common Stock 03/22+2007 M (11 1.818 A 80 16.818 I) Common Stock 03/21/2007 S 1.818 D 5151.26 15.000 I) Table II • Derivative Se uriti a Ara Bed. Dis used e . or Beneficially Owned (e.g.. puts. ea s. warrant options. convert ble securities) 1. This 01 Derivative Security (Instr. 3) 2. Conversion • Exercise Price of Derived" Security 3. Transaction Date (ldcmOnDayYtiar) 9A. Deemed Execution Oa*. it any MfontlyDaydearl 4. Transaction Code Oink. 8) 5. Number of Derivative Semoriliee Acquired IA) r Disposed off ) (Instr. 3.4 and 5) 4. Dale Erin:bible and Expiration Date (MontiaDaylear) 7. m0. nod Amount of securities UnderdM9 Derivative Security (inalr. 3 and 4) 4. Price of Derivative Swain (Instr. 5) 9. Number of derivative Securilies Beneficially Owned Following Reported Transaction (signed 4) 10. Ownership Form: Direct ID) or Inbred 0) (nor- 4) 11. Nature of Milken. Beneficial Ownerslip (Instr. Ii Code V IA) (Dl Dale Exercisable Excavation Dale Title Arnourd or Numbs oi Shares CAP Brum (2001 i OVELI2007 NI it, 1.1118 11/31V2006 111.k0f2006 Conroon . Mock IBIS pr D Explanation el Responses: I Settirmmt n CAP Coil. nJ dionibulion of common star t to Reprints Person pursuant no CAP Plan. ettmpt under Rule Ith..1 2 TM. type o &mauve in wily in:molly does rim haver c011VetA1011 or cyanic price Remarks: la Greenberg, Alan C. 03/23/2007 Signature of Reporting Person Data Reminder: Report on a separate line lor each class ot securities beneficially owned Meaty or inarectly. ' If the lam is lied by more man one reportng person. see Instniction 4 (b)(v). Intentional misstatements or omissions el facts constiase Federal Criminal Vedatons See 18 U.S.C. 1001 and 15 U.S.C. 78Igat Note: File three tcpies of ms Form. one of which must be manually signed. If space is insufficient. see Instruction 6 for procedure. Persons who respond to the collectkm of Information contained In this form are not required to respond unless the lam displays a currently valid ORS Number. http://www.see.gov/Arehives/edgar/data/777001/000077700107000044/xs1F345X02Jgre4... 12/16/2008 EFTA00317015

SEC FORM 4 Page 1 of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27709 Page 303 of 347 SEC Form 4 FORM 4 Oied Pis ion dnalonger sottect 0 Seek. i8. Fam 4 a Form 5 etledions may ccrentre. See habudian UNITED STATES SECURITIES AND EXCHANGE COMMISSION washnson. O.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 18(a) of the Securities Exchange Ad ol 1934, Section 17(a) of the Public Utility Holdng Company Ad el 1935 or Seaman 30(h) of the Imestrnent Company Ad ol 1940 OMB APPROVAL OM Humber: tetras Estimated average When hours per restore. 32360287 February 28. 2011 0.5 1. Name and Address ol Reverting POISCfc GREENBERG ALAN C a Issuer Name and Ticker or Tradrq Symbe4 BEAR STEARNS COMPANIES INC S. Relationshp of Reporting Perron(s) to Issuer (Check al amicable) X Oiredor 10% Orme, °nicer (give title Other (specify below) below) i BSC I ham) (hird) (Middle) CIO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Data el Ended Transaction (MardIVDayffeag 12/21/2007 4. If Amendment. Dale of Original Filed (MordIVDayffear) 6. Individual a JointOroup fling (Check Applicable Line) X Fenn lied by One Reporting Person Fenn filed by More than One Reporting Person (Skeet) NEW YORK NY 10179 (City) (Stab) PP) Table I - Non-Derivative Securities Acquired. Disposed ol. or Benefsciall Owned 1. Title of Security (Instr. 3) 2. Transaction Date itionlimOrrylleari 2A. Deemed Execution Date, berry NkrateDayleirl 3. Treneaction Code Pink. 4) 4. Securities Acquired (A) or Disposed 01(01 Biwa. S. 4 end SI S. Amami of Securities Beneficially Owned F II imp 4. gernenthlp Form: Direct (DI or indirect II) (lock 4) 7. Nature clingier, Beee4lcisi OMP•f a, Omer. flt Code V Amount 01 or co) Hoe Reported Transients) pniti. 3 end 41 Common Stock 12212007 31 . I I 99.293 A SO 114.293 I) Common Stock 12/21/2O07 s 99.293 D $89.01 15.000 I) Table II - Derivative Securities Acq fired. Disposed o or Beneficially Owned fa g.. puts. calls. warrants options. convert ble securities) I. We of DerIvative Security (Instr. Si 2. Converefen or Exercise Price el Derivative Security S.Transaction Date IllonthtlayTearl a Deemed Execution Oeln irony (MendiDaY1Trern A Transaction Cale (Men. 4) S. Humber of Der votive SecuMies Ac awed (a) r Diapered or (D) On) r. 3. 4 and 5) 6. Data Exorciser* and Expiration Date (McnikOWYearl 7. Tide anti Amount of Decals., If odertnnil Derivative Steamy (Instr.3 and 4) B. Price of Ihrivalive Security Rimy. Si 9. Dunbar of *Avenge Securities Sentliciely Orrnel Folkniong Repartee Transaction co pew. 4) le. Onnerehip Form: Oaect (DI or Indirect DI Dark 4) II. Nabs* of Indirect Beneficial Ownership Poor. 4) Code V IA) ID) Data Riollisal• Expiration Data Title Amount Or Number of Shwas CAP Vans (.2002) t I t II/21421)07 AI . I ) 99.293 I IfJCV2007 IWO/2007 Common Stock 99.293 to o Explanation or Responses: I Seekonk of CAP COOS and dionletwin of contemn nal to Itcpotnap Pawn paleam to CAP Fla. exempt ender Folk 166.3. 2 This Inv of dalYJIIVC $0:11O1) typicallydors ace have • confernon or eXCII:DV ptia Remarks: /s/ Greenberg. Alan C. 12212(%)7 •• Signature ol Reporting Person Dale Reminder: Report on a separate Inc lot each class ol securities beneficially owned d ea," or indrectty. • If the term is lied by more than one reportng person. see Instruction 4 (b)(v). Intentional misstatements or omissions ol facts constitute Federal Gimbal Violations See 18 U.S.C. 1001 and 15 U.S.C. Ml(e). Note: File three copies ol this Form. one ol witch must be manually signed. II space is insufficient. see Instruction 61a procedure. Persons who respond to the collection of Inkumaitan containers In this form are not required to respond unless the Seim displays a currently valid OMB Number. hup://www.sec.gov/Archives/edgar/data/777001/000077700107000131/xs1F345X02Jgre5... 12/16/2008 EFTA00317016

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 304 of 347 SEC Form 4 FORM 4 Cheek this box F nokomer subject to 0 Section 18. Feeder Form6 *Soren, may confinue See Inovaon lib) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington. D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Aa x11934. Section 17(a) of the Pubic thirty Holding Company Act of 1935 or Section 30(h) el me Investment Company Act el 1940 OMB APPROVAL OMBNenote Erpi Estimated average burden hours per reeporme 32330207 February 29. 2011 0.5 1. Name and Address el Reporling Person* GREENBERG ALAN C 2. Issuer Name and Ticker or Trading Synibel BEAR STEARNS COMPANIES INC 5. Relationship of Repcong Person(s) to Issuer (Cheek all asplicabre) X Doctor 10% Owner °Meer (give title 011.4, (Raecily beiaw) below) 1 BSC ] (ISO (Rag pAielile) CO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Dale of Earliest Transaction (Ltonth'DaylYear) 01.09/2008 4. V Amendment. Dale of Original Flied (MonthiDay1Yearl 8. Inavicba or deiriliGIOup Filing (Cheek Appltable Line) X Form filed by One Repaong Person Form Ned by More man One Reporting Person (Strew) NEW YORK NY 10179 (City) (Stale) itpl Table I • Non-Derivative Securities Acquired. Di posed of. or Beneficially Owned 1. Tee of Security (Instr. 3) a Transaction Dale (.1onlhDaylese) 26. Deemed Execution Date. it any IfACellytarfeen 3. Transaction Code (Instr. 9) 4. Securities A rau red (A) or Disposed 01 ID (Mob. 3.4 and 5) 5. Amount of Securities Benelicially Owned Fob 1 g Ripened Transactionts) greltr. 3 and al 6 Ownership Form: Direct (0) or indirect (II (Instr 4) 7. Nature of Indirect Beneficial Owner stye trnso II Code V Amount (A) or (0) Prim Table II - Derivative Securili a Acquired. Disposed ol. or Beneficially Owned (e.g.• puts, cal s. warrant . options. converti le securities) I. Title or Derivative Security (Instr. 31 2. Conversion or Exercise Price of Derivative Security 3. Transaction Dale Month Day Year) 3A. Deemed Execution Date. it any (Month Day Tian 4. Transaction Code (nStr. 8) S. Number of Dori alive Seca Ines ACM, red IA) Of Disposed MID but,. 3.4 end I 6. Date Exercisable and Expiranon Date (Mcentru)ayNear) 7. Title and Amount of Securities Underlying Derivative Security P.P. 3 and 4) S. Price at Derivative Secwity (Mgt 5) 9. Number of doings. Securnies soncoasity Owned Fomenting Reported Transaction Is/(Inite. 4) W. ownensNp Form: Dem ID) or indirect (I) Drew. 4) I1. Range of Indirect Benedicial OvinersMp (Instr. 41 Cede V (A) 10) Dale Exercisable Expiration Diee Title Amount C. Number 01 Sure, CAP them (20021 < I e 01109/2008 A I 2 i 6R) on 403 aSS 115 I IfaiV:o s; 118441/07 Common Stock 680 SO dace I r I IfaiV:o o.. I umr-ing Common Stalk 673 so *soil o CAP Unto (2003) i 1 I 01/09/2008 A .21 CAP U1Y1s (20041 III 01/09/2008 A I 2 i I inomoo9 a umr-ow Common Stock 408 SO 39.933 D CAP Uwe (2003) ill 010)9/2(088 AI r 2 1 mono lo itiSon.M 0 Common S ock 355 *0 32.236 D CAP Unto (2000 it I i 010)9/208 A r 2r II/30/2011 II/304011 Common Stock 315 SO 46.362 D Explanation of Responses: I. Thu type el &mauve >minty typicallydam not haw a conversion or excreta* mice 2 CAP Unpin (edited to Ray:ening Pgrson's account On of UsAtra)bused on Pascal Year WO Na Earnings Adjustments pursuam tote liseers Capital Ammulnion Plan for Senior Managang Directors iCAP Plan). cumin under Rule 16b-3. Remarks: is! Greenberg. Alan C. 01/09/2008 Signature of Reporting Person Date Reminder: Report on a separate line tor each class of securities tanolicially owned areand or indirectly. • If the lam is lied by more man one reporting person. see Instructon 4 (b)(v). " InteMional misslalernerds or omissions 01 feels eenslilule Federal Criminal Veterans See 18 U.S.C. 1001 and 15 U.S.C. 788(a). Note: Fite three copies of this Form. one of which must be manually sane]. If spaces insulficient see Instruerico 6 for procedure. Persons who respond to the collection of Int emotion contained in this form are not required to respond unless the font, displays a currently valid OHS Number. http://www.see.gov/Arehives/edgar/data/777001/000077700108000006/xs1F345X02Jgre5... 12/16/2008 EFTA00317017

FORM tise Check this box if no onger subject to Section 16 Form 4 or Form 5 obligations may continue. See Instruction 1(b). 1 .08-cvNifiregli liessgeekwiEsusitweifik Nefge 305 daqppRovAL COMMISSION OMB Number: 3235.0287 Expires: January 31, 2008 Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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 Estimated average burden hours per response... 0.5 I. Name and Address of Reporting Person • MOLINARO SAMUEL L JR 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC [ BSC ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer (give title below) Other (specify (Last) (First) (Middle) CIO BEAR, STEARNS & CO. INC., 383 MADISON AVENUE 3. Date of Earliest Transaction (MM/DDNYVY) 12/19/2005 _ _ below) EVP/CFO (Street) NEW YORK, NY 10179 (City) (Slate) (Zip) 4. If Amendment, Date Original Filed (MWDDNYYY) 6. Individual or Joint/Group Filing (Check Applicable Line) _ X _ Form filed by One Reporting Person Form filed by Mott than One Reporting Person Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned I.Tide of Security (Instr. 3) 2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code Muir. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3.4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (lnstr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect a) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock 12(19/2005 m t I) 56123 A SO 66427.00 D Common Stock 12/19/2005 D 41123 D $11622 25304.00 D Common Stock 1211.00 I By ESOP Common Stock 13956.00 I Joint with Table II - Derivative Securities Beneficially Owned e.g. , puts, calls, warrants, options convertible secunties) I. Tide of Derivate Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A Deemed Execution Date. if any 4. Trans. Code (lnstr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Ins r. 3.4 and 5) 6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security (hum 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Repotted Transaction IN) (Instr. 4) 10. Ownership Form of Derivative Security: Direct CD) or Indirect a) (lnstr. 4) II. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares CAP Units (2000) (21 12//9/2005 51 in 56123 11/30/2005 11/30/2005 Common Stock 56123.00 50 0.00 I) Explanation of Responses: ( I) Settlement of CAP Units and distribution of common stock to Reporting Person pursuant to CAP Plan; exempt under Rule 16b-3. ( 2) This type of derivative security typically does not have a conversion or exercise price Reporting Owners rtherl Reporting Owner Name / Address ID Relationships irecto110% OwnelOfficer EFTA00317018

383 MADISON AVENUE NEW YORK, NY 10179 NIOLINARO SATteiggiAlii8-CV 279 ID .1O BEAR, STEARNS & CO. INC RWS Cocument 10 Filed 02/27/09 Page 306 of 347 EVP/CF( Signatures is/ Molinaro Jr., Samuel L. 12/20/201)5 •• Signature of Reporting Penton Date 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). ▪ 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. Persons who 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. EFTA00317019

SEC FORM 4 Page I of Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 307 of 347 SEC Form 4 FORM 4 Check Ins bar dnalonger stittecno 0 Settee le. Forma a Fern 5 cbtbdions may (menthe See Warden to). UNITED STATES SECURITIES AND EXCHANGE COMMISSION washnson. O.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant Section 18(a) of the Seourbes Exchange Ad ol 1934, Section 17(a) of the Public tidily Holdng Company Ad of 1935 er Section 30th) of the Investment Company Ad ol 1940 OMB APPROVAL awe Nuretortr: Eapres ESIMatOO cottage burtien hours pet retireffle 32350287 February 28. 2011 0.5 1. Name and AdSess el Repotting Pefsell' MOLINARO SAMUEL L JR 2 Issuer Name and Ticker or Tf adrg Symbol BEAR STEARNS COMPANIES INC 5. Relalionshp of Reporting Perron(s) to Issuer (Check al appleable) [erector 10% Orme, X 011iCef (give lab Other (specify bdoW) below) EVWCF0 f BSC 1 Man (MS) (Middle) CO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Dale of Eat' Transaction (Mordh'DayNear) 12/22/2005 4. II Arnenclinent. Dale of Original Filed (MorthitawYear) 6. IndMdual or JointGroup Fling (Check Applicable Line) X Form tiled by One Reporting Person Form filed by More than One Reporting Person (Street) NEW YORK NY 10179 (City) (Stale) (Zp) Table I - Non-Derivative Societies Acquired. Disposed of. or Etenelkially Owned 1. Title of Security (Instr. 3) 8. Transaction Date (Mwohtiay,Teer) SA Cfmand Execution Delia UMW GaintriDayiermr) 3. Transaction Code (Instr. a) 4. gratuities Acquired (AI or Disposed Of (0)(Instr. 3.4 and 5) 5. Anyone of Securities Iterwlicially Owned F Ito Mg O. Oannehlp Form Deed (D1 or Indirect 0) (Instr. 4) 7. Nature of Indirect Berwricin Ownershp Meer. 41 Code V Amount le) or KR Prior Reported Trenrection(41 (MM. 3 and 4) Common Stock 12/21/2005 b V 2350 D $0 11.206 I Joint with wife Common Stock 25.309 1) Common Stock 1.211 1 By ESOP Table II • Derivative Securities Aoq Bed. Disposed ol. or Beneficially Owned (e g.. puts, calls. warrants options. convertible securities) I. Tale of Derlyalive Security (Instr. 3) 2. Comention or Exercise Price ol Derhative Stonily 3. Transaction Dale IllonthOsyNeer) 3A- Deemed Execution Dear. deny (MonthDaylw) 4 Transaction Code (Instr. /0 5. Number of Derivative Securities Acquired IS) or Disposed 00(D) OnStf. 3 4 one 5) 8. Date Exercisable and Expiration Date damithtwy.Teml 7. Tide and Amount of Sec...item UncionYng Derivative Security (Instr. 3 and 4) 8. Price ol Derivative Security (Imr. 5) 9. Humber of denazifies Securities tiendkially Owned resorting Repartee Transaction (5) flaw. 4) 10. Oamorrhip Form: Dined (D) or Indirect 01 Pert 4) It. Naive of Indirect Semi kin Ownershc Omar. It code r (A) (D) Dom Itimmisoble Expiration Dow Tido Amount or Mamba at Sham CAP Vans 12005) i i i 12/22/2005 A r2) 54.313 I ',Jaw it) I UNNYOU "3" T n s40: 54.313 $1165 34.3” r. Earp Stock Option ITU to Buy) St les II/22/2005 A 33.534 12/22/208 12/22/2015 Common Stmk 35.534 $0 25.334 Explanation of Responses: I. ibis type d dall.4111.0 so; my typicallydoes sot have • COMenion orcafe:rue ploy 2. MIMS of oropenumon and credit to Resonate Pence's Account (as of 12/224)51 presume to the CannesCapital Arruinulorfra Plan for Smut Managing (Medan iCAP Plot% exempt under Rule 16h. Remarks: IsJ Molinaro Jr., Samuel L. 12,23/2005 •• Sgnalure of Reporting Person Dale Reminds.: Report on a separate lne or each class of securities beneficially owned d ecuir or indirectly. If the lam is libd by more than one reportng person. see Instruclice 4 82)(4 Intentional rnisstalernerds or omissions ol (ads oansteute Federal Criminal Violations Sae 18 U.S.C. 1001 and 15 U.S.C. 780(a). Note: File three copies of this Form one ol whch must be manually sicced. II space is insufficient. see IreArucbon 6 kr procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0140 Number. hup://idea.sec.gov/Archives/edgar/data/777001/000077700105000131/xs1F345X02/mol38... 2/26/2009 EFTA00317020

08-cvNiAregfAilitoyfirectRINEsFAMMERNeft9e 308 akit4,113PROVAL FORM tease Check this box if no onger subject to Section 16 Form 4 or Form 5 obligations may continue. See Instruction 1(b). COMMISSION OMB Number: 3235.0287 Expires: January 31, 2008 Washington, D.C. 20549 Estimated average burden hours per response... 0.5 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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 I. Name and Address of Reporting Person * MOLINARO SAMUEL L JR 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC [ BSC ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer (give title below) Other (specify (Last) (First) (Middle) C/O BEAR, STEARNS & CO. C., 383 MADISON AVENUE 3. Date of Earliest Transaction attaimivvro 2/8/2006 _ _ below) EVP/CFO (Street) EW YORK, NY 10179 (City) (State) (tip) 4. If Amendment, Date Original Filed (MWDDNYYY) 6. Individual or Joint/Group Filing (Check Applicable Line) _ X _ Form filed by One Reporting Person _ Form filed by Mom than One Repoiting Person Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned I.Title of Security (Instr. 3) 2 Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code (Instr. 8) 4. Securities Acquired (AI or Disposed of (D) (Instr. 3.4 an 5) 5. Amount of Securities Beneficially Owned Following Reported Tramaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (1) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options convertible secunties) I. Tide of Derivate Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date. if any 4. Trans. Code (Instr. 8) 5. Ntunber of Derivative Securities Acquired (A) or Disposed of (II) (Instr. 3.4 and 5) 6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Insu. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction O.)(Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) II. Nature of Indirect Beneficial Ownership (Instr. 41 Code V (A) (D) Date .. Exercisable Expiration Date Title Amount or Number of Shares CAP Units (2000) 01 2/8.(2006 A 121 3557 11/3012005 II/30/2005 Common Stock 3557.00 SO 3557.00 D CAP Units (2001) 2/8(2006 A (21 1324 11/30/2006 11/3W2006 Common Stock 1324.00 SO 22063.00 D CAP Units (2002) Ill 2002006 A (21 3681 11/30/2007 I V30/2007 Common Stock 3681.041 50 61345.00 I) CAP Units (2003) (I, 2002006 A (21 4210 11/30/2008 11/30/2008 Common Stock 4210.00 50 70155.00 I) CAP Units (2004) (1) 2/8/2006 A (21 3084 11/30/2009 11130/2009 Common Stock 3086.00 50 51420.00 D Explanation of Responses: ( I) This type of derivative security typically does not have a conversion or exercise price ( 2) CAP Units credited to Reporting Person's account (as of 2/8/06) based on Fiscal Year 2005 Net Earnings Adjustments pursuant to the Issuer's Capital Accumulation Plan for Senior Managing Directors (CAP Plan); exempt under Rule 16b-3. Reporting Owners I Reporting Owner Name / Address Relationships I EFTA00317021

ease tud-cv-pyri • ip ,.,,,lrghfgtenemg MOLINARO SAMUEL L JR GO BEAR, STEARNS & CO. INC. 383 MADISON AVENUE NEW YORK, NY 10179 EVP/CFO Signatures /s/ Molinaro Jr., Samuel L. •• Signature of Reponing PCIS011 2/9/2006 Date Filed 02/27/09 Page 309 of 347 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). lot 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. Persons who 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. EFTA00317022

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02,27709 Page 310 of 347 SEC Form 4 FORM 4 Owek yes bar fire longer NOM to 0 Satan) Forma a Form 5 obledionsrmy menus See eolnichm ion. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington. D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuanl to Section 18(a) of the Securbes Exchange Ad ol 1931, Seden 1706 of the Public Utility Hctleing Company Ad cd 1935 or Staten 30(h) of the Investment Company Ad ol 1940 OMB APPROVAL OMB tio(OPOr: Entree ESIIngtOOPoOraga burtlOn howl pet 44I4ORIO 32350287 February 28. 2011 0.5 1. Name and Address ol Reporting Person. MOLINARO SAMUEL L JR 2 Issuer Name and Ticker or Tradrg Symbol BEAR STEARNS COMPANIES INC 5. Retalicnship of Reporting Person(s) to Issuer (Check all arplicable) Director 10% Orme, X Officer (give lille Other (specify below) below) EVP/CF0 f BSC 1 (La-40 PIO (Middle) CIO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 1 Dale ol Salter Transaction (Mordh'Dayffear) 12/I 8f2006 4. II Arnendmerd. Dale of Original Filed (MordlatrawYear) 6. IndMdual or JointGroup Fling (Check Applicable Linel X Form filed by One Reporting Parson RIM filed by More than One Reporting Person • (Street) NEW YORK NY 10179 (City) (Stale) alp' Table I' Non-Derivative Securities Acquired. Disposed et. or Beneficially Owned 1. Title of Security (Instr. 3) 2. Transaction Dais (MonthOsYNeari 2A. Deemed Ere:rke Date, I( soy IMenthOarlirerl 3. Trensaction Cede On*. ll) 4. Securities Acquired la) or Diseased 01 (DI (Instr. 3.4 and 5) 5. Amount el Seemlier Beneficially Owned Following Reported Transadients) (Instr.] one II 4. Ownerealp Form: Direct (0) or Waren (linnet. 41 7. Robot ell...deed Benericin Ownership Onstr. it Cede V Armed (A) or (DI Nos Common Stock 12/1812(106 M ' " 22.062 A 50 47,366 I) 12/1812006 6 9.344 D 5164.68 38.022 I) Common Stock Common Stock 1.211 1 By ESOP Common Stock 11.206 1 Joint with wife Table II . Derivative Securities AN fired. Disposed ol. or Beneficially Owned (e.g.. puts. calls. warrants. options. convertible securities) I. TRW of Owlvethe Security Onslr. 3) 2. comenaan or Exercise Prior el Derivative Securily 3. Transaction Dole (llenththryNear) 3/1 Deemed EXOCO50/1 Dab>. irony (MentuDayTear) t TIMIS:588On Cede (Inst. a) 5. Number a Ornivailve Steamier Accnintd IA) or Disposed al (DI Onst 3.4 ono 5) 6. Dale Eller CIS OD* and Explia4100 DUO (allonihOarrearl 7.7154 and Amount Ot SOOMPC4 Undort).9 Derivelve SinuMy (Instr.3 and 4) 8. PIRO 01 DeflvatIVO Security (na. 5) 9. tkpoOof 04 derivative Securities Beneficlally Owned Following Reported Transaction (1)01411. 4) 10. OsnlenAlp Form Direct (D) to hulked (II (Indy 41 II. Noose Dl IndlIOCI Ramekin Ownership Omer. It Code V IA) ID) Dale Exercisatio EXplratIOn Dale Iltlo Meow a HuMbOt a Slain CAP Units (210 , a , 12/18/21/06 NI , , , 22X162 I 101.VL‘Kil. I I i 4.1.Z0.16 t ..._• ton . htddl. 22 • 062 to i Explanation of Responses: I. Sark-nada of CAP Outs and disinhonon of common stock to Ropothod PC1,011 pursuant to CAP Ph*. cxcmix wider Rate I 6h.1 2 This nyc 01 den same 50:0111y typically cl*e ex Nye 4Ponvenian or exeldoe puce Remarks: /5/ Molinaro Jr.. Samuel L. 12/19/2(816 '• Sgnalure of Reporting Person Dale Reminder: Report on a separate Iine her each class al securities beneficially owned d ectlf or indirectly. ' B the term is lied by more than one mooring person. see Instruclicn 4 (b)(v). " Intentional rrasstalerner4s or omissions ol fads constaute Federal Cannel violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form. one ol which must be manually signed. II space is insullicient. see Instruction 611 procedure. Persons who respond to the collection of Information contained In this form are not required to respond unless the form displays a currently valid OMB Number. http://www.sec.gov/Archives/edgar/data/777001/000077700106000135/xs1F345X02Jmol... 10/29/2008 EFTA00317023

SEC FORM 4 Page 1 of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 311 of 347 SEC Form 4 FORM 4 Check this box if oolongs Wheel 0 10 Section 16. Form 4 or EOM) 5 *Patricia may commix, See inktruclion 10h. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Waihngren. D C 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP fl ed pursuant to Section 16(a) of the Securilies Exchange Act of 1934. Section 17(a) of the Pubic Utility Hording Company Act of 1915 or Section 30(h) of the kwestment Company Ad of 1940 OMB APPROVAL OMB Plumbic 32350287 Drum: February 211 20m Ethmatal average burclan Paiute per 0.5 response • 1. Name and Address Cl Repotting Pinter, MOLINARO SAMUEL L JR 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC I BSC I 5. Relationship of Repotting Persons) to Issuer (Check al appliCable) Deector 10% Owner X Officer (give die Other (specify below) below) EVP/CFO (Last) (Fad) (Middle) C/O BEAR. STEARNS & CO. INC. 383 MADISON AVENUE (Steel) NEW YORK NY 10179 3. Date Cl Eadiest Transaction (kioninmaynear) 12/2212006 4. It Areellektlerd. Dale of Original Filed (1.4onlh.Dayfireati 6. Individual or JOIIWGIOUD Filing (Cheek Appielible Line) X Form filed by One Repairing Person Form filed by Mote lhan One Reporling Person (City) (Slate) (Zvi Table I - Non-D I ivalive Securities Acquired. Disposed ol. or Beneficially Owned 1.71de of Security (Instr. 3) TranseCtiOn Dale (Montherf/Yeat) 2a- Deemed Execution Date. Irony (MenikDayiThel) 3. Transaction COS °nor. 6) 4. Securires Acquired (A) or Disposed 01 (0) (Instr.3.4 ands) 5. Atnouni of Secuthies Beneficially Owned F Hawing De904100 Transaction(*) (Instr.] and 4) 6. Ownership Form: 0-eel (0) or trld.reer ill ilovir 4) 7. Nature of Indirect Beneficial Ownership onwr. CI Code V Arnaud (A) or ID) Price Common Stock 12/22/2006 0 V 1.250 f) 30 36.772 U Common Stock 12/22/2006 0 V 1.248 I) 30 35.524 U Common Stock 1.211 I 13y ESOP Common Stock 11.206 I Joint with wife Table II - Derivative Sew tiles Acquired. Disposed of. or Beneficially Owned (e. .. puts. calls. warrants. options. convertible se unities) I. Title ot Derivative Security (Instr. 3) 2 Conversion or Exercise Priced Derivative Security 3. Transaction Dole thaanthiDayvear) 34. Deemed Execution Date. deny (Month.DatTear) 4. Transaction Code tinstr. 5) 5. Number of Denvative Samuel.* Acq red IA) 01 Disposed el (13 (Instr. 3.4 and 5) 6. Date Exercisable and Expiration Dale itilonthearthar) T. Title and Amount 01 Securities Underlying Derivative Security (Instr. 3 and 4) a. Price of Derivative Security (Instr. 5) 9. Number ot derivative Securities Beneficially Owned Following Reported Transaction (a) limb% 4) M. Ownership Form: Direct (El) Of Indirect 01(netr. 4) It Nature Of Indirect Beneficial Ownership (Instr.4) Code V (A) (D) Dale Exercisable Expiration Date Tit. Amount or Number of Snares Explanation of Responses: Remarks: 1st Molinaro Jr., Samuel L. 12126/2006 signature 01 Reporting Person Dale Reminder: Report on a separate line for each that of securities beneficialy owned dket•thr or Indlredly. • 11 the in is fled by more than one repotting person. see insItucliOn 4 (b)(v). • intenlional misstatements or omissions of fads othstkule Federal Criminal Vitiations See 18 U.S.C. 1001 and 15 U.S.C. 7811(a). Note: Fie three copies of this Form. one of which must be manually signed. II space is knurl 'tient. see Instruction 6 ler procedure. Persons who respond 10 the collection of Information contained In this form are not required to respond unless the form displays a currently valid OMB Number. hup://www.see.gov/Arehives/edgar/data/777001/000077700106000155/xsIF345X02Jmol... 10/30/2008 EFTA00317024

SEC FORM 4 Page 1 of Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 312 of 347 SEC Form 4 FORM 4 Check this box y ne longer subject lo Washinglen. D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB Number 3235.0207 FObruary 28. Enarel 2011 Section It Forma or FormS EillnialOCI average bolden 0 otegalims may continue 51fe Infewlf on lib) Filed pursuant to Seclion 16(a) of the Securities Exchange Act of 1934. Seeder, 17(a) of the Pubic Lkitty Holding Company Acl of 1935 or Section *h) el the Investment Company Act el 1940 hem po. mesons 0.5 1. Name and Address of Reporling Person. MOLINARO SAMUEL L JR 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC 5. Relationship of Rept:rang Person(s) to Issuer (Check all acplicab/e) Dreclor 10% Owner X Weer (give lisle Other (*.city below) below) EVP/CFO 1 BSC ] — PM) (Fast) (Middle) CO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Oahe of Earliest Transaction (MordiutayNear) 03/2212007 4. 1 Amendment. Date of Original Filed (Mon th'DayNear) 8. Individual or JoirdiGroup Fding (Cheek Applicable Line) X Farm Sled by One Rept:ding Person Font fled by More Man One Repoang Person (Street) NEW YORK NY 10179 (City) (Male) IZPI Table I . Non-Derivative Securities Acquired. Di posed of. or Beneficially Owned 1. Tide el Security (Instr. 3) . Transaction One Imentatlayrrear) 2.A. Deemed Execution Date, easy (MonthDayNeor) S. Trans. inn Code (naw. 0) 4. Securities Acquired IN or Disposed 01(0)(Instr S. 4 art 5) 5. Amount of Securities Beneficially Owned FolloMne Reported Transaction(*) (Instr. 3 and 4) B. Ownership Form: Direct (DI or Wired 0) (Instr. 4) 7. Nature of Snared Benet 'dot Ownership (IrwIr. It Code V Amman (A) or ID) Nee Common Stock 0322+2007 M i i i 1482 A SO 37.006 I) Common Stock 03/22+2007 S 1.482 D 3151.26 35.524 I) Common Stock 1.211 I By ESOP 11.206 1 Joint with wife Common Stock Table II • Derivative Se unties Acquired. Disposed of. or Beneficially Owned (e.g.. puts. calls. warrant . options. convertible securities) I. Title of Derivative Security (Instr. 3) 1 Conversion or Exercise Price of Derivable Security 5. Transaction Date IMenthDaylean 3A. Deemed Execution Ds If shy ObentliDaylearl 4. Transaction Code Onor. 0) 5 limber of Deena,. Securities Acquired (A) r Disposed of( ) (Instr. 3.4 end 3) 4. Date Exercisable and Expertion Date (Monthttaylear) 7. TIM and Amount of Securities UndertliNI Derivative Security (Inner. 3 and 4) 4. Price of Derivative Stylist (Instr. 5) 0. Hunter of derivative Securities Beneficially Owned following Reported Tronsoclion II) (loot, 4) 10. OwnersNp form: Direct ID) or Indirect 0) (inse. 4) 11. Nature of Sadiron Beneficial Ownership jinni. It Code V In) (en Dent Exereisamo EXpEn4lOn Dim Tido Amount or Numbm of Snares CAP Vo.t.) (2000 ' 2 ' 03/2.:12007 M i i i I.442 I 010/2006 116N_lltbS Common Sale 1.482 so 0 Explanation el Roseanne: I. Setimm: of ('Al Cot nJ &wanton M common aura te Rep rung P non purr toCAPPlan:amp under Rule 16261. 2 flu) typo al .nosh to ,c only lynxally /Jon MA have o convene n or manic price Remarks: UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL 1st Molinaro Jr., Samuel L 03/23+2007 Signature of Reporling Person Date Reminder: Report on a separate line for each class of securities benelicially owned direct,/ or indirectly. • If the lean is lead by more man one reportng person. see Instruction 4 (b)(v). Intentional misstatements or omissions el facts conslitule Federal Criminal Violabons See 18 U.S.C. 1001 and 15 U.S.C. 7811(a). Note: File three copies of Mrs Form, one of welch must be manually stoned. If space c insullicient. see Instruction El for procedure. Persons who respond to the collection of information contained In this form are not required to respond unless the Iona displays a currently valid OMB Number. http://www.sec.gov/Archives/edgar/data/777001/000077700107000048/xs1F345X02Jmol... 12/16/2008 EFTA00317025

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 313 of 347 SEC Form 4 FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL Dia me oar Oro tondo sated to Washnedon. C.C.26649 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP awe 1,1101,01: bores 3235.0287 FObflaff 28. 2011 Settee 16 Fame a Forms ESIMatOO evorage bunion (Upton may ceding See ',budge OS Fikd pursuanl to Section 18(a) of the Sedates Exchange Ad ol 1934, Section 17(a) el the Public tidily Holdng Company Add 1935 er Seaton 30(h) el the Investment Company Ad of 1940 bonen mon, 0.5 1. Name and Ackleess ol Reporting Penal' MOLINARO SAMUEL L JR a Issuer Name and Ticker or Tradrg Symbe4 BEAR STEARNS COMPANIES INC S. Relalionship of Reporting Person(s) to Issuer (Check al amicable) Director 10% Owner X Oflker (give fide Other (specify beloW) below) EVP/CFCMCOO f Esc ] A-asi) Meal) (Middle) 00 BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Dale el Earned Transaction (Monlh'DayfIed) 12/21/2007 4. II Amendment Dale of Original Filed (ModIstrawYear) 6. IndMdual Of JOirlOGFOLIO Fling (Check Applicable X Form filed by One Reporting Person Form bled by More than One Reporting Person (Skeet) Line) NEW YORK NY 10179 (Cily) tSlatel 12ici Table I - Non-Derivative Securities Acquired. Disposed of. or Beneliciall Owned 1. Tele of Security (Instr. 3) 2 Transaction Date (korehOsyllearl U. Deemed Execution Date, Harry laawalvDayloorl a Trines:lion Code lane. 9) 4. Seceders Acquired IA) or Dimond Of (DI (Intr. 3.4 end 51 5. *mown of Securities Beneficially Owned F II Ins A Ownereng Form, Direct (DI to Indirect 0) (Ira 4) 7. Nature of Indirect BeeeelciO Gowan Onwr. di Code V Amount (AI or (DI Price Reported Transectionts) Onsit 3 and di Common Stock 12/21/2007 of . im 65.468 A SO 74.176 I Joint with wife Common Stock 12/21/2007 S 27.726 D $89.01 46.450 I Joint with wife Common Stock 12/27/2007 G 3.000 D s0 43.450 I Joint with wife Common Stock 38.022 I) Common Stock 1.211 I By ESOP Table II • Derivative Securities Aoq bed. Disposed of. or Beneficially Owned (e.g.. puts. calls. warrants options. convertible securities) 1. Teed of Derivative Security Omar. 3) t. Conversion or Exercise Price 01 Derivative Security 3. Transaction Date OlonthDayTeari 3k Deemed Execution Ostie. Paw Ileanthearyeao a Transaction Code (Mal,. 4) 5. Number of Derivative Securities Amerind IDisposed A) r M( I (u s.3.4 wide) It Date Eden:Mater and Expirmlon Dare PionthOreTearl 7. Tier and Amount of Sensitive Underfed. Derivative Security (Inter. 3 and 4) S. Price 01 Derivative Security (Insir.5) 9. Welber 04 derivative Securities itentlkialey Crowedwi Follong Repartee ffOltlifliOn Co (Instr. 4) 10. Dowering Fern: Direct (DI or indirect (II tine. 4) 11. Naive of hdlred BelligiCtO Donegan limo. 4) Co* V 64 (D) Debt boilable Expiration Date The Amount or Number of Shane CAP tions (902) e 1' i II/2102801 M it) 65.455 II/30/2007 II/30/2007 Cwgn" Stack 65 468 ' Ii) 0 Explanation of Responses: I. Sealemem of CAP Lent and dunbution of eorumon stock to Renegues Person panuam to CAP PLA. exempt under Rule I ilh.3 2 This type of ekrili,111VC sr way typicallydon act lure • CORIPC1,4011 or eXCIVOC pine Remarks: Id Molinaro Jr. Samuel L. 12/27/2007 Vegnature el Reporting Person Dale Fkrinder: Report on a separate line for each class of securities beneficially owned dicta/ or indirectly. • 8 the form is lied by more than one reportng person. see Inslruclicn 4 IbXvi. " Intentional rrasstalerneres or omissions of facts constitute Federal Criminal Volabons See 18 U.S.C. 1001 and 15 U.S.C. 7811(a). Note: File three copies of this Form. on: of which must be manually signed. 11 space is insufficient see Instruction 61r procedure. Persons who respond to the collection of Information contained In this ferns are not required to respond unless the form displays a currently valid 01IS Number. http://www.sec.gov/Archives/edgar/data/777001/000077700107000137/xs1F345X02Jmol... 12/16/2008 EFTA00317026

SEC FORM 4 Page 1 of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 314 of 347 SEC Form 4 FORM 4 Cheek Ibis toe V no longer subject to 0 Section IS. Form 4or Form5 otrigaiions may continue. See IAS/coon lib) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington. D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant le Section 16(a) of the Securities Exchange Act of 1934. SWIM 17(a) of the Pubic Utitty Holding Company MI ol 1935 or Swoon 30(h) el me Investment Company Act el 1940 OMB APPROVAL 081BNtambev Eapi Bomar.," average burden Ivens per "opens. 32350207 February 26. 2011 0.5 1. Name and Address of Reporling Person. MOLINARO SAMUEL L JR 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC 5. Relationship of Reporting Person(s) to Issuer (Check all aeplicabie) area*, 10% Owner X Officer (give title Other (speedy below) below) EVP/CFO/COO 1 BSC ] 0-os0 (First) (Middle) CO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Dare of Earliest Transaction (PlorOutrayNeag 01/09/2008 4. V Amendment. Date of Original Filed (MonthiDayNear) 8. Irdvicbal or deinliGIOup Sling (Check Applcabie Line) X Form filedby One Reporting Person From fled by More man One Reporting Person (Skeet NEW YORK NY 10179 lain (Slate) (Zpl Table I - Non-Derivative Securities Acquired. Di posed M. or Beneficially Owned 1. Title el Security ilnsir. 3) a Transaction Dale Ilitonthriey'Tese) 2A. Deemed Execution Date. Neel IfAcethtUreTear) 3. Transaction Cede (Instr. 8) 4. Securities A ea red 1A) or Disposed Cal ID limb. 3.4 and $) 5. Amount of Securities Beneficially Owned Feao I g Reported Tracing-tents) gram. 3 and 41 6 Ownership From: Direct ID) or Indirect (II (Iran 4) 7. Nature or indirect Beneficial Ownership Omar. al Cade V Amount IA) or (0) Price Table 11- Derivative Securiti s Acquired. Disposed of or Beneficially Owned (e.g.• puts. calls. warrants. options. cenveni le securities) I. Title ol Derivative Security (bob. 3) 2. Conversion or Exercise Perm of Derivative Security 3. Transaction Dale teloninDacTeen 3A. Deemed Execution Dale. It any monuvoarr000 4. Transaction Code Onstr. 8) S. Magni el Dccl ears seem Ries ACC., red IA) lat Disposed ol ID Prat 3. 4 and I 6. Dare Exercimbie nd Expiration Dale (MoMbinay.Yeat) 7. Title and Amount of &monies unsaytm Derhiailve Security (Inn. 3 and 4) tt. Pelee el Dot/Mtn Security (Uate. 5) 9. Number of detleatim demonic.' sonesaity Owned Fewness Reported Transaction :a) (Instr. 4) 10. ownersNp Fenn: Direct ID) or Indirect Monet 4) 11. Nature camas' sonnies Ownership (Instr. ill Cede V (A) (D) Dale Exercisable Expiration Os TM* Amount C. Number ol Slums (2 orwin° CAP Ulm 0021 Ili 01109/2008 Ai 12 4.14 3)2 376 397 454 II/30/200T II/3110)0 7 C Slack 448 SO 448 II II/30/2(08 1113021103 Common S tock 512 SO 73.1" I 1I C20AP Uniu ( 031 (II 01/09/2008 Ai it 2 CA Uniu (200 III 01/09i20011 Ai 12 mon II/300.009 il/311M)09 Si om C P41 k oc 376 SO 55.25t D CAPS:Mu (2110d) (II 01/09/2008 Ai 2 11/302010 111302010 Common Stock 397 SO 58.359 D 1 i CAP Una/ (2006 III 01/09i2008 Ai 12 II/308201J 11(3&2011 CSnick ommon 454 so 66.820 D Emianation of Responses: I Thu type of &mauve teeny iypicallydoes not have a convene* or exam.< put 2 CAP flub (pined ioRacceung Persods aspen/ las of le60811:used on Racal Year SSIN Na Raminge Adjustments putsuarn iothe Issuers Capitol ACCMItliblIOCI Plan los Senior Slanatang Dumas CAP Plan). cermet under Rule ten-3. Remarks: /s/ MolinaroJr.. Samuel L. 01/09/2008 Signature of Reporting Person Date Reminder: Report on a sparse line for each class of securities beneficially owned dire-My or in:Sealy. • a the limn is fled by more man one reportng person. see Instruction 4 (b)(v). Intentional misstatements or omissions el facts centime Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 7811(a). Note: File three copies of Ms Form. one of which mint be manually signed. If space is insufficient. see Instruclicm 6 [Or procedure Persons who respond to the collection of information conlained in this form are not required to respond unless the toms displays a currently valid OMB Number. hap://www.sec.gov/Archives/edgar/data/777001/000077700108000012/xs1F345X02/mol... 12/16/2008 EFTA00317027

FORM 4 ase Check this box if no onger subject to Section 16 Form 4 or Form 5 obligations may continue. See Instruction 1(b). -°8-cvNillreglicilintlieetRINESFAIP411VENINeEge 315 0itit4iPPRovAL COMMISSION OMB Number: 3235.0287 Expires: January 31, 2008 Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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 Estimated average burden hours per response... 0.5 1. Name and Address of Reporting Person CHWARTZ ALAN D 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC [ BSC ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) 10% Owner _x_Directot X Officer (give title below) Other (specify (Last) (First) (Middle) C/O BEAR, STEARNS & CO. C 383 MADISON AVENUE 3. Date of Earliest Transaction (MM1DD/YYYY) 12/19/2005 _ _ below) Co-PresJCo-COO (Street) EW YORK, NY 10179 (City) (State) (Zip) 4. If Amendment, Date Original Filed (MM/DD/YYYY) 6. Individual or Joint/Group Filing (Check Applicable Line) X _ Form filed by One Reporting Person _ Form filed by Mott than One Remitting Person Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned I tile of Security (Instr. 3) 2. T ails. Date 2A. Deemed Execution Date. if any 3. Trans. Code (huir. 8) 4. Securities Acquired (A) or Disposed of (D) Instr. 3.4 and 5) 5. Amount of Securities Beneficially Owned Following Repotted Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (1) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock 12/19/2005 m II) 317266 A SO 1233331.00 D Common Stock 12119/2005 D 250000 D $116.22 983311.00 D Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible secunties) I. Title of Derivate Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if my 4. Trans. Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Ins r. 3.4 and 5) 6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction (s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) II. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration te Date Amount or Number of Shares Shares CAP Units (2000) , (-I 12/19/2005 St al 317266 11/30/2005 11/30/2005 Common Stock 317266.00 0.00 I) Explanation of Responses: ( I) Settlement of CAP Units and distribution of common stock to Reporting Person pursuant to CAP Plan; exempt under Rule 16b-3. ( 2) This type of derivative security typically does not have a conversion or exercise price Reporting Owners Reporting Owner Name / Address Relationships Directo 10% OwnerOfficer Other SCHWARTZ ALAN D C/O BEAR, STEARNS & CO. INC 383 MADISON AVENUE X Co-PresJCo-CO O EFTA00317028

'NEW YORK, NY fine 1:08-cv-102793tRWS Clocument 102 I Filed 02/27/09 Page 316 of 347 Signatures /s/ Schwartz, Alan D. •• Signature of Reporting Person 12/20/2005 Date 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). •s 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. Persons who 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. EFTA00317029

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 317 of 347 SEC Form 4 FORM 4 Check P1s bar Ereloner euttect to 0 Seek. 16. Earn 4 a Forms cbligitions may ageism. See heUnction IN. UNITED STATES SECURITIES AND EXCHANGE COMMISSION washnson. O.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 18(a) of the Securbes Exchange Ad 011934, Section 17(a) of the Public Utility Hc4cing Company Ate el 1935 er Section 30(h) of the Imestment Company Ate 011940 OMB APPROVAL OMB flufelber Panes ESIOWOCI eying(' burden tiOn per rettlaefOrf 32350287 February 28. 2011 0.5 • 1. Name and Adiress el Reporting Person 2 SCHWARTZ ALAN D Issuer Name and Ticker or Tradrg Symbol BEAR STEARNS COMPANIES INC 5. Relationship of Reporting Person(s) to Issuer (Check at applicable) X Director 10% Oaner x onker (give iille Other (specify below) below) Co-Pres/Co-COO I BSC I Mat) (firs) (Middle) CIO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Dale el Eat' Transaction (Mordh'Dayffear) 12/22/2005 4 II Amendment. Dale of Original Filed (MordlattayoYear) 8. Individualor Jcifitroup Fling (Check Applicable Line) X Farm Med by One Reporting Person Form tiled by More than One Reporting Person (Street) NEW YORK NY 11) 1 7) (City) IStatel (Zip, Table I' Non-Derivative Securities Acquired. Disposed of. or Beneficially Owned 1. Title of Security (Inst. 3) 2 Transaction Date IlAceithOwtleer) 2.4. Nand Extenitean DSc ITYry (olootneav:Yeet) 3. Transaction Code (Instr. I) 4. Societies Acquired (Al or Disposed Of (0)(1nslr. 3.4 and 5) S. Amount of Securities eerwricnity Owns Folio 9 Reported TnIniteellOn(11 (los% 3 and 4) 8. Ownership Form: Deed (Dl a Indirect II) (Instr. 4) 7. Velure of Indirect Benet 'cot Owner/Mc Omer. M Code V Amount IA) or (0) Price Table II' privative Securities Acq ired. Disposed o or Beneficially Owned (e 9.. puts, calls. warrants options. COirreflt be securities) I. WM of Dalvellvo Security tinter. 3) 2. Conversion or Exercise Price of Derivative Security 3. Tronsoenon Dole IlIcethOay'rearl 3A. DAVIS Execution Dote. Reny (MonevDarTeet) A. Tlennetbart Cod* (Inne. M S. Number of Derivative Securely* Acquired IA) or Disposed 0(2) Pose. 3 4 and SI 6. Dow Emocitotto and Expiration Date ileceehtliarNearl 7. TitM and Amount of Somali:es Underhinil Derivative Security (Instr. 3s 4) 8. Price of Dalvetivo Security (Inn. 5) 9. Mater ce derivative Securities Sentlicially Owned Following Reported Transaction (1) (Instr. 4) W. Ormetstdp Form: Dna (D) or Wired (II Owe. 4) II. Name Wintered Beeellcio Ownership [Instr. et Code V (A) ID) Dew Rierelsoblo Expiration Dale Tglo Amount 0 Menem of Shares CAP Vents (2(05) Ii 11,11.'2I:r.., A i t • Stork 83.643 I Ilex201U II/ON20111 Common 83.644 3116.3 aiM-ti Esem Stud. Option IR. to Buy) 1,165 11,22,211W A 12.M2/2008 oinnoi5 Common Stock 53.650 So 53.63o 53.450 Explanation of Responses: I. This type of den salad so; my typically dam ox have a comenion of exercise Nice 2. ['derail of copenheron and tiedil to Resonate Penwa's Account pas of 11/21031 putsurat to the ImurisCepoal Accumulate:a Plan for Satire Managing Dena Remarks: ICAP Pim). exempt under Rule 16h. 167 Schwartz, Alan D. 12/23/2005 " Signature el Reporting Person Dale Rennider: Report on a separate Inc. tor each class ol securities beneficially owned d ectly or indinectly. • If the term k filed by more than one reportng person. see Instruclicn 4 02)(4 Intentional misstatements or omissions ol fads constaute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 780(a). Note: File three copies of this Form. one of which must be inarually signed. II space is insufficient. see Iretruction 61a procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. hup://idea.sec.gov/Archives/edgar/data/777001/000077700105000125/xs1F345X02/sch38... 2/26/2009 EFTA00317030

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 0227:09 Page 318 of 347 SEC Form 4 FORM 4 Check this box if 0010,19M lotted 0 lo section le. Form 4 or Form 5 °Maoism; may Cortina Soo inktrUCliOn left UNITED STATES SECURITIES AND EXCHANGE COMMISSION Wm/trig:cm D C 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pinuaM L036860(1 16(a) ol the Securities Exchange Act of 1934. Section 17(a) of the Pubic Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Ad 01 1940 OMB APPROVAL OMBNornta: 32350287 Emotes: February 28, 3011 Esonated amarageburclan Mom on. 0.5 response 1. Name and Address Cl Repotting Person SCHWARTZ ALAN D BEAR STEARNS COMPANIES INC I BSC I (Check ril apple-able) X Director 10% Owner X Officer (give tide other (welly below) below) Co-Pres/Co-COO (Last) (Fimg (kindle) C/O BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Date Cl Earliest Transaction (MoMNDayNear) 12/23/2005 4. It Amentraeni. Dale ol Original Filed (Monhtlay/Yeall 6. Individual or Joirstroup Filing (meek Apostate Line) X Form Red by One Reponing Person Form Ned by Mote Then One Reposing Person (steel) NEW YORK NY 10179 (City) (Stale) IZpI Table I - Non-Derivative Securities Acquired. Disposed of. or Beneficially Owned 1. TNN of Security (Instr. 3) . Transaction Date (AcinavlinkMar) 2A. Deemed Execution Dam. irony (MenthernMar) 3. Transa non Cads (lane 8) 4. Securities Acquired (Al or Cisposed DI ID) (MM. 3, 4 and 5) 5. Mnounl of Securities Beneficially Owned F Mowing Reported Transaction(*) (nset. 3 and 4) 6. Ownership Form Died (D) or indirect (9 (Inat'. 4) 7. Makin of Indirect Benernisi Ownership Mate. If Code V AmouM (A) or ID) Prim Common Stock 12/2.1/2005 c V 15.000 I) s0 968.131 I) Table II - Derivative Seeman Acquired. Disp sed ol. or Beneficially Owned (e. .. puts, calls. warrants, options. c nvertlble se unities) 1. Title of Derivative Security (Una. 3) 2 Conversion or Exercise Priced Derivative Secunty 3. Transaction Date Moninflay'roan 3A. Deemed Execution Date. II any (MOnthDsyYeer) 4. Transaction Code yam. 8) 5. number of Derivative Sectrnies rug red (A) a Disposed of ll) tInNi 3.4 and ) 8. Dale Exercisable and Expiration Date tUomhOciy,Year) 7. Title end Amount or Securities Underlying Derivabve Security (Instr. 3 and 4) 8. Peke ol Derivative Security (Inslr. 5) 9. Humber or denvative Securities Senelicially Owned Following Reported Transaction (s) (Instr. 4) 10. Ownership Form Mimi (D) or Indirect (Ti (instr. 4) 11. Nature admired Beneficial Ownership (Instr. 4) Cole r V (A) (0) One Exercisable Eipincion Date Title Amount or Number or Shares Explanation os Responses: Remarks: /s/ Schwartz, Alan I). 01/03/2006 • • signature 01 Reporting Person Dale Reminder: Report on a separate line for each class ol securities beneficially owned directly of indirectly. II the loan is tiled by more man one reporting person. see Insiniclion 4 (b)(v). " Intentional misslalements or omissions ol fads consthule Federal Criminal VitdabonS See 18 V.S.C. 1001 and 15 U.S.C. 7811(a). Note: Fie twee copies ol this Form. one of which must be manually signed. II space is insufficient. see Instruclion 6 lor procedure. Persons who respond to the collectIon of information contained In this form are not required to respond unless the form displays a currently valid OMB Number. hup://idea.sec.gov/Archives/edgar/data/777001/000077700105000135/xs1F345X02/sch38... 2/26/2009 EFTA00317031

