-----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, NAICttBhvSKf/Ta6raBG9m8NcwNH9SBfT4s9bSGpKw8c2i3qsqmYXlgMsSO7rLTy epYNr5X14cSbtUvWe+bIKQ== 0000042293-02-000104.txt : 20021127 0000042293-02-000104.hdr.sgml : 20021127 20021127151145 ACCESSION NUMBER: 0000042293-02-000104 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021127 FILED AS OF DATE: 20021127 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDEN WEST FINANCIAL CORP /DE/ CENTRAL INDEX KEY: 0000042293 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 952080059 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04629 FILM NUMBER: 02843486 BUSINESS ADDRESS: STREET 1: 1901 HARRISON STREET STREET 2: 1901 HARRISON STREET CITY: OAKLAND STATE: CA ZIP: 94612-3575 BUSINESS PHONE: 510-466-3402 MAIL ADDRESS: STREET 1: 1901 HARRISON STREET STREET 2: 1901 HARRISON STREET CITY: OAKLAND STATE: CA ZIP: 94612-3575 FORMER COMPANY: FORMER CONFORMED NAME: TRANS WORLD FINANCIAL CO DATE OF NAME CHANGE: 19751124 FORMER COMPANY: FORMER CONFORMED NAME: TRANS WORLD FINANCIAL CORP DATE OF NAME CHANGE: 19760806 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: KETTELL RUSSELL W CENTRAL INDEX KEY: 0001078229 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] RELATIONSHIP: OFFICER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 1901 HARRISON STREET CITY: OAKLAND STATE: CA ZIP: 94612 BUSINESS PHONE: 5104663420 MAIL ADDRESS: STREET 2: 1901 HARRISON STREET CITY: OAKLAND STATE: CA ZIP: 94612 4 1 form4kettell.txt RWK FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] 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* - -------------------- ----------------------------------------------------------- (Last) Kettell - -------------------- ----------------------------------------------------------- (First) Russell - -------------------- ----------------------------------------------------------- (Middle) W. - -------------------- ----------------------------------------------------------- (Street) 1901 Harrison Street - -------------------- ----------------------------------------------------------- (City) Oakland - -------------------- ----------------------------------------------------------- (State) CA - -------------------- ----------------------------------------------------------- (Zip) 94612 - -------------------- ----------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol - ---------------------------- --------------------------------------------------- (Issuer Name): Golden West Financial Corporation - ---------------------------- --------------------------------------------------- (Ticker or Trading Symbol) GDW - ---------------------------- --------------------------------------------------- 3. I.R.S. or Social Security Number of Reporting Person (Voluntary) - ------------------------- ------------------------------------------------------ (I.D. Number) - ------------------------- ------------------------------------------------------ 4. Statement for Month/Day/Year - ------------------------- ------------------------------------------------------ (Month/Day) November 27 - ------------------------- ------------------------------------------------------ (Year) 2002 - ------------------------- ------------------------------------------------------ 5. If Amendment, Date of Original (Month/Day/Year) - ------------------------- ------------------------------------------------------ (Month/Day) - ------------------------- ------------------------------------------------------ (Year) - ------------------------- ------------------------------------------------------ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) X - ------------- ------------------------------------------------------------------ (Director) - ------------- ------------------------------------------------------------------ X (Officer, give title below) - ------------- ------------------------------------------------------------------ (10% Owner) - ------------- ------------------------------------------------------------------ (Other, specify below) - ------------- ------------------------------------------------------------------ President - ------------- ------------------------------------------------------------------ 7. Individual or Joint/Group Filing (Check Applicable Line) X - ------------ ------------------------------------------------------------------- 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 2.Transaction 2A. Deemed 3. Transaction 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature Security Date Execution Code (Instr. 8) or Disposed of (D) Securities Form: Direct of (Instr. 3) (Month/ Date, if (Instr. 3, 4, and 5) Beneficially (D) or Indirect Day/Year) any (Month/ Owned Following Indirect (I) Beneficial Day/Year) Reported (Instr. 4) Ownership Transaction(s) (Instr. 4) (Instr. 3 & 4) - ---------- ------------- ----------- ------ ------- --------- ----- -------- --------------- ------------ ------------- Code V Amount (A) Price or (D) - ---------- ------------- ----------- ------ ------- --------- ----- -------- --------------- ------------ ------------- Common Stock 11/27/2002 S 600 D $69.82 - ---------- ------------- ----------- ------ ------- --------- ----- -------- --------------- ------------ ------------- Common Stock 11/27/2002 S 4,400 D $69.80 935,460 D - ---------- ------------- ----------- ------ ------- --------- ----- -------- --------------- ------------ ------------- - ---------- ------------- ----------- ------ ------- --------- ----- -------- --------------- ------------ ------------- - ---------- ------------- ----------- ------ ------- --------- ----- -------- --------------- ------------ ------------- - ---------- ------------- ----------- ------ ------- --------- ----- -------- --------------- ------------ -------------
