FORM 4 |
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 Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
POWER ONE INC [ PWER ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 04/30/2004 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | ||||||
Common Stock | 04/30/2004 | P | 10,000(1) | A | $9.0368 | 12,166 | I | By Harriet C. Stephens Trust | ||
Common Stock | 04/30/2004 | P | 10,000(2) | A | $9.0368 | 12,166 | I | By Warren A. Stephens Trust | ||
Common Stock | 04/30/2004 | P | 10,000(3) | A | $9.0368 | 10,000 | I | By Warren Miles Amerine Stephens Trust | ||
Common Stock | 04/30/2004 | P | 10,000(4) | A | $9.0368 | 10,000 | I | By John Calhoun Stehpens Trust | ||
Common Stock | 04/30/2004 | P | 10,000(5) | A | $9.0368 | 10,000 | I | By Laura Whitaker Stephens Trust | ||
Common Stock | 2,168 | I | By Children's Trust | |||||||
Common Stock | 1,265,460(6) | I | By LLC | |||||||
Common Stock | 145,816 | I | By spouse's IRA | |||||||
Common Stock | 820,301(7) | I | By Voting Trust |
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 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 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: 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 |
Explanation of Responses: |
1. Represents purchase of shares by Harriet C. Stephens Trust. |
2. Represents purchase of shares by Warren A. Stephens Trust for benefit of reporting person's spouse. |
3. Represents purchase of shares by Warren Miles Amerine Stephens Trust for benefit of reporting person's child. |
4. Represents purchase of shares by John Calhoun Stephens Trust for benefit of reporting person's child. |
5. Represents purchase of shares by Laura Whitaker Stephens Trust for benefit of reporting person's child. |
6. Reporting person disclaims beneficial ownership of the reported securities except to the extent of reporting person's pecuniary interest therein. |
7. Includes 137,524 shares beneficially owned by Jackson T. Stephens Trust One, 108,472 shares beneficially owned by Warren A. Stephens Trust, and 90,000 shares beneficially owned by each of Warren Miles Amerine Stephens Trust, Laura Whitaker Stephens Trust and John Calhoun Stephens Trust. Reporting person is a trustee for each of these trusts. Also includes 200,001 shares beneficially owned by Warren and Harriet Stephens Children's Trust for benefit of reporting person's children, 50,000 shares beneficially owned by Harriet Calhoun Stephens Trust and 54,304 shares beneficially owned by Warren A. Stephens IRA. |
Remarks: |
Todd Ferguson, attorney in fact for reporting person | 05/04/2004 | |
** Signature of Reporting Person | 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 Number. |