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OMB APPROVAL
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FORM 5 OMB Number: 3235-0362
------ Expires: December 31, 2001
Estimated average burden
hours per response .... 1.0
/ / CHECK BOX IF NO UNITED STATES SECURITIES AND EXCHANGE COMMISSION
LONGER SUBJECT TO WASHINGTON, DC 20549
SECTION 16. FORM
4 OR FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
OBLIGATIONS MAY
CONTINUE. SEE Filed pursuant to Section 16(a) of the Securities
INSTRUCTION 1(b) Exchange Act of 1934, Section 17(a) of the Public Utility
/ / FORM 3 HOLDINGS Holding Company Act of 1935 or Section 30(f) of
REPORTED the Investment Company Act of 1940
/ / FORM 4
TRANSACTIONS
REPORTED
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1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Persons to
STONE, JEFFREY S TWEETER HOME ENTERTAINMENT GROUP, INC. TWTR Issuer (Check all applicable)
------------------------------------------- ---------------------------------------------- X Director 10% Owner
(Last) (First) (Middle) 3. I.R.S. Identification 4. Statement for ---- ---
40 Pequot Way Number of Reporting Month/Year X Officer (give Other (specify
------------------------------------------- Person, if an entity 9/2001 ---- title --- below)
(Street) (Voluntary) ------------------- below)
Canton Ma 02021 5. If Amendment, PRESIDENT and CEO
------------------------------------------- Date of Original -------------------------------
(City) (State) (Zip) (Month/Year)
7. Individual or Joint/Group Reporting
------------------ (Check applicable line)
X Form Filed by One
---- Reporting Person
Form Filed by more than
---- One Reporting Person
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TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
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1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature
(Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In-
Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct
(Instr. End of Issuer's Direct Benefi-
(Month/ 8) Fiscal Year (D) or cial
Day/ ---------------------------- (Instr. 3 and 4) Indirect Owner-
Year) Amount (A) or Price (I) ship
(D) (Instr. 4) (Instr.
4)
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*If the form is filed by more than one Reporting Person, see Instruction 4(b)(v).
(Over)
SEC 2270(3-5)
FORM 5 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
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1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price
Security sion or action action Derivative cisable and of Underlying of
(Instr. 3) Exercise Date Code Securities Expiration Securities Deriv-
Price of (Month/ (Instr. Acquired (A) Date (Instr. 3 and 4) ative
Deriv- Day/ 8) or Disposed (Month/Day/ Secur-
ative Year) of (D) Year) ity
Security (Instr. 3, (Instr. 5)
4, and 5) -----------------------------------
Date Expira- Amount or
--------------- Exer- tion Title Number of
(A) (D) cisable Date Shares
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Option 12.97 9/27/01 J(1) 58,000 9/27/02 9/27/07 Common 58,000 12.97
Stock
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1. Title of Derivative 9. Number of 10. Ownership 11. Nature of
Security Derivative of Derivative Indirect
(Instr. 3) Securities Security: Beneficial
Beneficially Direct (D) Ownership
Owned at End or Indirect (I) (Instr. 4)
of Year (Instr. 4)
(Instr. 4)
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227,000 D
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Explanation of Responses:
1. The 58,000 option shares granted 9/27/2001 are subject to an annual vesting schedule, to be fully vested by 9/27/2004.
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ JEFFREY S. STONE 11/14/01
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- --------
**Signature of Reporting Person Date
/S/ JOSEPH McGUIRE
Note. File three copies of this form, one of which must be manually signed. Page 2
If space provided is insufficient, see Instruction 6 for procedure. SEC 2270(3-5)
Potential persons who are to respond to the collection of information contained in this form
are not required to respond unless the form displays a currently valid OMB number.