|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 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 | ||||||||
10% Contingent Convertible Senior Notes due 2018 | (1) | 02/09/2009(2) | P | $ 300,000,000 | 02/09/2009 | 11/30/2018 | Common Stock | 26,315,790 (3) | $ 300,000,000 (4) (5) | $ 300,000,000 (4) (5) | I | See footnotes 4, 5 (4) (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BERKSHIRE HATHAWAY INC 1440 KIEWIT PLAZA OMAHA, NE 68131 |
X | |||
BUFFETT WARREN E 1440 KIEWIT PLAZA OMAHA, NE 68131 |
X | |||
OBH INC 1440 KIEWIT PLAZA OMAHA, NE 68131 |
X | |||
NATIONAL INDEMNITY CO 3024 HARNEY STREET OMAHA, NE 68131 |
X |
Berkshire Hathaway Inc., by Marc D. Hamburg | 02/11/2009 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The 10% Contingent Convertible Senior Notes due 2018 ("Notes") are convertible into shares of Common Stock, $0.10 par value ("Shares") at an initial conversion price of $11.40 per share, subject to adjustment under certain circumstances. |
(2) | Following stockholder approval of the issuance of Shares upon conversion of the Notes at a special meeting of stockholders held on February 9, 2009, the Notes became convertible into Shares at the option of the holder thereof at any time prior to the close of business on the business day immediately preceding the final maturity date of the Notes (December 1, 2018), unless the Notes are earlier repurchased or redeemed by the Issuer. |
(3) | Subject to adjustment. |
(4) | $160 million aggregate principal amount of Notes is held by Berkshire Hathaway Life Insurance Company of Nebraska ("BH Nebraska"), $90 million aggregate principal amount of Notes is held by Berkshire Hathaway Assurance Corporation ("BH Assurance"), and $50 million aggregate principal amount of Notes is held by General Re Life Corporation ("General Re Life"). |
(5) | (Footnote 4 contd.) As Berkshire Hathaway Inc. ("Berkshire"), OBH, Inc. ("OBH"), and National Indemnity Company ("NICO") are each in the chain of ownership of BH Nebraska and BH Assurance, each of Berkshire, OBH and NICO may be deemed presently to both beneficially own and have a pecuniary interest in the Notes presently owned by BH Nebraska and BH Assurance. As Berkshire is in the chain of ownership of General Re Life, Berkshire may be deemed presently to both beneficially own and have a pecuniary interest in the Notes presently owned by General Re Life. Warren E. Buffett, as controlling shareholder of Berkshire, may be deemed presently to beneficially own, but only to the extent he has a pecuniary interest in, the Notes presently owned by BH Nebraska, BH Assurance and General Re Life. Mr. Buffett disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |