FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/09/2009 |
3. Issuer Name and Ticker or Trading Symbol
TOLL BROTHERS INC [ TOL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 106,930 | D | |
Common Stock | 1,547 | I | 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Options (Right to Buy) | 12/20/2000 | 12/20/2009 | Common Stock | 27,970 | $4.375 | D | |
Stock Options (Right to Buy) | 12/20/2001 | 12/20/2010 | Common Stock | 30,276 | $9.6563 | D | |
Stock Options (Right to Buy) | 12/20/2002 | 12/20/2011 | Common Stock | 56,297 | $10.88 | D | |
Stock Options (Right to Buy) | 12/20/2003 | 12/20/2012 | Common Stock | 29,250 | $10.525 | D | |
Stock Options (Right to Buy) | 12/20/2004 | 12/20/2013 | Common Stock | 31,306 | $20.135 | D | |
Stock Options (Right to Buy) | 12/20/2009(1) | 12/20/2018 | Common Stock | 20,000 | $21.7 | D | |
Restricted Stock Units | 12/19/2009(2) | 12/19/2012 | Common Stock | 1,153 | $0 | D | |
Stock Options (Right to Buy) | 12/20/2008(3) | 12/20/2017 | Common Stock | 18,750 | $20.76 | D | |
Stock Options (Right to Buy) | 07/18/2008 | 12/20/2014 | Common Stock | 18,692 | $18.92 | D | |
Stock Options (Right to Buy) | 07/18/2008(4) | 12/20/2015 | Common Stock | 9,651 | $18.92 | D | |
Stock Options (Right to Buy) | 07/18/2008(5) | 12/20/2016 | Common Stock | 16,340 | $18.92 | D |
Explanation of Responses: |
1. Exercisable 25% on each December 20, 2009, 2010, 2011 and 2012. |
2. Th restricted stock units vest 25% on each of December 19, 2009, 2010, 2011 and 2012. Vested shares will be delivered to the reporting person on or as soon as practicable after the date that is 30 days following December 19, 2012. |
3. 3750 vested as of 11/9/2009, 5,000 vest on 12/20/2009, 5000 on 12/20/2010 and 5,000 on 12/20/2011 |
4. 7,077 vested as of 11/9/2009 and 2,574 vest on 12/20/2009 |
5. 6,569 vested as of 11/9/2009, 4,357 vest on 12/20/2009, 4,357 vest on 12/20/2010 and 1,057 vest on 12/20/2011 |
/s/Kathryn G. Flanagan,attorney-in-fact | 11/13/2009 | |
** 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 5 (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. |