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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, D.C. 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,
/ / FORM 3 HOLDINGS Section 17(a) of the Public Utility
REPORTED Holding Company Act of 1935 or Section 30(f) of
/ / FORM 4 the Investment Company Act
TRANSACTIONS of 1940
REPORTED
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1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s)
McGuire, Joseph G. Tweeter Home Entertainment Group, Inc. TWTR to Issuer (Check all applicable)
------------------------------------------- ---------------------------------------------- Director 10% Owner
(Last) (First) (Middle) 3. IRS 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, Sr. Vice President, CFO
------------------------------------------- Date of Original -------------------------------
(City) (State) (Zip) (Month/Year)
7. Individual or Joint/Group Filing
------------------ (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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Common Stock 10/27/2000 P 1,312 A 3.62 25,208 D
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Common Stock 5/22/2001 G(1) 1,480 D 28.65 25,208 D
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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 3.62 10/27/2000 X 1,312 Common 1,312 3.62
Stock
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OPTION 12.97 9/27/2001 J(2) 25,000 9/27/02 9/27/07 Common 25,000 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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OPTION 82,400 D
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OPTION 82,400 D
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Explanation of Responses:
1. Gift of 1,480 shares to Bethany Congregational Church, Foxboro, MA.
2. The 25,000 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/ Joseph G. McGuire 11/14/01
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- --------
**Signature of Reporting Person Date
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.