-----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, TyVo7OXTzPz/J9nZd8gmbegSCpWzQuRdu+zjePmixKCGnqN4IXVhw2SYNUl7JcBj ipLFM0VPskY8QspZ222QjA== 0000902691-03-000001.txt : 20030114 0000902691-03-000001.hdr.sgml : 20030114 20030110113051 ACCESSION NUMBER: 0000902691-03-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030109 FILED AS OF DATE: 20030110 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MDC HOLDINGS INC CENTRAL INDEX KEY: 0000773141 STANDARD INDUSTRIAL CLASSIFICATION: OPERATIVE BUILDERS [1531] IRS NUMBER: 840622967 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08951 FILM NUMBER: 03510037 BUSINESS ADDRESS: STREET 1: 3600 S YOSEMITE ST STE 900 CITY: DENVER STATE: CO ZIP: 80237 BUSINESS PHONE: 3037731100 MAIL ADDRESS: STREET 1: 3600 S YOSEMITE ST STREET 2: SUITE 900 CITY: DENVER STATE: CO ZIP: 80237 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: MIZEL LARRY A CENTRAL INDEX KEY: 0000902691 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 3600 S YOSEMITE ST STREET 2: STE 900 CITY: DENVER STATE: CO ZIP: 80237 BUSINESS PHONE: 3037731100 MAIL ADDRESS: STREET 1: 3600 S YOSEMITE ST STREET 2: STE 900 CITY: DENVER STATE: CO ZIP: 80237 4 1 lam010903f4.txt LARRY MIZEL, FORM 4 1/09/03
-------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION | FORM 4 | Washington, D.C. 20549 -------- | | Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP (Print or Type Responses) 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. - ----------------------------------------------------------------------------------------------------------------------------------- | 1. Name and Address of | 2. Issuer Name and Ticker or Trading Symbol | 6. Relationship of Reporting Person(s) | | Reporting Person* | | to Issuer (Check all applicable) | | | M.D.C. Holdings, Inc. / MDC | | | Mizel, Larry A. | | _X_ Director _X_ 10% Owner | |------------------------------|-------------------------------|-----------------------| | | (Last) (First) (Middle) | 3. I.R.S. Identification | 4. Statement for | _X_ Officer ___ Other | | | Number of Reporting Person | Month/Day/Year | (give title below) (specify below) | | | if an entity (voluntary) | | | | | | January 9, 2003 | Chairman of the Board and CEO | | 3600 S. Yosemite St, #900 | | | ___________________________________ | |------------------------------| |-----------------------|------------------------------------------| | (Street) | | 5. If Amendment, | 7. Individual or Joint/Group Filing | | | | Date of Original | (Check Applicable Line) | | | | (Month/Day/Year) | | | | | | _X_ Form filed by One Reporting Person | | | | | | | | | | ___ Form filed by More than One | | | | | Reporting Person | | Denver, Colorado 80237 | | | | |------------------------------|--------------------------------------------------------------------------------------------------| | (City) (State) (Zip) | Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |---------------------------------------------------------------------------------------------------------------------------------| | 1. Title of Security |2.Trans-|2A.Deemed|3.Trans- |4. Securities |5.Amount of |6.Ownership |7. Nature of | | (Instr.3) | action| Execu-| action | Acquired (A) or | Securities | Form: | Indirect | | | Date | tion | Code | Disposed of (D) | Beneficially | Direct (D) | Bene- | | | | Date, |(Instr.8)| (Instr.3, 4 and 5) | Owned | or | ficial | | |(Month/ | if any|---------|------------------------| Following | Indirect (I)| Ownership | | | Day/ | (Month/ | | | | (A) | | Reported | (Instr. 4) | (Instr. 4) | | | Year) | Day/ | | | | or | | Transaction(s)| | | | | | Year) |Code | V | Amount | (D) | Price | (Instr.3 and 4)| | | |-----------------------------|--------|---------|-----|---|----------|-----|-------|----------------|--------------|-------------| |Common Stock $.01 Par Value |01/09/03| | J | |46,494 (x)| A | | 3,385,511 | D | | |-----------------------------|--------|---------|-----|---|----------|-----|-------|----------------|--------------|-------------| | | | | | | | | | 996,655 | I | (1) | |-----------------------------|--------|---------|-----|---|----------|-----|-------|----------------|--------------|-------------| | | | | | | | | | 159,404 | I | (2) | |-----------------------------|--------|---------|-----|---|----------|-----|-------|----------------|--------------|-------------| | | | | | | | | | 400,000 | I | (3) | |-----------------------------|--------|---------|-----|---|----------|-----|-------|----------------|--------------|-------------| | | | | | | | | | 1,530 (y)| I | 401(k) Plan | |-----------------------------|--------|---------|-----|---|----------|-----|-------|----------------|--------------|-------------| | | | | | | | | | | | | |---------------------------------------------------------------------------------------------------------------------------------|