FORM 4 ase Check this box if no onger subject to Section 16 Form 4 or Form 5 obligations may continue. See Instruction 1(b). .98-cvNillegfATIVArieektillESFAINIMedkNegle 319 igittisqiwaovAL COMMISSION OMB Number: 3235.0287 Expires: January 31, 2008 Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(0 of the Investment Company Act of 1940 Estimated average burden hours per response... 0.5 1. Name and Address of Reporting Person • CHWARTZ ALAN D 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC [ BSC ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) x Director 1016 Owner _ _ X Officer (give title below) Other (specify (Last) (First) (Middle) C/O BEAR, STEARNS & CO. C., 383 MADISON AVENUE 3. Date of Earliest Transaction (MMA)DNYVY) 1/9/2006 _ _ below) Co-PresJCo-COO (Street) EW YORK, NY 10179 (City) (State) (Zip) 4. If Amendment, Date Original Filed (MWDDNYYY) 6. Individual or Joint/Group Filing (Check Applicable Line) _ X Form filed by One Repotting Person Form filed by Mote than One Repotting Person Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned I.Title of Security (Instr. 3) 2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3.4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price ( 'fflo mon Stock 1/912006 G V 15000 D $0 953331.00 I) Table II - Derivative Securities Beneficially (hi ned ( e.g. , puts, calls, warrants, options convertible secunties) I. Tide of Derivate Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date. if any 4. Trans. Code (hum 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3.4 and 5) 6. Date Exercisable and Expiration Date 7. Tide and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (lnstr. 5) 9. Number of derivative Securities Beneficially Owned Following Repotted Transaction (s) (law. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nana,: of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shales Explanation of Responses: Reporting Owners Reporting Owner Name / Address Relationships irector !D . 10% OwnerOfficer Othet SCHWARTZ ALAN D C/O BEAR, STEARNS & CO. INC. 383 MADISON AVENUE NEW YORK, NY 10179 X Co-Pres./Co-MO Signatures /s/ Schwartz, Alan D. 1/10/2006 •• Signature of Repotting Person Date EFTA00317032

Reminder: Report oc#*alatigia9UN1241§ectWaggiltilliFowrEgtaganaeck?ge 320 of 347 • If the form is filed by more than one reporting person, see Instruction 4(b)(v). ▪ Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See I8 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. Persons who 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. EFTA00317033

O8-"IggiArlijWK1114alieektNESFAISSI21(e-eifiRNeNe 321 604WPPRovAl- FORM 4c'se Check this box if no onger subject to Section 16 Form 4 or Form 5 obligations may continue. See Instruction 1(b). COMMISSION OMB Number: 3235.0287 Expires: January 31, 2008 Washington, D.C. 20549 Estimated average burden hours per response... 0.5 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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 1. Name and Address of Reporting Person • CHWARTZ ALAN D 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC [ BSC ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) x Director 10% Owner _ _ X Officer (give title below) Other (specify (Last) (First) (Middle) C/O BEAR, STEARNS & CO. C., 383 MADISON AVENUE 3. Date of Earliest Transaction (MAUDDNYVY) 2/8/2006 _ _ below) Co-PresJCo-COO (Street) EW YORK, NY 10179 (City) (Slate) (Zip) 4. If Amendment, Date Original Filed (MWDD/YYYY) 6. Individual or Joint/Group Filing (Check Applicable Line) _ X Form filed by One Reporting Person — Form filed by More than One Reporting Person Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned I.Title of Security (Instr. 3) 2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code Omit 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3.4 an 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (1) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible secunties) I. Tide of Derivate Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date. if any 4. Trans. Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (law. 3.4 and 5) 6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Insu. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction ;;.) (I ristr. 4 ) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Imt. 4) II. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Tide Amount or Number of Shares CAP Units (2000) (II 2/8/2006 A (21 20257 11/30/2005 11/3012005 Common Stock 20257.00 SO 20257.00 D CAP Units (2001) (II 2/8/2006 A (21 2620 11/30/2006 11/30/2006 Common Stock 2620.00 SO 43666.00 I) CAP Units (20021 dr 2/8/2006 A (21 9091 11/30/2007 11/30/2007 Common Stock 9091.00 SO 151483.00 I) CAP Units (2003) (I; 2/8/2006 A (21 9126 11/30/2008 111302008 Common Stock 9126.00 SO 152064.00 D CAP Units (2004) (II 2/8/2006 A at 5566 11/30/2009 11/30/2009 Common Stock 5566.00 SO 92744.00 D Explanation of Responses: ( I) This type of derivative security typically does not have a conversion or exercise price ( 2) CAP Units credited to Reporting Person's account (as of 2/8/06) based on Fiscal Year 2005 Net Earnings Adjustments pursuant to the Issuer's Capital Accumulation Plan for Senior Managing Directors (CAP Plan); exempt under Rule 16b-3. Reporting Owners Reporting Owner Name / Address Relationships I EFTA00317034

Lase 1:oa-cvsge " tromivn pent tuz (AO SCHWARTZ ALAN D GO BEAR, STEARNS & CO. INC. 383 MADISON AVENUE NEW YORK, NY 10179 X Co-Pres./Co-COO Signatures /s/ Schwartz, Alan D. •• Signature of Reporting Person 2/9/2006 Date d 02/27/09 Page 322 of 347 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). *It 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. Persons who 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. EFTA00317035

.08-cvNillehlAilerygiookwiEsuftsekefik Negie 323 OigavRovAL FORM 4 ase Check this box if no onger subject to Section 16 Form 4 or Form 5 obligations may continue. See Instruction 1(b). COMMISSION OMB Number: 3235.0287 Expires: January 31, 2008 Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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 Estimated average burden hours per response... 0.5 I . Name and Address of Reporting Person • SCHWARTZ ALAN D 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC [ BSC ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 1016 Owner _x_ X Officer (give title below) Other (specify (Last) (First) (Middle) C/O BEAR, STEARNS & CO. C., 383 MADISON AVENUE 3. Date of Earliest Transaction (MM/DD/YYYY) 2/23/2006 _ _ below) Co-PresJCo-COO (Street) EW YORK, NY 10179 (City) (State) (Zip) 4. If Amendment, Date Original Filed (MM/DD/YYYY) 6. Individual or Joint/Group Filing (Check Applicable Line) _ X Form filed by One Reporting Person Form filed by More than One Reporting Person Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned I Xitle of Security (Instr. 3) 2. Trans. Date 2A. Deemed Execution Date. if any 3. Trans. Code (lnstr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3.4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock 2/23/2006 M OP 20257 A SO 973588.00 D Common Stock 2/23/2006 S 6400 D 5735.08 967188.00 D Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) I. Title of Derivate Security (Instr.3) 2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code (lnstr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3.4 and 5) 6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security (hum 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction (s) (Instr. 4 I 10. Ownership Form of Derivative Security: Direct CD) or Indirect (I) %Ins°. 4) II. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares CAP Units (2000) 2./23/2006 M III 20257 11/30/2005 11/30/2005 Common Stock 20257.00 S° 0.00 D Explanation of Responses: ( 1) Settlement of CAP Units and distribution of common stock to Reporting Person pursuant to CAP Plan; exempt under Rule I 613-3. ( 2) This type of derivative security typically does not have a conversion or exercise price Reporting Owners Reporting Owner Name / Address Relationships Directo 10% OwnerOfficer SCHWARTZ ALAN D GO BEAR, STEARNS & CO. INC 383 MADISON AVENUE Other X I Co-Pres./Co-COO EFTA00317036

NEW YORK, NY an* 1:08-cv102793I-RWS Clocument 102 I Filqd 02/27/09 Page 324 of 347 Signatures /s/ Schwartz, Alan D. •• Signature of Repotting Person 2/24/2006 Date 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). •s 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. Persons who 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. EFTA00317037

.08-cvNiiitreglailegoyatetRigilEsFARligit2aR Neft9e 325 Okitql3PROVAL FORM 4ctse Check this box if no onger subject to Section 16 Form 4 or Form 5 obligations may continue. See Instruction 1(b). COMMISSION OMB Number: 3235.0287 Expires: January 31, 2008 Washington, D.C. 20549 Estimated average burden hours per response... 0.5 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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 1. Name and Address of Reporting Person • CHWARTZ ALAN D 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC [ BSC ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) x Director 10% Owner _ _ X Officer (give title below) Other (specify (Last) (First) (Middle) C/O BEAR, STEARNS & CO. C. 383 MADISON AVENUE 3. Date of Earliest Transaction (MWDDNYYY) 3/27/2006 _ _ below) Co-PresJCo-COO (Street) EW YORK, NY 10179 (City) (Slate) (Zip) 4. If Amendment, Date Original Filed (MM/DDNYYY) 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by Mom than One Reporting Person Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned I.Title of Security (Instr. 3) 2 Trans. Date 2A Deemed Execution Date, if any 3. Trans. Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3.4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct ID) or Indirect (I) lInstr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price ( Me mon St 3127/2006 ock G V 13857 D $0 953331.00 D Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options convertible secunties) I. Tide of Derivate Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date. if any 4. Trans. Code (lnstr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3.4 and 5) 6. Date Exercisable and Expiration Date 7. Tide and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security 0nsu. 5) 9. Number of derivative Securities Beneficially Owned Following Repotted Transaction (s) (Instr. 4) la Ownership Form of Derivative Security: Direct (D) or Indirect (I) (lnstr. 4) II. Nature of Indirect Beneficial Ownership (Instr. 4) Code IV (A) (D) Date 'Expiration Exercisable Date Title Amount or Number of Shafts Explanation of Responses: Reporting Owners Reporting Owner Name / Address Relationships p . irector 10% OwnerOfficer Met SCHWARTZ ALAN D C/O BEAR, STEARNS & CO. INC. 383 MADISON AVENUE NEW YORK, NY 10179 X Co-Pres./Co-COO Signatures /s/ Schwartz, Alan D. 3/28/2006 •• Signature of Reporting Person Date EFTA00317038

Reminder: Report ocMaliggia9gNagnecaaMitillgRowrEggegWe li;pge 326 of 347 • If the form is filed by more than one reporting person, see Instruction 4(b)(v). ▪ 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. Persons who respond to the collection of information contained in this form are not required to respond unless the forrn displays a currently valid OMB control number. EFTA00317039

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 327 of 347 SEC Form 4 FORM 4 Check this bin if **longer Suttirol 0 10 Seato le. Form 4 Of Form 5 °blossom may COMMAS Soo InStruclion 198. UNITED STATES SECURITIES AND EXCHANGE COMMISSION STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Flied purSuant to Secton 16(a) Of Ihe SecurilleS Exchange Act Of 1934. seC6On 17(a) of the Pubic Utility Holding Company Act Of 1635 or SeCliOn 30(h) Of the Investment Company Ad 01 1940 OMB APPROVAL OMBNumta: 32350287 Espies: February 2(7 3911 Estimated average burro,' hour. per 0.5 response . 1. Name and Ackliess Cl Repotting Perron SCHWARTZ ALAN D 2. Issuer Name and Ticker Or Trading Symbol BEAR STEARNS COMPANIES INC I BSC I 5. Relationship Ol ReportingPerSCA(S)I0 Issuer (Cheek al approlble) X Deector 10% Owner X Otiber (give tide Other (specify below) bekm) Co-Pres/Co-COO (LaSt) (FirS1) (hitildle) C/O BEAR. STEARNS & CO. INC. 383 MADISON AVENUE (Street) NEW YORK NY 10179 3. moo' EadleSI Transaction (PilOnINDayNear) 10/27/2006 4. II AnienctIlent Dale Ol Original Filed (AMIlhiGayrYear) 6. indbiclual or JOIntiGroup Filing (check eppicabie Line) X Form Ned by One Reporting Person Form Ned by Mote lhan One Reporting Perron (City) (Slate) 147) Table I - Non-Derivative Securities Acquired. Disposed of. or Beneficially Owned 1.78N 01 Security (USU. 3) 2. Transaction Dale (MonthiCiernYeat) 2A- Deemed Execution Data. Irony RronlheriyAbal) 3. Transaction Code noir. 8) 4. Securities Acquired (Alm Disposed 01(D) (Instr. 3, 4 and 5) S. Amounl or Securities Beneficially Owned 6. Ownership Font,: Dsecl (D) or indirect (ti (Ina°. 4) 7. tenure oi Indirect limbic:0i Ownership tinstr. 4) Cod* V Amami (A) or ID) Price F II 0 Prowled Transaction(*) tinstr.3 and 4) Common Stock 10/27/2006 G V 655 D s0 952.676 D Common Stock 10/30/2006 0 V 20.000 D s0 932.676 I ) Table II - Derivative Secu itie Acqu'red. Disposed Of. Or Beneficially Owned (e. .. puts. calls. warrants. options. c nvertible securities) 1. Title of Derivative Security (Inor. 3) 2. Conversion or Exercise Priced Derivative Security 3. Transaction Dare bilanthiDanear) 3A. Deemed Execution DAL deny (Mon/h.DatYeat) 4. Transaction Code paw. 8) S. Humber of Derivative Sectskies Acq red IA) or Disposed of ID tinstr. 3.4 and 5) 8. Date Exec:citable and Expiration Dale OromhDayNear) 7. Tine end Amount or Securities Undelblro Derivative Security (Into. 3 and 4) 8. Pike Of Derivative Security (Ino.. 5) 9. Relabel or derivative Securities Beneticiaity Owned RAMAN) Repealed Transaction tin (Instr. 4) 10. Ownership Form: 1:99.1 NO or indirect DI (Instr. 4) 11. Nature al Indirect Beneficial OunwirsAIP Mile 4) Code V (A) (D) Dale Exercisable Expiration Date Trot Amcnnl or Number or Shale* Explanation of Responses: Remarks: /s/ Schwartz. Alan D. 10/31/2006 •• Signature of Repelling Person Dale Reminder: Report on a separale line be nth class DI SeCroillieS bane( billy owned direCtN or indiretlly. ' If II* lorm Is hied by more than one reporting person. see Instruction 4 (b)(v). " Intentional miSbalementS or OmbSian 01 lads iroentitule Federal Criminal %wagons See 18 U.S.C. 1001 and 15 U.S.C. 7811(a). Note: Fte three copies &this Fortin. One Of which musl be manually signed. II Space Is Muff icient. see Instruclicn 6 lOr procedure. Persons who respond to the colleted) Of information contained in this form are not required to respond unless the form displays a currenlly valid OMB Number. hup://idea.sec.gov/Archives/edgar/data/777001/000077700106000106/xs1F345X02/sch44... 2/26/2009 EFTA00317040

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27709 Page 328 of 347 SEC Form 4 FORM 4 Pied Pis bar tirolonger witted to 0 Settee 18. Fame a Fenn 5 abliggions may acclaime. Se habudiant(e). UNITED STATES SECURITIES AND EXCHANGE COMMISSION washnson. O.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 18(a) of the Securbes Exchange Ad ol 1934, Seden 17(al of the Public Utility Raking Company Ad of 1935 or Soden 30(h) of the Imestrnent Company Ad e11940 OMB APPROVAL CUB Humber Exerts 32350287 February 28. 2011 Esinsatod average burden tans per mesons. 0.5 1. Name and oddness 01 Reporting Persen' SCHWARTZ ALAN D 2 Issuer Name and Ticker or Tradrg Symbel BEAR STEARNS COMPANIES INC 5. Relalicnshp ol Reporting Person(s) to Issuer (Check all applicable) X Director 10% Orm e, X Cheer (give lille Other (specify below) below) Co-PrcsJCo-COO I BSC I Mat) (lirS1) (Middle) CO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 1 Dale ci Edges] Transaction (Mordh'Dayffear) 12/ 1 8/2006 4. I( Amendment. Dale of Original Filed (NlortlattawYear) 8. Individualor Jenttroup Fling (Check Applicable Line) X Farm filed by One Reporling Person Font. filed by More than One Reporting Person (Skeet) NEW YORK NY luro (Cily) tSlatel IZipi Table I - Non-Derivative Securities Acquired. Disposed of. or Beneficially Owned 1. Title of Security (Instr. 3) . Transaction Date Month.0•7.Serall 2A. Deemed Pee:mien Date, if any lificed.Osynt earl 3. Tnnsaction Cede lanalr. 4) 4. Securities Acquired IA) or Diseased 01 (DI (Instr. 3.4 and 5/ 5. Amount el Secmilles Beneficially Owned Folicaring Reported Transact:els) Poeta and It 4. Ownenthip Form: Direct (0) or Indirect (i) Scot 41 7. Nature el Indirect Beowlicin Owner/Mc (Instr. II Cede V Amount (A) or an Nos Common Stock 12/1812006 M . I . 43.666 A SO 976.342 I) Common Stock I 2/18/2(l06 5 21.833 I) 6164.72 954.509 I) Table III 'Derivative Securities Acq fired. Disposed of. or Beneficially Owned (e.g.. puts, calls. warrants. options. convertible securities) I. TRW el Derivative Security (Instr.3) 2. Conversion or Exercise lance el Derivative Security 3. Transacnon Date DlonihDayNesrl 3/1 Deemed Execution Dew. irony (dealvDaY'Fam) A. Transaction Code (inn. I) 5. Humber or Der nave Securities Ac wired IA) r Die Deed or (D) OM r. 3. 4 and 5) 6. Date Es raise's* and Expiration Date (Mcsidh.Dayaearl 7. Tide and Amount of Seamless Underarevil Derivative Security (Instr. 3 and 4) 8. Prk• of Derivative Security (Mn. 51 9. Number of derivaiive Securities litervelkialy Owned Following Repanoe Transaction (5)Onstr. 4) 10. Ownership Form Creel (D) or Indirect (Dtinsti. I) I a Posse of heir ecl Bent. icol Connecta p Onalf. Cl Code V (A) (0) Dale Ittercisable Ex Dale Date Title Amount or Number ad Saws CAP Liens rano0 12/18/21/06 Al I i I 45.666 I l/30/2036 II/JO/2036 Common Stock 43.666 to o Explanation of Responses: I Sot. ‘.• .u. od <bonhomie of common mock in Repots:is Person pricam to CAP Pba. exempt under Rule 16b.3. 2 Tt... • i so; my typically dius sat hoc a COarebinlinteXelill3C pine Remarks: is/ Schwan/. Alan D. 12/192(06 " Signature ci Reporting Person Dale Reminds.: Report on a separate Inc lot each class al securities benelicially coned ci ecorr or indirectly. • lithe Sam rs tiled by more than one reponeig person. see Instruclion 4 (b)(v). " Intentional misstatements or omissions ol facts constitute Federal Ginn& Violation See 18 U.S.C. 1001 and 15 U.S.C. 7811(a). Note: File three copies of this Form. one ol wlich must be manually signed. 11 space is insulficienl. see lnstruclion 61a procedure. Persons who respond to the collection of Inkumalkm contained in this form are not required to respond unless the lorm displays a currently valid OMB Number. http://www.sec.gov/Archives/edgar/data/777001/000077700106000125/xs1F345X02Jsch... 10/29/2008 EFTA00317041

