FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL 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). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
BERKSHIRE HATHAWAY INC [ BRK.A ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 12/31/2003 | ||||||||||||||||||||||||||
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 at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Class B Common Stock | 01/21/2003 | G | 60 | A | (2) | 60 | D | ||||||||
Class B Common Stock | 05/05/2003 | G | 60 | D | (2) | 0 | D | ||||||||
Class B Common Stock | 01/15/2003 | C | 60 | A | (1)(3) | 69 | I | By spouse | |||||||
Class B Common Stock | 01/21/2003 | G | 60 | D | (2) | 9 | I | By spouse | |||||||
Class B Common Stock | 05/05/2003 | G | 60 | A | (2) | 69 | I | By spouse | |||||||
Class B Common Stock | 07/25/2003 | C | 300 | A | (1)(4) | 369 | I | By spouse | |||||||
Class B Common Stock | 07/28/2003 | G | 63 | D | (2) | 306 | I | By spouse | |||||||
Class B Common Stock | 07/29/2003 | G | 44 | D | (2) | 262 | I | By spouse | |||||||
Class B Common Stock | 08/12/2003 | G | 21 | D | (2) | 241 | I | By spouse | |||||||
Class B Common Stock | 08/22/2003 | G | 14 | D | (2) | 227 | I | By spouse | |||||||
Class B Common Stock | 08/26/2003 | G | 20 | D | (2) | 207 | I | By spouse | |||||||
Class B Common Stock | 08/27/2003 | G | 18 | D | (2) | 189 | I | By spouse | |||||||
Class B Common Stock | 08/29/2003 | G | 10 | D | (2) | 179 | I | By spouse | |||||||
Class B Common Stock | 09/03/2003 | C | 60 | A | (1)(3) | 239 | I | By spouse | |||||||
Class B Common Stock | 09/09/2003 | G | 27 | D | (2) | 212 | I | By spouse | |||||||
Class B Common Stock | 09/17/2003 | G | 6 | D | (2) | 206 | I | By spouse | |||||||
Class B Common Stock | 09/26/2003 | G | 20 | D | (2) | 186 | I | By spouse | |||||||
Class B Common Stock | 09/29/2003 | G | 36 | D | (2) | 150 | I | By spouse |
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) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Class A Common Stock | (1) | 01/21/2003 | G | 118 | (2) | (2) | Class B Common Stock | (1) | (2) | 475,116 | D | |||
Class A Common Stock | (1) | 01/21/2003 | G | 22 | (2) | (2) | Class B Common Stock | (1) | (2) | 475,094 | D | |||
Class A Common Stock | (1) | 01/21/2003 | G | 96 | (2) | (2) | Class B Common Stock | (1) | (2) | 474,998 | D | |||
Class A Common Stock | (1) | (2) | (2) | Class B Common Stock | (1) | 40 | I | By trust(5) | ||||||
Class A Common Stock | (1) | (2) | (2) | Class B Common Stock | (1) | 532 | I | By trust(5) | ||||||
Class A Common Stock | (1) | (2) | (2) | Class B Common Stock | (1) | 532 | I | By trust(5) | ||||||
Class A Common Stock | (1) | 01/15/2003 | C | 2 | (2) | (2) | Class B Common Stock | 60(1)(3) | (2) | 34,317 | I | By spouse | ||
Class A Common Stock | (1) | 01/21/2003 | G | 118 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,199 | I | By spouse | ||
Class A Common Stock | (1) | 05/05/2003 | G | 96 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,295 | I | By spouse | ||
Class A Common Stock | (1) | 07/25/2003 | C | 10 | (2) | (2) | Class B Common Stock | 300(1)(4) | (2) | 34,285 | I | By spouse | ||
Class A Common Stock | (1) | 07/28/2003 | G | 43 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,242 | I | By spouse | ||
Class A Common Stock | (1) | 07/29/2003 | G | 5 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,237 | I | By spouse | ||
Class A Common Stock | (1) | 08/12/2003 | G | 7 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,230 | I | By spouse | ||
Class A Common Stock | (1) | 08/21/2003 | G | 14 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,216 | I | By spouse | ||
Class A Common Stock | (1) | 08/22/2003 | G | 6 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,210 | I | By spouse | ||
Class A Common Stock | (1) | 08/25/2003 | G | 4 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,206 | I | By spouse | ||
Class A Common Stock | (1) | 08/26/2003 | G | 13 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,193 | I | By spouse | ||
Class A Common Stock | (1) | 08/29/2003 | G | 3 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,190 | I | By spouse | ||
Class A Common Stock | (1) | 09/03/2003 | C | 2 | (2) | (2) | Class B Common Stock | 60(1)(3) | (2) | 34,188 | I | By spouse | ||
Class A Common Stock | (1) | 09/09/2003 | G | 8 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,180 | I | By spouse | ||
Class A Common Stock | (1) | 09/17/2003 | G | 18 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,162 | I | By spouse | ||
Class A Common Stock | (1) | 09/25/2003 | G | 10 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,152 | I | By spouse | ||
Class A Common Stock | (1) | 09/26/2003 | G | 4 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,148 | I | By spouse | ||
Class A Common Stock | (1) | 09/29/2003 | G | 1 | (2) | (2) | Class B Common Stock | (1) | (2) | 34,147 | I | By spouse |
Explanation of Responses: |
1. Each share of Class A Common Stock is convertible at any time at the option of the holder into 30 shares of Class B Common Stock. |
2. Not applicable. |
3. 2 shares of Class A Common Stock were converted into 60 shares of Class B Common Stock. |
4. 10 shares of Class A Common Stock were converted into 300 shares of Class B Common Stock. |
5. These shares are owned by trusts for which the reporting person is trustee. The reporting person does not have a pecuniary interest in these shares and disclaims beneficial ownership of these trust shares for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended. |
Remarks: |
In accordance with the instructions to Form 5, the reporting person's holdings of, and transactions in, shares of Class A Common Stock are reported in Table II instead of Table I. Due to software limitations on the number of transactions that can be displayed, the reporting person is bifurcating his Form 5 filing into two separate filings. This filing reflects transactions reportable on Form 5 which occurred in 2003 with respect to Class A Common Stock and Class B Common Stock that are (i) directly held by the reporting person or (ii) held by trusts for which the reporting person is trustee. In addition, this filing reflects transactions reportable on Form 5 which occurred between January 1, 2003 and September 30, 2003 with respect to Class A Common Stock and Class B Common Stock that are held by the reporting person's spouse, Susan T. Buffett. Transactions reportable on Form 5 which occurred between October 1, 2003 and December 31, 2003 with respect to Class A Common Stock and Class B Common Stock that are held by the reporting person's spouse, Susan T. Buffett, will be reported in a separate amendment to this Form 5. |
Warren E. Buffett | 02/13/2004 | |
** 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. |