-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NGLv84QlV7X3PlAeKQ2t89hAz1kXThKKjfYfqH4qCuBmVWjExDdN69vRsrpI2N+W KK3vvYmNaByzvfeSDYqwBw== 0001116320-01-000117.txt : 20010223 0001116320-01-000117.hdr.sgml : 20010223 ACCESSION NUMBER: 0001116320-01-000117 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001231 FILED AS OF DATE: 20010214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LENNOX INTERNATIONAL INC CENTRAL INDEX KEY: 0001069202 STANDARD INDUSTRIAL CLASSIFICATION: AIR COND & WARM AIR HEATING EQUIP & COMM & INDL REFRIG EQUIP [3585] IRS NUMBER: 420991521 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 001-15149 FILM NUMBER: 1543103 BUSINESS ADDRESS: STREET 1: 2140 LAKE PARK BLVD CITY: RICHARDSON STATE: TX ZIP: 78703 BUSINESS PHONE: 9724975440 MAIL ADDRESS: STREET 1: 2140 LAKE PARK BLVD CITY: RICHARDSON STATE: TX ZIP: 78703 COMPANY DATA: COMPANY CONFORMED NAME: MAJOR JOHN E CENTRAL INDEX KEY: 0001122794 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: PO BOX 27 STREET 2: 16720 LAS CUENTAS CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 MAIL ADDRESS: STREET 1: US WEST INC STREET 2: 1801 CALIFORNIA ST STE 4320 CITY: DENVER STATE: CO ZIP: 80202 5 1 0001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. [ ] Form 3 Holdings Reported [ ] Form 4 Transactions Reported 1. Name and Address of Reporting Person(s) Major, John E. P. O. Box 27 16720 Las Cuentas Rancho Santa Fe, CA 92067 2. Issuer Name and Ticker or Trading Symbol Lennox International Inc. (LII) 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) 4. Statement for Month/Year 12/00 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) Director 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person
Table I Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1)Title of Security 2)Trans- 3.Trans- 4.Securities Acquired(A) 5)Amount of 6)Ownership 7)Nature of action action or Disposed of (D) Securities Form: Indirect Date Code Beneficially Direct Beneficial ------------- ------------------------ Owned at End (D) or Ownership (Month/ A or of Month Indirect Day/Year) Code V Amount D Price (I) - ------------------------------------------------------------------------------------------------------------------------------------ 1 Table II (PART 1) Derivative Securities Acquired, Disposed of, or Beneficially Owned (Columns 1 through 6) - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 2)Conversion 3)Trans- 4)Trans- 5)Number of Derivative 6)Date Exercisable and Security or Exercise action action Securities Acquired (A) Expiration Date Price of Date Code or Disposed of (D) Month/Day/Year Derivative -------- ----------------------- --------------------------------- Security Month/Day/Year Code V A D Date Exercisable Expiration Date - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $7.8750 12/31/00 G(1) 15,131 (2) 12/15/07 (right to buy) Non-Qualified Stock Option $10.3130 12/31/00 G(3) 1,668 (2) 12/10/09 (right to buy) Non-Qualified Stock Option $10.3130 12/31/00 G(3) 1.667 (2) 12/10/09 (right to buy) Non-Qualified Stock Option $7.8750 12/31/00 G(1) 7,566 (2) 12/15/07 (right to buy) Non-Qualified Stock Option $10.3130 12/31/00 G(3) 1,667 (2) 12/10/09 (right to buy) Non-Qualified Stock Option $7.8750 12/31/00 G(1) 7,565 (2) 12/15/07 (right to buy) Non-Qualified Stock Option $10.3130 12/31/00 G(3) 1,668 (2) 12/10/09 (right to buy) Table II (PART 2) Derivative Securities Acquired, Disposed of, or Beneficially Owned (Columns 1,3 and 7 through 11) - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 3)Trans- 7)Title and Amount 8)Price 9)Number of 10)Ownership 11)Nature of Security action of Underlying of Deri- Derivative Form o>f Indirect Date Securities vative Securities Derivative Beneficial ------------------------ Security Beneficially Security Ownership Amount or Owned at End Direct (D) Month/Day/ Number of of Month or Indirect Year Title (I) - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option 12/31/00 Common Stock, 15,131 0 D (right to buy) par value $0.01 per share Non-Qualified Stock Option 12/31/00 Common Stock, 1,668 D (right to buy) par value $0.01 per share Non-Qualified Stock Option 12/31/00 Common Stock, 1,667 9,822 D (right to buy) par value $0.01 per share Non-Qualified Stock Option 12/31/00 Common Stock, 7,566 7,566 I Daughter, Barbara Major (right to buy) par value $0.01 per share Non-Qualified Stock Option 12/31/00 Common Stock, 1,667 1,667 I Daughter, Barbara Major (right to buy) par value $0.01 per share Non-Qualified Stock Option 12/31/00 Common Stock, 7,565 7,565 I Son, John B. Major (right to buy) par value $0.01 per share Non-Qualified Stock Option 12/31/00 Common Stock, 1,668 1,668 I Son, John B. Major (right to buy) par value $0.01 per share Explanation of Responses: (1) Gift to minor child who shares reporting person's household using a Black-Scholes valuation of $1.96/share in order to qualify as a gift under the $10,000 IRS gift limitation per parent per child. (2) The option becomes exercisable in three equal annual installments, commencing one year after the date of grant. (3) Gift to minor child who shares reporting person's household using a Black-Scholes valuation of $3.10/share in order to qualify as a gift under the $10,000 IRS gift limitation per parent per child.
SIGNATURE OF REPORTING PERSON /S/ By: Carl E. Edwards, Jr. For: John E. Major DATE 02/13/01 -----END PRIVACY-ENHANCED MESSAGE-----