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 329 of 347 SEC Form 4 FORM 4 Check Pis tier enslonger stead t0 0 Sector ie. Form 4 or Fein 5 oblgitions may cordite. See auction IN. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washripn. D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pirsuanl to Section 16(a) of the Steadies Exchange Acl ol 1934. Section 17M) of the Public Utility Holdng Company Ad of 1935 or Section 30(h) of the Investment Company Acl ol 1940 OMB APPROVAL OM Humber Expires Estrnatoa average Waen *ours per resioreie 32350287 February 28. 2011 0.5 1. Name and Athletes el Repotting Parsed SCHWARTZ ALAN D 2 Issuer Name and Ticker or Tradrg Symbol BEAR STEARNS COMPANIES INC 5. Relationship el Reporting Remade) to Issuer (Check anappwatrie) X Oireclor 10% Dane, X Mkt. (give lille Other (specify below) below) Co-Prcs/Co-000 I BSC 1 Mat) (11r11) (Middle) CIO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE S. Dale of Earliest Transaction (MantDayNear) 12/20/2006 0 II Amendment Dale of Original Filed (MorohtayNea0 E. IndMdual or Jae:Group Fling (Check Applicable Line) X Fenn filed by One Repealing Person Fern filed by More than One Reporting Person (Street) NEW YORK NY 10179 (Cily) iSla!el I2ipi Table I • Non-Derivative Securities Acquired. Disposed of. or Beneficially Owned 1. Title of Security (Instr. 3) 2. Transaction Date llicrehOarTear) 2A. Decried Execution Date. dam (Bentivtiaylem) 1 Transaction Code (test. 41 4. enmities Acquired (Al or Disposed Of (0)(Inetr. 1.4 and 5) 5. Amount of Secualiim thenetinally Owned Folk Ina Reported Trameadion(s1 (ewe. 3 and 4) S. Ownership Form. Deed (Dior 'Sited II) (Instr. 4) 7. rheum of Indirect Bawl kik Ownership (kmar. ii Cede V Amount IA) or ID) Price Table II • Derivative Securities Acq fired. Disposed ol. or Beneficially Owned (e g.. puts. calls. warrants. options. convertible securities) 1. Tae of Denvellve Security Omar. 3) 2. Conversion or Exercise Price 01 Derivative Security 3. Transaction Dote IllonthOsyTerin 3A. Deemed Execution One. if any (MenaltbayVesg 4. renseclion Code (Msir. fg S. Number of Derivative Seventies Acquired (A) or Ohrocrird NOD lime. 3 4 end 5) 6. Delo Ex /Mob* and Expitellocr Date (MeelhOey"Yerirl 7. Title and Amount or Sectriacts Underlying Derivative Security Onstr.1 end 4) 8. Price of Denvellve Security lest. 51 9. meter of deelva0re Securities eeneficially Cranrd Fellowmg Amerind Transaction (s) (Inst. 4) 10. ownership Form: Wed (DI er Wired ill Pasta) it. Hamm minder:et Berwriclal Ownership Ono 41 Coda V IA) ID) Date Emreisama Expiration Date TM* Amount m Mamba of shares CAP Limb (2000 Stock : I i I Z, 10,'20..y. A 04,769 II/30/201i I [W201 I Comm.° 84.769 10 Eire goo. ,,,,,,as , m SIM ti i.:. Qii,'.7.r. re. A 33.847 12f2 (2009 12./S)/2016 Common" Stock 33.847 to 33.04, Explanation of Responses: I Thu npe Jmrauresa my typkilly dots eat haw a coarcimon or exercue price 2. Darnel of ocepensmou.mi unlit to Rqameis Pence's Amount (as of larshvo possimm tome tunas Capital Accuroulamon Plan for Semnr Minions DurtcO (CAP Plan): me Remarks: is/ Schwartz, Alan D. 12/21/2006 " Signature el Reporting Person Dale urban Rule Reminder: Reece] on a senora,* lire ter each class ol securities tanalicially conned drecty or indrectly. • If the Corm o lied by more than one reporting person. see Indruclicn 4 (b)(v). " Intentional rrasstalernerds or omissions ol fads osnsteute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. alga). Note: File three copies of this Form. one ol which must be manually signed. II space is insulficienl. see instruclion 6 la Procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. hup://www.see.gov/Archives/edgar/data/777001/000077700106000149/xs1F345X02/sch... 10/30/2008 EFTA00317042

SEC FORM 4 Page 1 of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 330 of 347 SEC Form 4 FORM 4 Check this box if or3 longer Wheel 0 lo Sear:41E Form 4 or FormS cIaloaeord may avenue See InktruClian ID)). UNITED STATES SECURITIES AND EXCHANGE COMMISSION WaOlingten. D C 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuaM to Section 16(a) of the Securities Exchange Act of 1934. Section 17(a) of the Pubic Utility Holding Company Act 01 1915 or Section 30(h) Cl the kweislment Company Act 01 1940 Oh1B APPROVAL OMB Numta: 32350287 Expros: February 28, ten Estimated ayorageburclan haute ON 0.5 response • 1. Name and Address Cl Repotting Person SCHWARTZ ALAN D 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC 5. Relationship ol ReportingPersons) to Issuer (Check ill applicable) X Meow to% Owner X Officer (give MN Olher (specify below) below) Co-Pres./Co-COO I BSC I (Last) (First) Ream C/O BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Date Cl Earliest Transaction (donavoaynear) 12/21/2006 4. If Amentrneni. Dale ol Original Filed (1.42n1hDayrYear) 8. Individual or JoirtGroup Filing (Check Apple-able Line) X Form Med by One Waning Person Form Med by Mote than One Reporting Person (Striae.) NEW YORK NY 10179 (City) (State) IZ9) Table I - Non-Derivative Securities Acquired. Disposed of. or Beneficially Owned 1. UM of Security gnat 3) 2. Transaction Dale (Monthetrellfili) 24. Deemed Execution Date. irony osonmosyvaso 3. Transaction Code intr. 8) 4. Securities Acquired (A) or Deposed Of (0) (Instr. 3.4 and 5) S. Amount of Secunties Beneficially Owned F Hawing Reported Transaction(*) (Malt. 3 and 4) S. Ownership Form: Direct (0) or Indirect (0 (Instr. 4) 7.1.filure ot Indirect Beneficial Ownership gnat* in Cod* V AmouM (A) or ID) Price Common Stock 12/21/2006 0 V 20.000 I) s0 934.509 D Common Stock 12/21/2006 G V 1.815 I) s0 932.694 I) Common Stock 12/21/20(6 6 V 1.210 I) s0 931.484 I) Table II - Derivative Secu ilk Acquired. Disp sod ol. or Beneficially Owned (e. .. puts. calls. warrants. options. convertible securities) I. Title of Derivative Security (Instr. 3) 2, Conversion or Exercise Price of Derivative Security 3. Transaction Dare (librithDay.Year) 34. Deemed Execution One, If any (rorith,Darreor) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acq red IA) or Disp red a ID {Intl . 3.4 and 1 6. Date Exercisable and Expiration Dale Illonthearrear) 7. Title and Amount of Securities Underlying Derivative Security Onsu. 3 and 4) S. Price ol Derivative Security (Instr. 5) 9. !lumber of derivative Secunties asnsaciany Owned Following Reported Transaction (s) (Instr. 4) 10. Ownership Form: Deed (0) or Indirect (I) (Instr. 4) II. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (0) Date Exercisable Expiration Date 'rift Amount or Number of Shorn Explanation of Responses: Remarks: is/ Schwanz Alan D. 12122/2006 • • Signature of Reporting Person Dale Reminder: Report on a sena:ale line for each class ol securities beneficialyowned directly or indirectly. II the form is filed by more than one reporting person. see Instruction 4 (Into). " Intentional miestalements or omissions ol rads CCOSIllule Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 7811(a). Note; Fie three copies ol this Foml. one of which must be manually signed. II space is inufficient. see indwells:4 6 low procedure. Persons who respond to the collection of Information contained in this form are not required to respond unless the form displays a currently v d OMB Number. http://www.see.gov/Arehives/edgar/data/777001/000077700106000159/xs1F345X02/sch... 10/30/2008 EFTA00317043

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 331 of 347 SEC Form 4 FORM 4 Deck /is bar il re longer rutted to 0 Settee le. Form 4 or Form ctligitions may menus. See Isbuelto UNITED STATES SECURITIES AND EXCHANGE COMMISSION WasheigIon. D.C.28649 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Cited pursue:II to Sefton 18(a) of the Secunlies Exchange An of 1934, Section 17(a) el the Public Ulildy Holdng Company Act of 1935 or Seaman 30th) of the Imestment Can-party Act of 1940 OMB APPROVAL OM Hombre: Expires EOM.= (woofs biotin honor mown. 32350287 February 28. 2011 0.5 1. Name and Address ol Reflecting Person SCHWARTZ ALAN D a Issuer Name and Ticker or Tradrg Symbol BEAR STEARNS COMPANIES INC 5. Relalicnship el Reporting Person(s) to Issuer (Check all appkable) X Direclor 10% Orme, X Mica- (give lille Other (specify below) below) Co-Pres/Co-COO I BSC I Man (Fins) (Middle) CO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Dale of Earned Transaction (Mordh:DawYear) 07/14f2007 4. II Arnendinerd. Dale of Original Filed (Mordlatery/Year) 6. Individual or Jointroup Fling (Check Applicable Line) X Farm filed by One Reporting Person Fenn filed by More than One Reporting Person (Street) NEW YORK NY 10179 (Cily) (Stale) 'Zip' Table I - Non-Derivative Securities Acquired. Disposed of. or Beneficially Owned 1. Title of Security (Instr. 3) 2 transsclion Dale Of mIlvDay(eer) 26. Deemed Execution Oda if Ind gao,,mganwe) 3. Transaction Code (Mslr. 8/ 4. Tecmillee Acquired 1.41 or Disposed Of (0)(Instr. 3.4 end 5) S. Amount 0 Securities &mg idally Owned dello 9 Reported Tniniaction(M (belt. 3 and 4) 6. Ownership Form: Oireel (DI Or Indirect (I) (Ina. 4) 7. Nature of Indices. Benelicod Ovnersho Omar. Ii --.. Code V Amount Id) of ID) Oft, Table II . er(vative Securities Acq fired. Disposed 0 or Beneficially Owned (e 9.. puts. calls. warrants options. canned le securities) 1.114le of otrivanvo Security Omar. 31 2. Conversion or Exercise Price or Derivative Security 3. Trensadten Dote IllonihthyTear) 34. Doomed Execution Dew. deny (MondvDarTem) 4. Tratosollon Code (Msir. () S. Number or Derivalive Secumies Acchired IA) or Dimond 01(D) (Instr. 1.4 and 5) 6. Dale Exorcised* end °puma* Data DAmehOrylrearl 7. Dee and Amount or Soci.00m Unclerlyin9 Derivative Security (lna. 3 and 4) 8, Price of Dolvelivo Security (last'. 51 9. IlleibOf of **rainy Securities Beneficially Onneel Following Reported Transaction 10 (laid. 4) 10. Osinotstilp Form: Meet (D) or beinel (II find,. 4) 11. Nam* of Indlrecl Beaercir Growth, tb.Mr. It Cede V (A) (D) Date lesercisable Expiration Deb Rea Amount a (limber a Wins Un. CAP (2001) ni (0 .2:14(21)0. A , , 2.934 I It30/2006 II/30/2004 Common swk 2,934 So 2.9).1 1 . CAP limo (2002) I I I 02/I4/2607 A I ZS Stock 10.129 II/JO/200T II/30/2007 Common 10.179 50 i6i.u,„! CAP limb (2003) III 0204/2007 A r2 • Stock 10.212 II/JO/2008 II/JO/200S Common M.217 W 161.221 CAP Uri* 12x01 12x01 0.1 Iii 02/I4/2007 A s 6.232 Ilf 30/2009 It/JO/2009 Common &ea 6.232 50 98.970 CAP Vans (20051 I i I 02/I4/2007 A IT s 5.620 i I/3072010 tido/20M Common Stock 5.620 SO 89.204 Esplanatke of Responses: I. ibis t7pc oh deny fine sn: my typically do:, natc aconsomme orCare:1W price 2. CAP Usti recliteJ In gerunds Nom% moo= las of murotused on Ptif al Year 2006 Nct Ening% Adjustments pursuant to the Issuer's Capitol Accumulapan Plan for Seams >Imams ()mom s WAY Plan_ exempt under Rule ROT Remarks: AI Schwartz, Alan D. 02/15/2007 " Signature of Reporting Person Dale Rennes.: Report on a separale Inc lie each class ol securities beneficially earned arced/ a indinadly. • If the bon is lied by more than one reporteg person. see Instruclice A tb)(v). " Inlenbonal rrnstalernerds or omissions ol fads oanstdde Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 780(a). Note: File three codes of this Form. one ol which must be manually signed. 0 space is insulficient. see Instn7clion 6 Ice procedure. Persons who respond to the collection of inlormation contained In this form are not required to respond unless the form displays a currently valid 0110 Number. http://www.sec.gov/Archives/edgar/data/777001/000077700107000022/xs1F345X02/sch... 10/30/2008 EFTA00317044

SEC FORM 4 Page 1 of Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 332 of 347 SEC Form 4 FORM 4 Cheek this tor y rte longer subject te 0 Section 18. Forma °, Form5 obloalions may continue ffice Insexlion Itb). UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington. D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) ol the Securities Exchange Act el 1934. Section 17(a) of the Pubic Lenty Holding Company MI of 1935 or Section *h) ol me Investment Company Am ol 1940 OMB APPROVAL Oln8Nnnoin Espial Eremitic average burden hours pe. menus, 3235.0207 February 29. 2011 0.5 I. Name and Address of Reporting Person. SCHWARTZ ALAN D 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC 5. Relationship of Reneging Personfs) to Issuer (Check ad applicable) X Mellor 10% Diener X Office, light title Other (speedy betow) below) CO-PrCSJCO-COO I BSC ] (Lam) (First) Wile) CO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Date of Earliest Transaction ffilonitutayNear) 03/22/2007 4.1 Amendment. Dale of Original Filed (MentleDayNearl 8. Individual or Johltroup Fling (Check Applicable Line) X Fenn Sled by One Repaing Person Form fled by More man One Reneging Person (Sinter) NEW YORK NY 10179 (City) (Stale) Rpl Table I . Non-Derivative Securities Acquired. Di posed ol. or Beneficially Owned 1. Tkle of Security (Instr. 3) 2. Transaction Dale ISIOMIttlayllearl 2s Deemed ExecoliOn Dale, if any (MontlsOewveerl S. Transit lion Code (Instr. I) 4. Securities Acq Wed IN C. Chiposed Of (0) (lost 3. 4 and 0 S. Amount of Securities Benericially Owned Following Reported TransactiOnflq Omar. 3 and 4) 11. Ownership Form Direct (DI or Indirect 0) (Instr.4) 7. Nature of Snared Beneficial Owners,* time II Cafe V Arriowil (A) or 0:11 Price Common Stock 03/22+2007 M ' ' ' 2.934 A 80 934A18 I) Common Stock 03/2212007 S 1.5(X) D 8151.26 932.918 I) Table N • Derivative Se uriti a Acq Ned. Dis used o . or Beneficially Owned (e.g.. puts. ea s. warrant options. convertible securities) 1. Title ol Derivative Security (Instr. 3) 2. Conversion or Exercise Price of (7047• 77" Security 3. Transaction Date ill oninDaylbar) 3A. Deemed Execution Date. II any ildonihtsyVeari 4. Transaction Code One'. 11) 5. Number of Derivative Securities Acquired (A) or Disposed Of (0) Prise 3.4 and $) 4. Cole Exercemble and Expiration Dee (110n1h0e7.111,0) 1.110e sad Amount of Securities Undertyffig Derivative Seouray (Inat'. 3 end 4) I. Price of Derivative Socwily (Instr. 5) 9. Number of derivative Securilles Benericially Owned Reported rted Deneenion (a)(Inetr. 4) 19. Ownership Fawn: Direct lb) or Indeed (I) Own- 4) 11. Nature of Indirect Beneficial Ownership limit. 41 Code V (A) (DI Dale Exercisable Expired:in Ogee Till* Amount or Number of Shares CAP Unita 121011 oV112007 NI l I i 2.934 I 120/2006 113012006 Common Siock 1.934 VP u. Explanation of Responses: I Scitirmoit 4 CAP loin nil drontomon of common 144a to Reponmg P non pursuing toCAPPlan. e 2 The type of &mime e only hrocalb awn cam haven convection or twirl's. once Remarks: in under Rule Iffis.3 la Schwartz, Alan IX 0123+2007 " Signature.' Reporting Person Data Reminder: Report on a separate line tar each elan of securities benericialy owned directly or inffirecdy. • d the lean is lied by more man one reporting person. see Instruction 4 (b)(v). Intentional misstatements or omissions ol facts consiiiuie Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 7811(a). Note: File three copies of the Form. one of which must be manually signed. If space is insufficient. see instracuicei 6 for procedure. Persons who respond to the collection of Information contained In this form are not required to respond unless the lam displays a currently valid OMB Number. http://www.sec.gov/Archives/edgar/data/777001/000077700107000050/xs1F345X02Jsch... 12/16/2008 EFTA00317045