- ----------------------------------------------------------------------------------------------------------------------------------- Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned - ----------------------------------------------------------------------------------------------------------------------------------- (e.g., puts, calls, warrants, options, convertible securities) - ----------------------------------------------------------------------------------------------------------------------------------- - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- -------- 1. Title of 2. Conversion 3. Transaction 3A. Deemed 4. Transaction 5. Number of Derivative 6. Date Exercisable Derivative or Exercise Date Execution Code (Instr.8) Securities Acquired (A) and Expiration Security Price of (Month/Day/Year) Date, if any or Disposed of (D) Date (Month/Day/Year) (Instr. 3) Derivative (Month/Day/Year) (Instr. 3, 4,and 5) Security - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Date Exp. Code V (A) (D) Exercisable Date - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $14.250000 05/29/2003 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $12.916667 06/02/2004 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $15.333333 06/02/2005 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- --------- Stock Options $17.541667 04/30/2006 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $17.541667 05/31/2006 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $27.604167 01/23/2008 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $27.604167 01/23/2008 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $30.812500 04/15/2009 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $30.812500 04/15/2009 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $30.375000 04/07/2010 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $30.375000 04/07/2004 04/07/2010 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $30.375000 04/07/2004 04/07/2010 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $30.375000 04/07/2010 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $47.150000 11/02/2003 11/02/2011 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $47.150000 11/02/2005 11/02/2011 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $47.150000 11/02/2003 11/02/2011 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- Stock Options $47.150000 11/02/2005 11/02/2011 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ----------
- ----------------------------------------------------------------------------------------------------------------------------------- Table II Continued - Derivative Securities Acquired, Disposed of or Beneficially Owned - ----------------------------------------------------------------------------------------------------------------------------------- (e.g., puts, calls, warrants, options, convertible securities) - ----------------------------------------------------------------------------------------------------------------------------------- - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 7. Title and Amount of Underlying 8. Price of 9.Number of Derivative 10. Ownership Form of 11. Nature of Indirect Securities (Instr. 3 and 4) Derivative Securities Beneficially Derivative Securities Beneficial Ownership Security Owned Following Reported Beneficially Owned at (Instr. 4) (Instr. 5) Transaction(s) (Instr. 4) End of Month (Instr. 4) - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- Title Amount or Number of Shares - ---------------- ------------------ ------------- ------------------------- ------------------------ ------------------------------ 3,700 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 52,500 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 38,550 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 5,700 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 46,800 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 3,600 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 26,400 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 3,225 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 26,775 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 3,000 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 3,000 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 77,000 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 37,000 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 2,100 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 2,100 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 17,900 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- 37,900 Direct - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- Explanation of Responses: /s/ Russell W. Kettell November 27, 2002 ------------------------------------------------------------- --------------------------- **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.
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