-----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, GVeMvBVJgmBnZtL1K3UpNIM2CXP8NLZ5NMhwnJRXmGV8A6UxGtm37ilsjfNLhP85 YfWtZBcc8chBuAou2VoNiA== 0000042293-02-000118.txt : 20021227 0000042293-02-000118.hdr.sgml : 20021227 20021227132143 ACCESSION NUMBER: 0000042293-02-000118 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021226 FILED AS OF DATE: 20021227 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: 02869850 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: GALEN LOUIS J CENTRAL INDEX KEY: 0000944799 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 1901 HARRISON STREET CITY: OAKLAND STATE: CA ZIP: 94612 BUSINESS PHONE: 5104463405 MAIL ADDRESS: STREET 1: GOLDEN WEST FINANCIAL CORP STREET 2: 1901 HARRISON STREET CITY: OAKLAND STATE: CA ZIP: 94612 4 1 form4galen.txt GALEN GDW 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) Galen - -------------------- ----------------------------------------------------------- (First) Louis - -------------------- ----------------------------------------------------------- (Middle) J. - -------------------- ----------------------------------------------------------- (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) December 26 - ------------------------- ------------------------------------------------------ (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 - ------------- ------------------------------------------------------------------ X (Director) - ------------- ------------------------------------------------------------------ (Officer, give title below) - ------------- ------------------------------------------------------------------ (10% Owner) - ------------- ------------------------------------------------------------------ (Other, specify below) - ------------- ------------------------------------------------------------------ - ------------- ------------------------------------------------------------------ 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) - ---------- ------------- ----------- ------ ------- --------- ----- -------- --------------- ------------ ------------- Shares held as co-trustee w/ Spouse in a Revocable Trust (1983) Common for their Stock 12/26/2002 G 71,000 D 3,052,044 I benefit. - ---------- ------------- ----------- ------ ------- --------- ----- -------- --------------- ------------ ------------- Shares held in a CRT dated 12/20/84 of which he and his wife, Common Helen Galen Stock 84,200 I are Trustees. - ---------- ------------- ----------- ------ ------- --------- ----- -------- --------------- ------------ ------------- Louis J. Galen Qualified Terminal Interest Trust Helen Galen (spouse) Trustee and Common Helen Galen Stock 212,100 I Beneficiary. - ---------- ------------- ----------- ------ ------- --------- ----- -------- --------------- ------------ -------------
- ----------------------------------------------------------------------------------------------------------------------------------- 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 - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ---------- - ---------------- --------------- ---------------- ---------------- ----- --------- ----------- ---------- ----------- ----------
- ----------------------------------------------------------------------------------------------------------------------------------- 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 - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- - ---------------- ------------------ ------------- ------------------------- ------------------------ -------------------------- Explanation of Responses: /s/ William C. Nunan on behalf of Louis J. Galen December 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.
LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints William C. Nunan, Carol A.Pulford, Carl M. Andersen and J. L. Brown, and each of them, his/her true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer, director, and/or person who beneficially owns more than 10% of the stock of Golden West Financial Corporation (the "Company"), Forms 3, Forms 4 and Forms 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules thereunder; (2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Forms 3, Forms 4 or Forms 5 and timely file any such forms with the United States Securities and Exchange Commission and any other authority; and (3) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned, pursuant to this Limited Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in his or her discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or his or her substitute or substitutes, shall lawfully do or cause to be done pursuant to this Limited Power of Attorney. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Exchange Act. This Limited Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, Forms 4, and Forms 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the attorneys-in-fact. The undersigned has caused this Limited Power of Attorney to be executed as of this 5th day of September, 2002. Signature /s/Louis J. Galen -------------------------- Louis J. Galen -------------------------- Print Name -----END PRIVACY-ENHANCED MESSAGE-----