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 333 of 347 SEC Palm 4 FORM 4 Owe the ear n no longer subject la U Section 16 Fa m • sr Form 5 cldeelow mkt ccubnue See astrucbon 1(01 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington. O.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 1614) 0101e Sea/Nee Exchange Ad 011934. SeCtiOn Me) 01 the Pudic Wiley Holing Canpany Att 011935 or Section 30th) 01 the Investment Company Ad 011940 ONS APPROVAL (11.46 Parrlarr Dunn fancied ammoe burden roes per milaanse 32/6-40$7 February2A 20n OS 1. Name and Address ol Reponing Person. SCHWARTZ AI AN 12 2. ISMS Name and Tickerer Trading Synod 5. BEAR STEARNS COMPANIES INC ( ESC I Relakinshipol Reporting Person(sl to Issuer (Check SI appicabb) X Director tO% Oener X Officer (give tab Cater (speedy below) below) President iLaso Firth (Middle) C/O BEAR. STEARNS @ CO. INC. 383 MADISON AVENUE 3. Date of Earbast Transaction (1AonthDaylYear 12/21/2007 4. II Amendment. Date of Ongnal Filed thlonthOayNearl S. Indedual or Join9Group Fling (Check Applcable Line) (Stmen) X Form Med by One Reverting Person Form Mad by More than One Reporting Parson NEW YORK NY 10179 ICID) ISlate) RIP) Table I . Non Derivative Securities Acquired. Di posed ol. or Beneficially Owned I. Title Of &Morley (Instr. 3) 2. Transacuce Dale (leaninOry,Tear) 2A. Maned Execution Da Many (Morebtatyeer) 3. Transaction Code (Iuse. e) 4. Stearn*. AC aired (A) ot Dirgosed 010))(Instr. 3.4 and 5) S. Amount of Securities Bentlichlly Owned F Wynne Reported Transact:ems) Onfill. 3 and SI 6. OWnitiShig) Form. Direct ID)or Indirect (I) tins& 41 7. Haunt 011nditad Beneficial Owner...iv pose. 4) Code V Amount (A) en (0) Rica Common Stock 12121/2007 • • M ) 161.662 A SO 1.093.580 D Common Stock 12/21/2007 S 67.900 D 389.01 1.026.680 D Table N Derivative Securities Aug Pea. DISpOSed 0 • or Beneficially Owned (e g.. puts. calls. warrants options. conver de securities) I. Nee 04 Parodic* Socutity (MO. 3) 2. Conversion ot Exorcise Price of Dervearne Security 3. TranSaCIIM Data OilorilnDayetor) IA. Onotold EXOCu0On Data. early (MonlhDsyYsar) 4. Trail...000n Code Onstr. in 5. Numbs of Deriontive Securities Acquired la) or Disposed of (Oldnistr. 3.4 and SI 6. Data Exercisable and Esplistion Date MOnt%Daytt40 7. Title and Amman of Securities Unclailyin0 Derivative Senall2 (bsslr 3 and 4) & Pane of Corinth. Slants (I000. 5) 9. HUMP( of derivation Semmes Beneficially Craned Folicneng 000010,3 TFOAS001100 () (Instr. 4) 10. °enemata Fait Wiwi (to or Indirect (I) (Instr. 4) 11.Nesure of lndkect Bennelel Ownership Omer. 4) Code V IA) (0) Oar exercisable Eyeshot, Da* lids Amoral or Number ol Sham CAP Uses (2002) lint/2007 NI 161.661 I //302007 1141°2007 CaStockren= 161.662 50 0 Explanation el Responses: I. Salliellint i CAP Unns disintnition ot common Moil to Reptlizie a-rson pointed Co CAP P107 cui 1 Th.. type 01 dein 010: SO.WIly nryetliy Jim 034 hoc a corimsion or cxctau Moe Remants: mitt Rule I6a4 /s/ Schwartz, Alan D. *" Signature ol Reporting Person 12/21/2007 Dale Remnder. Report on a separate Ire for each class ol securtes tenelicoly owned drectly or indrectly. • II the tom' is filed by more than ore repartng person. see insuudim 4 Ibliv). " Intentional mastabarnents or omissions ol (acts constitute Federal Criminal Violatens See t8 U.S.C. 1001 and IS U.S.C. 7811(a). Nate: File three copies ol this Form. one ol whch must be manually signed. If space is insufliceM. see Instruction S procedure. Persons who respond to the collection of information contained In this form are not required to respond unless the form msplays a currently valid OMB Number. http://www.sec.gov/Archives/edgar/data/777001/000077700107000139/xs1F345X02/sch... 12/16/2008 EFTA00317046

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 334 of 347 SEC Form 4 FORM 4 Check °Sebes /nolonger subject to 0 Section It Form 4 or Form5 OblgaliOnS may anfinue 511e insmxdon UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington. D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant lo Section 16(a) of the Securities Exchange Act 01 1934. Section 17(a) of the Pubic Utitty Holding Company Ael of 1935 or Section 30(h) ol the 'meson:int Company Ad ol 1940 OMB APPROVAL 011BNumber' 32350207 February 29. 2011 Emmet.," average burden how's pe' response 0.5 1. Marna and Address of Reporting Parsed SCHWARTZ ALAN D 2.1ssuer Name and Ticket or Trading Synibd BEAR STEARNS COMPANIES INC 5. Relationship of Reporong Persons) to issuer (Chedt all al:431C3b(o) X Dreary 10% Owner X Officer (give lige Other (Wetly below) CEO. President I BSC ] — (teal (Ertl) (Middle) CO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. 3.130e of Earliest Transaction (MoNhiDayNeag 01/)9/2008 0.1 Amendment. Dale of Original Filed (Mornh'DaylYear) 6. 'Saida' or Fding (Check Applicable Line) X Form filed by One Reporting Person Form fled by More man One Reporting Pelson 15See q NEW YORK NY 10179 (City) (Slate) Rpl Table I • Non-Derivative Securities Acquired. Di posed ol. or Beneficially Owned 1. 71110 of Security (Instr. 3) 2 Transaction Dale (MonlhEraylew) 24. Deemed Execution Date. it any (aIrMUTDirtYtar) 3. Transaction Code (Instr. 8) 4. Securities A ;pi red (A) or [disposed Ca 10 (frisk. 3.4 and a) 5. Amount of Securities Benelicially Owned Feb i g Reported Trans's-fonts) Proltr. 3 and 4) 4- Ownership Form: Direct ID) or indlreci (0 (lost. 4) 7. Nature of Indirect Beneficial Ormond,/ limn 41 Code V Amount (A) Or (D) Price Table II • Derivative Se uriti s Acquired. Disp sed of or Beneficially Owned (e g.. puts. cal s. warrant . options. convert' le securities) 1. Title ol oetwative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date Month:Day:Year) SA. Deemed Execution Dale. if any IN onthDay:Yearl 4. Transaction Code (Instr. B) S. Number of Derivative Securities Acquired (A) or Disposed d(0) 11mM . 3.4 ends) 6. Dale exereembie and Expration Dale (MomhDayal eat) 7. Tide and Amount of Securities Underlying Derivative Security (IOW. 3 and 4) S. Price of Derivative Smoky (Instr. 9) 9. Number of derivative &Kunnas Beneficially Owned FosevAng Reported Transaction BMInstr. 4) 10. Ownership Form: Direct ID) or indirect (I) (Instr. 4) It. Nature or indirect Beneficial Ownership (Instr. 4( Cede V (4.1 (0) Dare Exercisable Expiration Oats Title Amount et Number 0 Shares 4..h' I ...... (A/00i . I. 01/0922008 A 121 1.107 1 'notion s umr-ow women Meek 1.107 W 1.107 D C.A 2003 P Units ( 1 i i i 0140)/2(08 A i 12 1.111 1160/2008 11/3110.006 Common Sionk I III • W 163.392 D CAP Units (2034i i i i 01/09/2008 A (2 i 677 I monoo9 11/3110.00? Common Meek 677 sO 99.653 D CAP Units (2.1105) ' I ' 01/01/2008 A i I i 611 11/30/2010 11/3W2010 esifir" km. 611 SO 89.875 D CAP Mug (1006) i i i 0M0/2(0R A (2 i 380 1 inonim 1 11/3W2011 Common Slack 580 SO 85.349 D Explanation of Responses: I. The. type of &ninny u wnv typically ancs am have a conwnaon or exams< ponce 2. CAP Cain Tedrierl ioRCIAVUO8 Anson% account (as of IANO6)bused on Fiscal Year 82107 Net Sammy. Admit:AAA pursuant io the Issuer's Capnal Aectwoulation Plan fa Senior Manapng Directors ('Al' Plum. cat rare undo 'cult 1M-3. Remarks: /s! Schwartz, Alan D. 01/09/2008 Signature el Reporting Person Data Reminder. Report on a separate line her each class ot seeurilies henaficidly owned directly or indirectly. • if the Icon is lied by more man one minoring person, see Instruction 4 (b)(v). intertional misstatements or omissions of facts itonsiihne Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 7811(a). Note: File three copies of Ins Fain, one of which must be manually signed. If space is insufficient. see Instruction 6 for procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. http://www.sec.gov/Archives/edgar/data/777001/000077700108000014/xs1F345X02/sch... 12/16/2008 EFTA00317047

FORM 4c'se Check this box if no onger subject to Section 16 Form 4 or Form 5 obligations may continue. See Instruction 1(b). .08-cvNilleglickilitoareetRINESFANIMMINegle 335 igthiqppRovAL COMMISSION OMB Number: 3235.0287 Expires: January 31, 2008 Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(0 of the Investment Company Act of 1940 Estimated average burden hours per response... 0.5 I . Name and Address of Reporting Person SPECTOR WARREN J 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC [ BSC ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) x Director 10%. Owner _ _ X Officer (give title below) Other (specify (Last) (First) (Middle) C/O BEAR, STEARNS & CO. C 383 MADISON AVENUE 3. Date of Earliest Transaction (MWDDNYYY) 12/19/2005 _ _ below) Co-PresJCo-COO (Street) EW YORK, NY 10179 (City) (State) (Zip) 4. If Amendment, Date Original Filed (MM/DD/YYYY) 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by Mott than One Reporting Person Table I - Non-Derivative Securi ies Acquired, Disposed of, or Beneficially Owned I title of Security (Instr. 3) 2. T Ws. Date 2A. Deemed Execution Date, if any 3. Trans. Code (hum 8) 4. SCOW Ales Acquired (A) or Disposed of (D) butt 3.4 and 5) 5. Amount of Securities Beneficially Owned Following Repotted Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (1) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock 12/19/2005 M it) 385592 A SO 616398.00 D Common Stock 12/19/2005 D [385592 D 571622 230806.00 D Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible secunties) I. Title of Derivate Security (Instr.3) 2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date. if any 4. Trans. Code (Instr. B) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Ins r. 3.4 and 5) 6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security (hum 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction (s)(Insu. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Ins°. 4) II. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares CAP Units (2000) (21 12119/2005 M iii 385592 11/30/2005 11/30/2005 Common Stock 385592.00 0.00 I) Explanation of Responses: ( 1) Settlement of CAP Units and distribution of common stock to Reporting Person pursuant to CAP Plan; exempt under Rule 16b-3. ( 2) This type of derivative security typically does not have a conversion or exercise price Reporting Owners Reporting Owner Name / Address Relationships Direct° 10% OwnerOfficer Other SPECTOR WARREN J C/O BEAR, STEARNS & CO. INC 383 MADISON AVENUE X I Co-Pres./Co-COO EFTA00317048

INEW YORK, NY CAW 1 :08-cv-f027931-RWS Elocument 102 I Filed 02/27/09 Page 336 of 347 Signatures /s/ Spector, Warren J. Signature of Repotting Person 12/20/2005 Date 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). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See IS 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. Persons who 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. EFTA00317049

SEC FORM 4 Page I of Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 337 of 347 SEC Form 4 FORM 4 Cheek Ins tere itnolonger Gutted to 0 Settee M. Foam 4 a Fern 5 otlgeons maw cordite Sep frelnicien try. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washeglon. O.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuanl to Seaton 16(a) of the Securbes Exchange Ad el 1934, Section 17(a) of the Public Utility Maine Company Ad ol 1935 or Seamen 30(h) of the Imestment Company Ad el 1940 OMB APPROVAL NUMbfir: berm Filtrated average tnatIO0 hoursper 101POrO0 32350287 February 28. 2011 0.5 1. Name and Acklress M Reporting Person SPECTOR WARREN 1 2. Issuer Name and Ticker or Tradrg Symbol BEAR STEARNS COMPANIES INC 5. Reblionskp el Reporting Person(s) to Issuer (Check al applicable) X Director 10% Owner X CdIker (give fide Other (specify below) below) Co-Pres-/Co-COO I Esc! MA (FirSI) (Middle) 00 BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Dale el Earliest Transaction (Mordb1DavYear) 12/.2242005 0 I( Amendment Dale of Original Filed (Morthi•DayNear) 6. Individual or Jen0Group Fling (Check Applicable Line) X Fenn likd by One Reporting Person Fain liled by More than One Reporting Person (Sheet) NEW YORK NY 10179 (Oily) ISlate) 148 Table I - Non-Derivative Securities Acquired. Disposed of. or Beneficially Owned 1. Title of Security (lnstr. 3) 2. Transaction Dale tucathi3ay.Tear) 2k Deemed Execution Date. limy (Menthearyno 3. Transaction Code (Mite. 4) 4. Secwitlee Acquired (Al or Disposed Of (0)(1nstr. 3.4 and 5) S. Amount of Securities Ilerwlicialry Owned Folio 9 Reported Tninseclion(41 rinse. 3 and 4) S. Oanwrshe Form: Direct an or Indirect 0) (Inset 4) 7. Nature of belled Benerkoo Onnersh,p (Mau. 4) Code Amount (A) l e: leder 10) Table II - erivalive Securities Acq !red. Disposed o or Beneficially Owned (e g.. puts. calls. warrants. options. converti le securities) I. TIM of Deelvellve Security (Instr. 3) 2. Conversion or Leads* Price of Derivative Security 3. Trimmed:in Dale (alonthtiayTeer) 3A. Deemed Eastman MM. deny (Menth,Day,Teen I. Transaction Code rinse. I) 5. Number et Derivative SmuMies Acquired (A) or Disposed of (D) (Instr. 3 4 end 5) C. Dole EIMICISOIXO and Expiration Dine irscrentiam7emi 7. Tide and Amount or Seances Undemrimil Derivative Security (Instr. 3 and 4) 8, Price of Dalvative Security (MeV. 5) 9.11mnbor or derivative Securities Sennkially Owned Fonowing Reported Transaction (4) (line. 4) it Ownership Form: Direct (DI or bleared 61 (Mau. 4) II. Nerve of eaved Beeeelcbi Ownerelne finstr. m cods V (A) ID) Date Era/VIM/MO Expiration Data TM* Amount Or /limber of Shares 12005 CAP Limb ) i n i 12122,2cri., A x3.644 W3012010 W3012010 Cbmia' Stook n 83.644 SIM 3 si.c.4, Erap swa. Opuon ifti loftily) SII6 5 1 if22MXIS A 12/12/2008 12/12/2015 Common Stied 53.650 SU 53.6in 53.850 Explanation of Respoeses: I This nry m dern.tirre se; my typical). don. WC haw a CallenuM or eXCIVOC Ii iec 2. Ddenal of orspernmen and credit to Rcpxues Poxes ACCOUN fur of 11/22,05; penman in the bum'sCigna ACCUMUUllOa Plan for Smut Alanapms Dual Remarks: iCAP Plan exempt under Rule 166 Is! Spector, Warren J. I 2/23.12005 '• Signaiure o1 Reporting Person Dale Reminder: Reperl on a separate Inc ler each class of securibes beneficially owned d ecthr a indirectly. • If the term is lied by more than one reportng person. see Instruction 4 (0)(v). " Intenbonal inisstaiernerss or omissions el fads consteute Federal Criminal Volations See 18 U.S.C. 1001 and 15 U.S.C. 780(a). Note: File three copies at this Form. one ol wlich must be manually signed. II space is insufficient. see Iretruction 6 tor procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. hup://idea.sec.gov/Archives/edgar/data/777001/000077700105000129/xs1F345X02Jspe38... 2/26/2009 EFTA00317050

