4 1 anderson11602.txt NONE ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response.........0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 |_| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print of Type Responses) ________________________________________________________________________________ 1. Name and Address of Reporting Person* Anderson, David H. -------------------------------------------------------------------------------- (Last) (First) (Middle) 2140 Lake Park Blvd. -------------------------------------------------------------------------------- (Street) Richardson, Texas 75080-2254 -------------------------------------------------------------------------------- (City) (State) (Zip) Lennox International Inc. (LII) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol ________________________________________________________________________________ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) 11/06/02 ________________________________________________________________________________ 4. Statement for Month/Day/Year ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Day/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) |x| Director |_| 10% Owner |_| Officer (give title below) |_| Other (specify below) ____________________________________________________________________ 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 ================================================================================
5. Amount of 6. 4. Securities Owner- Securities Acquired (A) Beneficially ship 2A. 3. or Disposed of (D) Owned Form: 7. 2. Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of Trans- Execution Code ----------------------- Reported (D) or Indirect 1. action Date, if (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Date any ------------ or (Instr. 3 & (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price Instr.4) (Instr.4) (Instr.4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 66,825 I Betty Oakes $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 3,348,179 I D.H.Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 89,930 I Daughter $0.01 per share Kristin ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 300 D $13.45 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 200 D $13.40 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 200 D $13.39 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 200 D $13.35 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 100 D $13.34 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 200 D $13.25 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 200 D $13.18 I K. H. Anderson $0.01 per share Trust ====================================================================================================================================
Page 1 of 9 Form 4 (continued)
Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ------------------------------------------------------------------------------------------------------------------------------------ 5. Amount of 6. 4. Securities Owner- Securities Acquired (A) Beneficially ship 2A. 3. or Disposed of (D) Owned Form: 7. 2. Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of Trans- Execution Code ----------------------- Reported (D) or Indirect 1. action Date, if (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Date any ------------ or (Instr. 3 & (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price Instr.4) (Instr.4) (Instr.4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 100 D $13.17 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 470 D $13.15 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 300 D $13.13 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 600 D $13.10 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 300 D $13.09 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 200 D $13.08 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 200 D $13.07 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 300 D $13.06 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 300 D $13.05 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 100 D $13.04 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------
Page 2 of 9 Form 4 (continued)
Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ------------------------------------------------------------------------------------------------------------------------------------ 5. Amount of 6. 4. Securities Owner- Securities Acquired (A) Beneficially ship 2A. 3. or Disposed of (D) Owned Form: 7. 2. Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of Trans- Execution Code ----------------------- Reported (D) or Indirect 1. action Date, if (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Date any ------------ or (Instr. 3 & (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price Instr.4) (Instr.4) (Instr.4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 200 D $13.03 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 600 D $13.01 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 1,000 D $13.00 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 400 D $12.99 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 200 D $12.98 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 500 D $12.97 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 600 D $12.96 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 400 D $12.95 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 900 D $12.94 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 400 D $12.93 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------
3 of 9 Form 4 (continued)
Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ------------------------------------------------------------------------------------------------------------------------------------ 5. Amount of 6. 4. Securities Owner- Securities Acquired (A) Beneficially ship 2A. 3. or Disposed of (D) Owned Form: 7. 2. Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of Trans- Execution Code ----------------------- Reported (D) or Indirect 1. action Date, if (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Date any ------------ or (Instr. 3 & (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price Instr.4) (Instr.4) (Instr.4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 200 D $12.92 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 600 D $12.90 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 800 D $12.88 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 300 D $12.87 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 400 D $12.86 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 300 D $12.85 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 200 D $12.84 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/6/02 S(1) 200 D $12.82 147,411 I K. H. Anderson $0.01 per share Trust ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 200 D $13.16 I Linda L.Anderson $0.01 per share Trust (2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 200 D $13.12 I Linda L.Anderson $0.01 per share Trust (2) ====================================================================================================================================
Page 4 of 9 Form 4 (continued)
Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ------------------------------------------------------------------------------------------------------------------------------------ 5. Amount of 6. 4. Securities Owner- Securities Acquired (A) Beneficially ship 2A. 3. or Disposed of (D) Owned Form: 7. 2. Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of Trans- Execution Code ----------------------- Reported (D) or Indirect 1. action Date, if (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Date any ------------ or (Instr. 3 & (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price Instr.4) (Instr.4) (Instr.4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 100 D $13.11 I Linda L.Anderson $0.01 per share Trust (2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 300 D $13.10 I Linda L.Anderson $0.01 per share Trust (2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 100 D $13.09 I Linda L.Anderson $0.01 per share Trust (2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 100 D $13.08 I Linda L.Anderson $0.01 per share Trust (2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 500 D $13.06 I Linda L.Anderson $0.01 per share Trust (2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 600 D $13.05 I Linda L.Anderson $0.01 per share Trust (2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 400 D $13.04 I Linda L.Anderson $0.01 per share Trust (2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 200 D $13.03 I Linda L.Anderson $0.01 per share Trust (2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 1,100 D $13.02 I Linda L.Anderson $0.01 per share Trust (2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 800 D $13.01 I Linda L.Anderson $0.01 per share Trust (2) ====================================================================================================================================
Page 5 of 9 Form 4 (continued)
Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ------------------------------------------------------------------------------------------------------------------------------------ 5. Amount of 6. 4. Securities Owner- Securities Acquired (A) Beneficially ship 2A. 3. or Disposed of (D) Owned Form: 7. 2. Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of Trans- Execution Code ----------------------- Reported (D) or Indirect 1. action Date, if (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Date any ------------ or (Instr. 3 & (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price Instr.4) (Instr.4) (Instr.4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 4,500 D $13.00 I Linda L.Anderson $0.01 per share Trust (2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 1,500 D $12.99 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 200 D $12.98 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 800 D $12.97 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 100 D $12.96 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 600 D $12.95 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 300 D $12.94 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 400 D $12.93 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 700 D $12.92 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 200 D 12.91 I Linda L Anderson $0.01 per share Trust(2) ====================================================================================================================================
Page 6 of 9 Form 4 (continued)
Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ------------------------------------------------------------------------------------------------------------------------------------ 5. Amount of 6. 4. Securities Owner- Securities Acquired (A) Beneficially ship 2A. 3. or Disposed of (D) Owned Form: 7. 2. Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of Trans- Execution Code ----------------------- Reported (D) or Indirect 1. action Date, if (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Date any ------------ or (Instr. 3 & (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price Instr.4) (Instr.4) (Instr.4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 800 D $12.89 I Linda L.Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 400 D $12.88 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 800 D $12.86 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 400 D $12.85 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 1,200 D $12.82 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 300 D $12.81 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 400 D $12.80 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 500 D $12.77 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 400 D $12.76 I Linda L Anderson $0.01 per share Trust (2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 200 D $12.74 I Linda L Anderson $0.01 per share Trust (2) ====================================================================================================================================
Page 7 of 9 Form 4 (continued)
Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ------------------------------------------------------------------------------------------------------------------------------------ 5. Amount of 6. 4. Securities Owner- Securities Acquired (A) Beneficially ship 2A. 3. or Disposed of (D) Owned Form: 7. 2. Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of Trans- Execution Code ----------------------- Reported (D) or Indirect 1. action Date, if (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Date any ------------ or (Instr. 3 & (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price Instr.4) (Instr.4) (Instr.4) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 300 D $12.71 I Linda L.Anderson $0.01 per share Trust (2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 200 D $12.69 I Linda L Anderson $0.01 per share Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value 11/7/02 S(1) 200 D $12.68 I Linda L Anderson $0.01 per share Trust (2) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Page 8 of 9 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. Number 10. of Owner- deriv- ship ative Form 2. Secur- of Conver- 5. 7. ities Deriv- 11. sion Number of Title and Amount Bene- ative Nature or Derivative 6. of Underlying 8. ficially Secur- of Exer- 3A. 4. Securities Date Securities Price Owned ity: In- cise Deemed Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Follow- Direct direct Price 3. Execut- action or Disposed Expiration Date ---------------- Deriv- ing (D) or Bene- 1. of Trans- ion Code of(D) (Month/Day/Year) Amount ative Reported In- ficial Title of Deriv- action Date if (Instr. (Instr. 3, ---------------- or Secur- Trans- direct Owner- Derivative ative Date any 8) 4 and 5) Date Expira- Number ity action(s) (I) ship Security Secur- (mm/dd/ (mm/dd/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity yy) yy) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== Explanation of Responses: ------------------------------------------------------------------- Explanation of Responses: (1) The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 28, 2002. (2) The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. - Attorney-in-fact pursuant to the power of attorney dated 7/9/99. SIGNATURE OF REPORTING PERSON /S/ By: Carl E. Edwards, Jr. For: David H. Anderson DATE 11/8/02 * 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.
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