-----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, PJ2FDb7kYaFoVeqTeUAUvE3bvzOPtgpGxJhgWHLUH/toceZqhnWD1mcB2//aQZIQ r4k5jBGvCg3EQYmrJSIXxQ== 0000950110-99-000207.txt : 19990223 0000950110-99-000207.hdr.sgml : 19990223 ACCESSION NUMBER: 0000950110-99-000207 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990127 FILED AS OF DATE: 19990222 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CALTON INC CENTRAL INDEX KEY: 0000717216 STANDARD INDUSTRIAL CLASSIFICATION: OPERATIVE BUILDERS [1531] IRS NUMBER: 222433361 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 001-08846 FILM NUMBER: 99546267 BUSINESS ADDRESS: STREET 1: 500 CRAIG RD CITY: MANALAPAN STATE: NJ ZIP: 07726-8790 BUSINESS PHONE: 9087801800 MAIL ADDRESS: STREET 1: 500 CRAIG RD CITY: MANALAPAN STATE: NJ ZIP: 07726-8790 COMPANY DATA: COMPANY CONFORMED NAME: COPPOLA DAVID J CENTRAL INDEX KEY: 0001080094 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 500 CRAIG RD CITY: MANALAPAN STATE: NJ ZIP: 07726 BUSINESS PHONE: 7327801800 MAIL ADDRESS: STREET 1: 500 CRAIG RD CITY: MANALAPAN STATE: NJ ZIP: 07726 3 1 FORM 3 FORM 3 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL 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(f) of the Investment Company Act of 1990 OMB APPROVAL ------------------------------------------ OMB Number: 3235-0414 Expires: September 30, 1998 Estimated average burden hours per response.....................0.5 ------------------------------------------ - ------------------------------------------------------------------------------- 1. Name and Address of Reporting Person COPPOLA DAVID J. (Last) (First) (Middle) 500 Craig Road - ---------------------------------------- (Street) Manalapan, NJ 07726 - ---------------------------------------------- (City) (State) (Zip) 2. Date of Event Requiring Statement (Month/Day/Year) 1/27/99 - ---------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker of Trading Symbol CALTON, INC. (CN) - ---------------------------------------------- 5. Relationship of Reporting Person to Issuer (Check all applicable) ____ Director ____ 10% Owner __X_ Officer (give ____ Other (specify title below) below) Vice-President-Treasurer ------------------------ 6. If Amendment, Date of Original (Month/Day/Year) 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 BENEFICIALLY OWNED - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Amount of Securities 3. Ownership Form: Direct 4. Nature of Indirect Beneficial Ownership (Instr. 3) Beneficially Owned (D) or Indirect (I)(Instr. 5) (Instr. 5) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 12,574 I By 401(K) Plan - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - -----------------------------------------------------------------------------------------------------------------------------------
___________ * If the form is filed by more than one reporting person, see Instruction 5(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over) FORM 3 - (continued) TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) 1. Title of Derivative Security (Instr. 4) - ------------------------------------ Employee stock Option (Right to Buy) - ------------------------------------ Employee stock Option (Right to Buy) - ------------------------------------ Employee stock Option (Right to Buy) - ------------------------------------ Employee stock Option (Right to Buy) - ------------------------------------ Employee stock Option (Right to Buy) - ------------------------------------ Employee stock Option (Right to Buy) - ------------------------------------ 2. Date Exercisable and Expiration Date (Month/Day/Year) Date Expira- Exer- tion cisable Date - ------------------------- (1) 1/27/09 - ------------------------- (2) 1/29/08 - ------------------------- (3) 4/24/06 - ------------------------- (4) 1/31/06 - ------------------------- (5) 1/25/06 - ------------------------- (5) 7/28/03 - ------------------------- 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) Title Amount or Number of Shares - ------------------------------------ Common Stock 25,000 - ------------------------------------ Common Stock 10,000 - ------------------------------------ Common Stock 10,000 - ------------------------------------ Common Stock 15,000 - ------------------------------------ Common Stock 10,000 - ------------------------------------ Common Stock 18,600 - ------------------------------------ 4. Conversion of Exercise Price of Derivative Security - ------------------ 1.22 - ------------------ .50 - ------------------ .41 - ------------------ .31 - ------------------ .41 - ------------------ .41 - ------------------ 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) - ------------------- D - ------------------- D - ------------------- D - ------------------- D - ------------------- D - ------------------- D - ------------------- 6. Nature of Indirect Beneficial Ownership (Instr. 5) - ------------------- - ------------------- - ------------------- - ------------------- - ------------------- - ------------------- - ------------------- Explanation of Responses: (1) Exercisable in five equal annual installments of 5,000 shares commencing January 27, 2000 (2) Exercisable in five equal annual installments of 2,000 shares commencing January 29, 1999. (3) Exercisable in five equal annual installments of 2,000 shares commencing April 24, 1997. (4) Exercisable in five equal annual installments of 3,000 shares commencing January 30, 1997. (5) All such options are currently exercisable. ++Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). February 19,1999 - ------------------------------------- ---------------- ++Signature of Reporting Person Date Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----