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 338 of 347 SEC Form 4 FORM 4 Check this box if no lamer ....Neel 0 lo Seoul le. Form 4 or Feral 5 obloalorts may coronae Soo instruclien UNITED STATES SECURITIES AND EXCHANGE COMMISSION STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securilies Exchange Act of 1934. Seclon 17(a) of the Pubic Utility Bolding Ccomany Act of 1935 or Seelion 30(h) ol the Investment Company Ad 01 1940 OMB APPROVAL Oft/INumbee: 3235-0287 Expo: Fabruary 28, 20m Estimated dotage burden hours per 0.5 response • 1. Name and Address d Reporting Person SPECTOR WARREN I 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC I BSC I 5. Relationship ol Reporting Persons) lo Issuer (Check al appkable) X Drector ID% Ownd X Officer (give lille other (specify below) below) Co-Pres./Co-COO (Last) (RIM) (Middle) C/O BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Date Cl Earliest Transactiontmentamaynear) 12/23/2005 4. H Amentrneni. Dale ol Original Filed (Monlhtlay/YeaB 6. Individual or JointtGroup Filing (Caeca agates. Line) X FOrM Ned by One Retailing Person Form Ned by Mote Than One Reporting Peron (street) agates. NEW YORK NY 10179 (City) (State) tZO: Table I - Non-Derivative Securities Acquired. Disposed of, or Beneficially Owned 'knee el Security (Instr. 3) 2. Transeclion Date (MonlIviirriefear) 211.0isenwd Exectaion Dale. if eny (MonthOerfod I Transaction Code (Inna. 6) a. Securities Acqueed (Ai or Disposed Of ID) (watt. 3.4 n05) 5. Saloum of Securities Bendicisily Owned F 'lowing Repotted Transact:anis) (Instr. 3 and a) 6. Ownership Form: Direct (D) or Indirect (I) (Insa. 4) ?Jailor. of Indirect Beneficial Ownership (Instr. II COOS V An1OUnil (A) Of (0) Price Common Stock 12/23/2005 (1 V 150.000 D 80 80.806 I) Table II - Derivative Securitie Acquired. Disposed ol. or Beneficially Owned (e. .. puts, calls. warrants. options, convertible se unities) I. Title of Derivative Security (Iften. 3) 2. Conversion or Exercise Priced Derivative Secunty 3. Trandllon Date tMenthearrear) 3A. Deemed Execution Date. d any (aorith.Dayolear) 4. Transaction Code Dna'. 8) S. dumber of Derivative Soccdties Acq red IA) a Disposed or ID (ins . 3.4 and ) 8. Dale Exercisable and Expo-dim Dale Ilionthearlear) 7. Tide and Amount of Securities Underlying Derivative security (inso. 3 and II 8. Price ol Derivative Security (InsIr. 5) 9. Number of derivative Securities Beneficially Owned Following Repotted Transaction (r) flnitr 4) 10. Ownership Form: Died (D) or Indirect (II (Inst. 4) 11. Nature el indirect Beneticial Ownership (Instr. 4) Code V (A) (D) Dale Exercisable Expiration Date True AmOUOI Of Number of Shares Explanation 01 Responses: Remarks: is/ Spector, Warren J. 01/03/2006 •• signature 01 Receding Person Dale Reminder. Report on a separale line for each class ol securities beneficially armed directly or indirectly. II the form is filed by more man one reporting person. see Instruction 4 (b)(v). " Intentional misstalements or omissions ol lads consaule Federal Criminal Vidadons See 18 U.S.C. 1001 and 15 U.S.C. 7811(a). Note: FM three copies ol INs Form, one of which must be manually signed. II space is inufficient. see Instruclias 6 Tor procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. http://idea.sec.gov/Archives/edgar/data/777001/000077700105000133/xs1F345X02Jspe38... 2/26/2009 EFTA00317051

FORM itse Check this box if no onger subject to Section 16 Form 4 or Form 5 obligations may continue. See Instruction 1(b). 1 .08-cvNifftillffliiitogifirieeitINESFAINIA211aaNatge 339004147ppRovAL COMMISSION OMB Number: 3235.0287 Expires: January 31, 2008 Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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 Estimated average burden hours per response... 0.5 I. Name and Address of Reporting Person • SPECTOR WARREN .J 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC [ BSC ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) x Director 1016 Owner _ _ X Officer (give title below) Other (specify (Lau) (First) (Middle) C/O BEAR, STEARNS & CO. C., 383 MADISON AVENUE 3. Date of Earliest Transaction (8181/DDNYVY) 2/8/2006 _ _ below) Co-PresJCo-000 (Street) EW YORK, NY 10179 (City) (State) (Zip) 4. If Amendment, Date Original Filed (MM/DD/YYYY) 6. Individual or Joint/Group Filing (Cheek Applicable Line) _ X Form filed by One Reporting Person — Form filed by More than One Reporting Person Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned I.Title of Security (Instr. 3) 2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3,4 an 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I1 (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Table II - Derivative Securities Beneficially ()m ned ( e.g. , puts, calls, warrants, options, convertible secunties) I. Tide of Derivate Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date. if any 4. Trans. Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (lasts. 3.4 and 5) 6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction i»(Irtstr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares CAP Units (2000) (11 2/8/2006 A (21 24620 11/3012005 11/3012005 Common Stock 24620.00 SO 24620.00 D CAP Units (2001) 2/8/2006 A (21 2646 11/30/2006 11/30/2006 Common Stock 2646.00 SO 44096.01) D CAP Units (2002) III 2/8/2006 A (21 9145 11/30/2007 11/30/2007 Common Stock 9145.00 SO 152374.00 D CAP Units (2003) 2n02006 A (21 9162 11/3012008 11/34W2008 Common Stock 9162.00 50 152651.00 I) CAP Units (2004) 2/8/2006 A (21 SS88 11/30/2009 11/30/2009 Common Stock 554(6.00 SO 93081.00 1) Explanation of Responses: ( I) This type of derivative security typically does not have a conversion or exercise price ( 2) CAP Units credited to Reporting Person's account (as of 2/8/06) based on Fiscal Year 2005 Net Earnings Adjustments pursuant to the Issuer's Capital Accumulation Plan for Senior Managing Directors (CAP Plan); exempt under Rule 16b-3. Reporting Owners I Reporting Owner Name / Address Relationships I EFTA00317052

uase 1:ua-cv-ityilabwroixnmegmaient luz (AO SPECTOR WARREN J GO BEAR, STEARNS & CO. INC. 383 MADISON AVENUE NEW YORK, NY 10179 X Co-Pres./Co-COO Signatures /s/ Spector, Warren J. •• Signature of Repotting Person 2/9/2006 Date d 02/27/09 Page 340 of 347 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). Sig 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. Persons who 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. EFTA00317053

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 341 of 347 SEC Form 4 FORM 4 Cheek this box if no iongrer SutteCI 0 10 Seca:418 Form 4 Of Fenn 5 obloatiord may Carona Sr. Int.trUCliOn UNITED STATES SECURITIES AND EXCHANGE COMMISSION STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP riled purSuant to SOMA 16(a) of the SeCurilleS Exchange Awl Of 1934. Section 17(a) of the Pude Way Holding Company Ac Of 1915 or Section 30(h) Of the blveStMent Company Ad of 1940 OMB APPROVAL OtABNumba: 3235-0287 awes: February 28. 3011 Esbeated average budan Won% per 0.5 response I. Name and Address d Repanting Person• SPECTOR WARREN I 2. Issuer Name and Tided Or Trading Symbol BEAR STEARNS COMPANIES INC I BSC I 5. Relidesistilp DI RepellingPersons) to Issuer (Check Al applicable) X Deector 10% Owner X Officer (give die 011IN (specify below) below) Co-Pres/Co-COO (Lad) (Find) Riddle) C/0 BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Date Cl Earnest TranSaCbOn (MOnINDayNear) 12/04/2006 4. II Amentritent Dale DI Original Filed (MOrdbiDay/Year) B. IndNidual or JOIntitIOUB Filing (cheek Appteenie Line) X Form Ned by One Reporting Person Form Ned by Mde than One Reporting Person (Street) NEW YORK NY 10179 (City) (State) ap) Table I - Non-Derivative Securities Acquired. Disposed of. Or Beneficially Owned 1. Mlle of Security (Instr. 3) . Transaction Ode (McoUvDrylrear) 2A. Deemed Execution Date. Ifany (IFenth'Dtvelliad 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) S. Amount of Securities Beneficially Owned F Hawing Repelled Transaction(*) (Instr. 3 and 4) 6. Ownership Form: Cared (D) or indirect (II finals 4) 7. Malin. of Interdi eeneScisi Ownership Mau. 4) Cods V Amount (A) or 019 Moo Common Stock 12/04/2006 c V 36 D sO 80370 IT Table II - Derivative Securitle Acquired. Disp sad of. or Be °Boldly Owned (e. .. puts. calls, warrants, options. c avertible se unities) 1. Tile of Derivative Security (Iften. 3) 2. Conversion or Exercise Priced Derivative Security 3. Transaction Date (MonifiDaffitar) 3A. Deemed Execution Date. if any (MontiaDayoneer) 4. Transaction Code PAW. 8) S. Number ot Derivative Seed/ties Acq red (A) or Disposed ot ID (ins . 3.4 and ) 6. Dime Exercisable and Expiration Dale (MomhDayNear) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and I) 8. Peke of Derivative Security (Inso. 5) 9. Number of derivative Securities 8enetwouy Owned Following Reported Transact on (8) (Instr. 4) 10. Ownership Form: Direct (D) or indirect f g finds 4) It. Nature of Indirect Beneficial Ownership (Instr.4) Code V (A) (D) Dale Exercisable Ezpirstion Date Title Amami or Number of Shares Explanation al Reapailitain /s pector, Warren 1. 12/05/2006 signalise 01 Reporting Person Dale Reminder: Report on a separale line It( eadl class 01 securities beneficially Owned orally or indiready. • If the norm is filed by more man one reporting person. see IndrudiOn 4 (b)(v). • Inlenlional misstatements or omissions of fads ccestilule Federal Criminal Violations See IS U.S.C. 1001 and 15 U.S.C. 7BIfia). Nofe: FM three copies of this Form. one of which must be manually signed. fl space is Wm?! bled. see Instruction IS lot procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. hup://www.see.goviluthives/edgar/data/777001/000077700106000120/xs1F345X02Jspe... 10/29/2008 EFTA00317054

SEC FORM 4 Page 1 of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 342 of 347 SEC Form 4 FORM 4 Cheek Iris basil re longs Gutted to 0 Salem 16. Form4 a Forms aligaions may wave. See hauler, 1(b). UNITED STATES SECURITIES AND EXCHANGE COMMISSION washnson. O.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 18(a) of the Securbes Exchange Ad ol 1931, Sectian 17(a) of the Pubic Wily Holdng Company Adel 1935 or Section 30(h) of the Invesenent Company Ad el 1940 OMB APPROVAL ale Humber: Eaptes: 32350287 February 28. 2011 Estimated average burden hours per mesons. 0.5 1. Name and Aciiress ol Reporting Person SPECTOR WARREN 1 2 Issuer Name and Ticker or Tradng Symbol BEAR STEARNS COMPANIES INC 5. Reldicnship of Reporting Parents)) to Issuer (Check all opal/sable) X Director 10% Owner X Miter (gam fide Other (specify below) below) Co-Pms/Co-000 I BSC I Man (kid) (Middle) CO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Dale of Earliest Transaction (MardIVDayiYear) 12/18/2006 4 II Amendment. Dale of Original Filed (Montfid)awYear) 6. Individuala JenrGroup Fling (Check Applicable Line) X Fenn filed by One Reporting Person Form filed by More than One Reporting Person (Skeet) NEW YORK NY 1c)17, ) (Oily) I S I a t e I IL p i Table I' Non-Derivative Securities Acquired. Disposed ol. or Beneficially Owned 1. Title of Security (Instr. 3) . Transaction Dale MonthOsyrreval Tell. Deemed Execution OS It any IMorithOOSTeed t Traneaction Code lint 5) 4. Securities Acquired IA) or Dieaseed Oi (DI (Mar. 3.4 emus) 5. Amount ol Socrates Beneficially Owned Following Reported Transactional/ rinse.] and It 4. Oimeeelap Form: Direct (DI Or Mantel (i) Oman 41 7. Nature Modred Benedicial Owneesho rimer. li Cede V AnbeUM 0.1 er M) Nee Common Stock 12/18/2006 M . I . 44.096 A $0 124.866 I) Common Stock 12/18/2006 o 44.(96 I) $164.68 80.770 D Table II - Derivative Securities Acq fired. Disposed ol. or Beneficially Owned (e.g.. puts. calls. warrants options. convertible securities) 1.11ele ot Orreivalive Security Omar. 3) 2. Conversion or Exercise Once ol Deelvalive Security 3. Transaction Date glonthOsyNearl 3.A. Deemed Execution Dew. irony (Montheaylair) 4 Transaction Cede Chair. 00 5. Humber of Deemlive SecuMies Acquired IA) or Disposed et( ) Ins .1.4 and 5) G. Dile Exercisable and Expirmion Date (McolhOay.Tearl 7. TRW and Amount of Socalaes OndartTO9 Derivative Security (Instr. 1 and 4) 8. Price et Privaiive Security (inse. 5) 9. Number el derivative Securities eantlicially Owned Following reopened Transaction (s) (M.o. 4) W. Ornerealp Form: Demi (DI or hulked Ol (nelr. 4) II. Naive diorama Benencir Owneesho (lmar.4i Code V IA) 150 Dale ilkaleisa514 [Toreson Dot* lido Amount or Number of Shares CAP Units i21)01) , ! r II/18/2006 al 44M96 11/30/2006 NW/20M Common Stock 44.096 to 0 Explanation of Responses: • ' deenbution of common mock to Repented Person cursoam so CAP Plat. exempt under Rule 1663. • ray typically does ex hare •COIOCRI011 Of CXCII:b! pear Remarks: 1st Spector. Warren J. 12/19/2006 • • Svgnalure d Reporting Person Dale Reminder: Report on a separate Inc lot each class of securities beneficially owned d ecta or indrecthr. • If the form is Med by more than one reportng person. see Instrudion d Ba4v). " Intentional rrosstaierneres or omissions ol facts con:Note Federal Crain& Violations See 18 U.S.C. 1001 and 15 U.S.C. MSS. Note: File three copies of this Form. one of wlich must be manually signed. 11 space is insufficieni. see Iratruction 611 procedure. Persons who respond to the collection of information Contained In this form are not required to respond unless the form displays a currently valid OMB Number. http://www.sec.gov/Archives/edgar/data/777001/000077700106000137/xs1F345X02/spe... 10/30/2008 EFTA00317055

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 343 of 347 SEC Form 4 FORM 4 Commk Pis Mu arolonger meted to 0 Settee 18. Form 4 a Fern 5 cbtkutions may wave See eelnicito UNITED STATES SECURITIES AND EXCHANGE COMMISSION 'A'azhngton. D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed mirsuanl to Section 16(a) of the Securdes Exchange Ad ol 1934. Seakin 17(a) of the Public Utility Holdng Company Ad of 1935 or Section 30th) of the Imestment Company Ad ol 1940 OMB APPROVAL OMB Hunter: Expects 32350287 February 28. 2011 FillThittia average buiden twit per mesons, 0.5 1. Name and Address ol Reflecting Person SPECTOR WARREN 1 a Issuer Name and Ticker or Tr adrg Symbol BEAR STEARNS COMPANIES INC 5. Reblicnshp of Reporting Persons) to Issuer (Check all amicable) X Oireclor 10% Orme, X CdIker (give lille Other (specify below) below) Co-Pres/Co-COO 1 BSC 1 MR) MS) (Middle) CFO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Dale of Earliest Transaction (Mordh'DayNear) 12/20/2006 0 II Amendment. Dale of Onginal Filed (Mordhit)awYear) 8. Indnidual or Jenttroup Fling (Check Applicable Line) X Fenn fikd by One Reporling Person Form tiled by More than One Reporting Person (Street) NEW YORK NY 10179 (City) (Slate) PP/ Table I. NonDerivative Securities Acquired. Disposed of. or Beneficially Owned 1. Title of Security (Instr. 3) 2. Transaction Date PloMbOrrNeen 2A. Chemed Enecubon Date. limy (donthbaylmr) 3. Transaction Code Onev. 81 4. Decimal., Acquired (Al or Disposed Of CO/ (loth. 3.4 and 5) 5. Amount of Sem/Hies Itemiticialry °amid Fade i g Reponed Transaclkn(st (MS. 3 and 4) 6. Ormershp Form: Owen (Dior Indirect (I) (Inter. 4) 7. Velure of Indirect lierterichl Ownership (Min. It Dodo V Amount IA) or ID) Prior Table II • Derivative Securities Acq fired. Disposed o or Beneficially Owned (e 9.. puts, calls, warrants options, cenverti le securities) 1. lltle of moven.* amen Omar. 31 2. Conversion or Exercise Price of Derivative Security 3. Transaction Dale (MonththyTeer) 3A. Doomed Execution Dolt deny (MenertiarNear) t Transaction Codt (Instr. 44 5. Number of Derivative Securities Anchored IA) or Ohroosed 0()) (Instr. 3 4 and 5) 6. Dale Deer C liable and anotanoo Dale McmhOayNeart 7. TIde and Amount ot &myrtles Undertrail Derivative Security (Instr. 3 and 4/ 8. Price of Oalvellso DeCUrilit (Instr. 5) 9. thentier of *denim Securities Seneficher Owned Felhverna Asserted Transaction (s) (line. 4) 10. onorson Form: Men (Ell or Indired (II (Mete) II. Nabs* orintotoct Reowlicial Ownership finstr. II Coda V IA) ID) non Exertliabla expiration Data TM Amount or flbselbef of Maros CAP Onus (2006) nor I Z,20::, et. A %Sall IVACO' I I UM:Oil Common Suck ,.„. 85.I.A/ I 70 85.1.01 Eire 4441. orison le f., b4, , SIM t2 I Z,20::, et% A 12lb:22009 12lb:22016 Common Stock 33.938 to 33.93s 0 33.938 Explanation of Responses: I Thu nee o 4en, rine so. on tyen411). du+ set haw a <alveolar] or citcleue piss 2, Ddmal of •ormensrtion mi credit to Reforms Pavans Account as n(12/201)6 pwsuanl mite Nees Capital Anumulxrnn Plan for Senior Mourns Duracts (CAP Plan): catnip under Rale lob. Remarks: Is/ Spector, Warren J. 12/21/2006 Sian/aura of Repotting Person Dale Reminder: Reporl on a separate Inc lot each class of securities benelicially owned d ect/jr r indrectly. • If the term is tiled by more than one reportng person. see Instruclice 4 (b)(v). " Intentional rrisstolorneres or omissions ol fans constouto Federal Crirrinal Violations See 18 U.S.C. 1001 and 15 U.S.C. 780(a). Note: File three copies of this Form. ore of alich must be rrandally signed. ff space is insufficient. see Irotruction 6 tor procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. http://www.sec.gov/Archives/edgaddata/777001/000077700106000153/xs1F345X02/spe... 10/30/2008 EFTA00317056

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 344 of 347 SEC Form 4 FORM 4 Omsk Pis be. dnalonger gutted Oa 0 Settee le. Ferni4 a Fein 5 oblgeions maw ceramic, See Febvelto UNITED STATES SECURITIES AND EXCHANGE COMMISSION washnson. 0.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed purs.uanl to Section 18(a) of the Securbes Exchange Act el 1934, Section 17(a) of the Public Utility Holdng Company Ad el 1935 or Section 30(h) of the Imestment Company Ad el 1940 OMB APPROVAL OM Humber: bores EsInoa avatar/ bugle., mum per ressoree 32350287 February 28. 2011 0.5 1. Name and Address at Reporting Person SPECTOR WARREN 1 a Issuer Name and Ticker or Tradrg Symbol BEAR STEARNS COMPANIES INC 5. Relaticeshe of Reporting Person(s) to Issuer (Check all applCable) X Director 10% Orme, x Mktg (give fide Other (specify below) below) Co-Pres/Co-C1K) I BSC I Man (Thal) (Middle) CO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Dale el Earliest Transaction (Month:Dee/ea) 12/21/2006 0 I( Amendment Dale of Original Filed (Morthit)ayoYea) 6. Individual or JeintGroup Fling (Check Applicable Line) X Fenn filer) by One Reporting Person Fenn filed by More than One Reporting Person (Skoog NEW YORK NY 10179 (City) (Slate) PP) Table I' Non-Derivative Securities Acquired. Disposed el. or Beneficially Owned 1. Title of Security (Instr. 3) 2. Transaction Dale Moollvesy.Vearl 2A. Deemed fee:when Date, if any iisamhOsynf earl 3. Tanya:don Cede (MM. I) 4. Securities Acquired IA) or DisoOsed Ol (Dl (Instr. 3.4 and 5) 5. Amount el Snakier Beneficially Owned Folkaidno Reported Transadients) (Infer. 3 and II 4. Ownerible Form: Direct (DI or geared (I) Onsir. 41 7. Nature of Milked Ramekin Gangrene emir. it Cede V AremuM (Al or 051 Price Common Stock 12/21/2006 M . I . 69.197 A 538.75 149.967 I) Common Stock 12/21/2006 s 69.197 D 5164.12 80.770 I) Table II -Derivative Securities Acq (red. Disposed of. or Beneficially Owned (e.g.. puts. calls. warrants options. convertible securities) I. Tide of Chirlealive Security Omar. 3) 2. Conversion or Exercise Pico of Derivative Security 3. Transacoon Date dlenlhOsyNear) 3/1. Deemed Execution Dew. deny naenaneartra40 A Transaction Cede (lose. 4/ S. Humber of Deevative Seaumita *roared O h A) el le m of (D) tins r. 3.4 and 5) G. Date Exercisable and Expiration Date tMcnthOmNearl 7. Tide and Amount of Segal*, UndenTio9 Derivative Snurkly limn. 3 and 4) 8. Prke of Ihrlealive Security (nsir.5) 9. Humber 44 derivative Securities Beneficially Garnid Following Reporied TraniatlIOA 4) (Instr. 4) to. Garnering Form: Wert (DI or bullied Mend,. 4) I I. Naive of Marna Ramekin Gangrene gnaw It cods r (A) 10) Dale IMordeAlm° ExpliellOn Date TIM Amount or Number ea Sham Stott Sled Option albs In B. 433-75 12f210.006 SI l , , 69.'97 01/10:2001 01/10/2010 Common Stab 69.197 to i Explanation of Responses: I. Exerc,seM Ertglaym Swab Oeuan iltmlu uy) yarned 01/101:0 and duenbution a common stock to Reprung Noon einem to Imucr*Sfix Awaid Plan exempt under Auk lab., Remarks: Al Spector, Warren J. 12/212006 • • Signature a Reporting Person Dale Remeider: Report on a separate Inc. ter cad, class of securities beneficially owned d ectly or indirectly. ' If the loon a tiled by more than one reportng person. see Instruction 4 (b)(v). " Intentional nisstalernents or omissions of facts constaute Federal Criminal Violations Sae 18 U.S.C. 1001 and 15 U.S.C. 7811(a). Note: File three copies of this Form. one of which must be manually signed. II space is insulficient see Instruction ti ler procedure. Persons who respond to the collection of Information contained In this Conn are not required to respond unless the Corm displays a currently valid OMB Number. http://www.sec.gov/Archives/edgar/data/777001/000077700106000163/xs1F345X02Jspe... 10/30/2008 EFTA00317057

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 345 of 347 SEC Form 4 FORM 4 Cheek this box if ro longer ttutteel 0 lo Sown. Form 4 Of Foml 5 obtparicra may Corona Soo Int.truClian UNITED STATES SECURITIES AND EXCHANGE COMMISSION WaOlingten. D C 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Saturant Exchange Act ol 1934. Section 17(a) of the Public Utility Holding Company Act of 1935 or Sedan 30(h) of the kwerstrnent Company Ad of 1940 OMB APPROVAL 0103Nonta: 32350287 Expo: February 28, 3011 Lomond average burden haunt per 0.5 response • 1. Name and Address d Reporting Peflogn SPECTOR WARREN J 2. Issuer Name and Tidier or Tradiig Symbol BEAR STEARNS COMPANIES INC i BSC I 5. Relationship ol Reporting Persofis) to Issuer (Check id applicable) X Director 10% Owner X Officer (give title Other (specify below) below) Co-Prey/Co-COO (Last) (Firs) (Mildn) C/O BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Date of Earliest Transaction (donthmaynear) 01/11/2007 4. II Arnentraoll. Dale of Original Filed (1.1orilhtlay/Year) 8. Individual or JoirtGroup Filing (check Appteabie Line) X Form Med by One Reporting Person Form Ned by More ihan One Reposing Person (Sired) NEW YORK NY 10179 (City) (Slate) (Zp) Table I - Non-Derivative Securities Acquired. Disposed of. or Beneficially Owned 1. TIM Of Seturity (Instr. 3) 2. Transaction Date (montteDerwYon) 2A- Deemed Execution Date. If any Parrifs'Iley•Yeall 3. Trans, non Code (Instr. 8) I.Securities Acquired (Mot despond 011D) (Instr. 3,4 and 5) S. Mnounl of Securities Beneficially Owned 6. Ownership Form: Creel (0) or indirect (8 (insp. 4) 7. Nature of Indirect Beneficial Ownership finite in Code V Mating (Ai or ID) Price F II p Reported Transaction(*) (inst.] and 4) Common Stock 01/11/2007 G V 5.900 D 30 74.870 1.) Table II - Derivative Securitie Acquired. Disp sad of. or Beneficially Owned (e. .. puts, calls. warrants, options. c avertible se unties) I. Tone Of Derivative Security (knit. 3) 2. Conversion or Exorcise Priced Derivative Security 3. Treenclion Date tdonthfiay vow) 3A. Deemed Execution Date. d any (lonth.Day,Yeet) 4. Transaction Code (Instr. 8) S. number or Derivative Seco-riles Acq red IA) a Disposed of to One/ 3.4 and ) 6. Date Exercisable and Expiration Date illontheen,Veari 7. Title end Amount of Securities Underlying Derivative Security (insp. 3 and 4) 8. Price of Derivative Secunty (Inlet. 5) 9. Number of derivative Securities Benelicially Owned Following Reported Transaction (e) (Instr. 4) 10. Ownership Conn: Dino (D) or Indirect (II (Instr. 4) 11. Nature windows Benericial Ownership (Instr. 4) Cede r V (A) (0) Dale Exercisable Ezpiretion Date Title Amount or Number of Shires Explanation al Responses: Remarks: is/ Spector, Warren J. 01/16/2007 •• Signature of Reporting Person Dale Reminder: Report on a separate line for each class of securllies beneficially owned directly or indireelly. 'II the norm is hied by more man one repotting person. see Instruction 4 (b)(v). " Intentional missialements or omissions ol fads conikule Foloal Criminal viciasons See 18 U.S.C. l001 and 15 U.S.C. 7811(a). Note: Fie three copies of Ut Form. one of which musl be manually signed. II space is nsufficient. see Instruction 6 ler procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. http://www.sec.gov/Archives/edgar/data/777001/000077700107000006/xs1F345X02Jspe... 10/30/2008 EFTA00317058

SEC FORM 4 Page. I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 346 of 347 SEC Form 4 FORM 4 Cluck Pis tsar Frolona witted to 0 Seaton). Fame*, FoonS (tlgelons may (creme. See Peewit.. ii). UNITED STATES SECURITIES AND EXCHANGE COMMISSION washnson. 0.C. 20649 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securbes Exchange Ad of 1934. Section 17tal of the Public Uglily Hold ng Company Ad el 1935 er Seaman 30(h) of the Investment Company Ad of 1940 OMB APPROVAL O1113 betas 32350287 February 28. 2011 8007%000 avwage Widen tiC07570i repose 0.5 I. Name and Address ol Reflecting Persen' SPECTOR WARREN 1 2 Issuer Name and Ticker or Tradrg Symbol BEAR STEARNS COMPANIES INC 5. Reagens/lip of Reporting Personts) to Issuer (Check &lapel:sable) X Director 10% Orme, x Officer (give title Other {specify baba) below) Co-Press/Co-COO I BSC ] M-ast) (First) (Middle) CO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Dale of Earliest Transaction (Mordh:DawYear) 02114/2007 4. II Amendment. Dale of Original Filed (MortlattawYear) G. Individual or Jenttroup Fling (Check Applicable Line) X Fenn tiled by One Reporting Person Form tiled by More than One Reporting Person (Street) NEW YORK NY 10179 (Oily) (Slate) lip' Table I - Non-Derivative Scour lies Acquired, Disposed 01.er Beneficially Owned 1. Title of Security (Instr. 3) 2 Trensaction Date terontnnly Tear) 24. Deemed Execution Dale. if any SorithDay,Yeat) 1 Trans/Mice Code( me. 6) 4. Sectelleo Acquired (Al or Disposed 01(0)(Instr. 3.4 and 5) S. Amount of Securities Seriencially Owned F Ito I 6. Ornweshp Form: Deed ail or Indirect II) (Instr.4) 7. Nature of Indirect Bevel kin Paunch, (mar. It Code V Amount (A) ce I0) Prior g Reported Trunmelion(M (melt. 3 and 4) Table II . privative Securities Acq ired. Disposed of. or Beneficially Owned (e g.. puts, calls, warrants options. convertible securities) 1. llect of Declvellve Security Omar. 3) 2. Conversion or Exercise Price el Overate, Security 3. Transaction Dale PlonthDayTearl 3A. Pearled Execution Dalt irony IlMotheatYrog I. TlatIlliellOil Code (Instr. I) 5. Number of Derivalive Sicucilin Acquired IA) or Disposed O(D) Mee 3 4 end 51 6. Dale ExercIsable and Expiration Date (MonleDarfraell 7.7100 and Amount or Scombes Undtii7009 Derivative Security Sinn 3 and 4) 0. Price of Dernause Sevens (lose. 5) 9.1emben or dein:lief Securities Beneicialty Onnitcl Following Reported Transaction (1)0.15144) 10. Ownership Form: Seen (1)) or Indirect (0 Owe. g 11. Neve of Imbed Beeeficbi Genesee (nstr. 41 Code V (A) OD Data Scannable Expiration Dam Teo Amount Or Number a Shares CAP limb (Moo tiZT4.)... A I : a 2.962 11/30:2006 11/30:20IM Common sws 2062 So :se, " r. CAP Una* (201/2) n1 02/14,2Mn A 12t 11/30/2007 11/30/2007 Common Stock 10.238 SO 162.612 10.2 8 CAP Om* (2003) I I . 02/14,2iXn A I 2 t 10.238 11/30/2008 11/30/3008 Common Stock 10.258 80 os2.91./. CAP limis (2004) 1 1 1 01/1442007 A 12 ) 6.253 11/30/2009 11/30/2009 Common Stock .-- 6 755 50 99.14a CAP Uses III 02/14,2iXn A it • Stock 3.620 It/JO/2010 I It30/2010 Common 5.620 SO 89.21 120051 Explanation of Respesses: This Inv *Or alas so: my typically 1.30:1 tare aconrealon or exenase putt 2. CAP Vett meted to Ronnie; Pence's account las of :mum based on Puf al Year 2006 Net Parsons: Adjustment, annum to the bones Capital Accumulation Plan ter Scum Mangles I/mem, CAP Plier. exempt under Rule lob.1 Remarks: Is) Spector Warren J. 02/15/2007 Signature Of Reporting Person Dale Pontine.: Report on a separate Inc. ler each class el securities beneficially owned drectly or indirectly. If the form is tiled by more than one reporting person. see Instruction C (b)(v). " Intentional rrnstalerneres or omissions of fads oansttute Federal Crimnal Violations See 18 U.S.C. 1001 and 15 U.S.C. 780(a). Note: File three cocks of this Form. one of which must be manually signed. II space is in:Olden,. see Instruction 8 fa procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid O11O Number. http://www.sec.gov/Archives/edgar/data/777001/000077700107000026/xs1F345X02Jspe... 10/30/2008 EFTA00317059

SEC FORM 4 Page I of I Case 1:08-cv-02793-RWS Document 102 Filed 02/27/09 Page 347 of 347 SEC Form 4 FORM 4 Check this box V re longer subject to 0 Section It Form 4 or Form6 aerations may continue. See Insinxion lib) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington. D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant le Section 16(a) of the Securities Exchange Ad 01 1934. Section 17(a) of the Pubic Unity Holding Company Ad of 1935 a Sedan 30(h) el me Investment Company Act el 1940 OMB APPROVAL Ol.18Nwnow Ecpros: Esamaloci average Madge hews ph reopen* 3235.0207 February 28. 2011 0.5 t. Name and Address of Reporting Person' SPECTOR WARREN J - 2. Issuer Name and Ticker or Trading Symbol BEAR STEARNS COMPANIES INC 5. Relationship of Repotting Persona) to Issuer (Check all aoplicabb) X Metter 10% Corner X °Meer (give title Other Weeny below) below) Co-Pres/Co-COO 1 BSC ] (teal (Fast) (Middle) CO BEAR. STEARNS & CO. INC. 383 MADISON AVENUE 3. Dale of Earliest Transaction (MoratuDayNear) 03122/2007 4.8 Amendment. Date of Original Filed (MonINDaytTeari 8. Individual or Jokiltioup Filing (Check Applicabie Line) X Dam Mee by One Reporting Person Form nee by More than One Reporting Person (Sawa) NEW YORK NY 10179 (CM (Slate) (ZIA Table I • Non-Derivative Securities Acquired. Di posed of. or Beneficially Owned 1. Mtge of Security Unser. 3) 2. Transaction Opt Olonthijayeear) 2.. Deemed Execution Dale. • anY (MOnlhOWSISW) 1. Transit lion Cod (Inca. 0) 4. Securities Aci ted (A) a Deposed Of (0) Onstr. 3. 4 and 5) S. Amount of Securities Benet ichay Owned Following Reported TransactiOn(0) Ones 3 end 4) A Ownership Form: Direct (D) or Indirect 0) Omits 41 Y. Nature of indirect Beneficial Owners* (Ino!. 4, CO00 V Amos* (A) c• (0) Price Common Stock 03122/2007 M 2,962 A 80 77.832 I) Common Stock 03/21/2007 s 2.962 D 3151.26 74.570 D Table II • Derivative Se urlti a Acquired. Disposed e . or Beneficially Owned (e.g.. puts. ea s. warrant . options. convert ble securities) ,. Title or Cybele* Security (In*. 3) 2. Conversion or Exercise Price of Derivable Security 3. Transaction Date ilionlliDayetwO 3A. Deemed Execution Oaks if any itfonth.Day.Yeari 4. Transaction Cede Omit 8) 5. Number of Derivative Securities Acquired IA) r Disposed of( ) (Instr. 3.4 and 5) E. Date Exercisable and Expiration Dale (Montlitlaylear) 7. DIN and Amount 01 Securities Under** Derivative Security (In*. 3 see 4) 4. Price of Derivative Seem*, (Instr. 5) 9. Number of derivative Securilies Beneficially Owned Following Reported Transaction (s)gnet, 4) 10. Ownership Form: Direct OM or indirect (I) (Instr. 4) 11. Nature of indirect Beneficial Ownership iinsis 4) Coda V UU IDI Date Exercisable Itcaraslon Data Tale Amount of Numbs ot snares CAP limo (2001i NI i 1 i 2.962 I U.R.V2006 I UMV2COS Common *AL 2.962 So o Explanatio of Responses: I. Soot—. .1i. .ni ia L.' th s common stock to Rep. ions P non puttees toCAPPlan 2 inn type a 4t.i..any w way typtall) dow. not haves onntena n nr name prim Remarks: pi unite Rule IN,' /5/ Spector, Warren J. 03/212007 Signaiure of Reporting Person Dale Reminder: Report on a separate line lor each class of securities beneficially owned directly or in:Beaty. • If the loan is lied by more man one reportng person. see rot:ruction 4 (b)(v). Intentional misstatements or omissions el facts constitute Federal Criminal %notations See 18 U.S.C. 1001 and 15 D.S.C. Note: File three copies of ths Form. one of which must be manually signed. If space is insufficient. see Instruction 6 lor procedure. Persons who respond to the collection of MI emotion contained In this form are not required to respond unless the lam displays a currently valid ORS Number. http://www.sec.gov/Archives/edgar/data/777001/000077700107000052/xs1F345X02Jspe... 12/16/2008 EFTA00317060