|---------------------------------------------------------------------------------------------------------------------------------| | Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | | (e.g., puts, calls, warrants, options, convertible securities) | |---------------------------------------------------------------------------------------------------------------------------------| |1. Title of |2. Con- |3.Trans-|3A.Deemed |4.Trans- |5. Number of |6. Date Exercisable|7. Title and |8. Price | | Derivative| ver- | action | Execu- | action| Derivative | and Expiration | Amount of | of | | Security | sion | Date | tion | Code | Securities | Date | Underlying | Deriv- | | (Instr. 3) | or | | Date, |(Instr.8)| Acquired (A) | (Month/Day/Year) | Securities | ative | | | Exer- |(Month/ | if any | | or Disposed | | (Instr. 3 | Security | | | cise | Day/ | | | of (D) | | and 4) | (Instr. 5) | | | Price | Year) | (Month/ | | (Instr.3,4 and 5) | | | | | | of | | Day/ |-----|---|---------|---------|---------|---------|----------|---------| | | | Deriv-| | Year) | | | | | | | | Amount | | | | ative | | | | | | | Date | Expira- | | or | | | | Secur-| | | | | | | Exer- | tion | | Number | | | | ity | | | | | | | cisable | Date | | of | | | | | | | Code| V | (A) | (D) | | | Title | Shares | | |-------------|---------|--------|----------|-----|---|---------|---------|---------|---------|----------|---------|--------------| | | | | | | | | | | |Common | | | |Non-Statutory| | | | | | | | | |Stock $.01| | | |Stock Opt (4)| $14.93 | | | | | | | 11/20/99| 11/20/03|Par Value | 121,000 | -0- | |-------------|---------|--------|----------|-----|---|---------|---------|---------|---------|----------|---------|--------------| |Non-Statutory| | | | | | | | | | | | | |Stock Opt (5)| $12.86 | | | | | | | 11/19/00| 11/19/04| " " | 181,500 | -0- | |-------------|---------|--------|----------|-----|---|---------|---------|---------|---------|----------|---------|--------------| |Non-Statutory| | | | | | | | | | | | | |Stock Opt (6)| $24.17 | | | | | | | 12/01/01| 12/01/05| " " | 181,500 | -0- | |-------------|---------|--------|----------|-----|---|---------|---------|---------|---------|----------|---------|--------------| |Non-Statutory| | | | | | | | | | | | | |Stock Opt (7)| $29.05 | | | | | | | 11/19/02| 11/19/11| " " | 275,000 | -0- | |-------------|---------|--------|----------|-----|---|---------|---------|---------|---------|----------|---------|--------------| |Non-Statutory| | | | | | | | | | | | | |Stock Opt (8)| $33.65 | | | | | | | 11/18/04| 11/18/07| " " | 125,000 | -0- | |-------------|---------|--------|----------|-----|---|---------|---------|---------|---------|----------|---------|--------------| |Non-Statutory| | | | | | | | | | | | | |Stock Opt (9)| $33.65 | | | | | | | 11/18/05| 11/18/12| " " | 125,000 | -0- | |-------------|---------|--------|----------|-----|---|---------|---------|---------|---------|----------|---------|--------------| | | | | |---------------------------------------------------------------------------------------------------------------------------------| | (CONTINUED) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | | (e.g., puts, calls, warrants, options, convertible securities) | |---------------------------------------------------------------------------------------------------------------------------------| |9. Number of Derivative Securities | 10. Ownership Form of Derivative | 11. Nature of Indirect Beneficial Ownership | | Beneficially Owned Following | Security: Direct (D) or | (Instr. 4) | | Reported Transaction(s) (Instr. 4) | Indirect (I) (Instr. 4) | | |--------------------------------------|-----------------------------------------|------------------------------------------------| | 121,000 | D | | |--------------------------------------|-----------------------------------------|------------------------------------------------| | 181,500 | D | | |--------------------------------------|-----------------------------------------|------------------------------------------------| | 181,500 | D | | |--------------------------------------|-----------------------------------------|------------------------------------------------| | 275,000 | D | | |--------------------------------------|-----------------------------------------|------------------------------------------------| | 125,000 | D | | |--------------------------------------|-----------------------------------------|------------------------------------------------| | 125,000 | D | | |--------------------------------------|-----------------------------------------|------------------------------------------------| Explanation of Responses: SEE FOOTNOTES ON PAGE 3 /S/ Larry A. Mizel 01/10/03 ------------------------------- ----------------- 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. Larry A. Mizel M.D.C. Holdings, Inc. / MDC 3600 S. Yosemite St, #900 Statement for January 9, 2003 Denver, CO 80237 Page 3 of 3
(x) Issued pursuant to the M.D.C. Holdings, Inc. Executive Performance-Based Compensation Plan. (y) Shares are held in Reporting Person's 401(k) Savings Plan account which changes on a monthly basis. (1) Shares owned by the Reporting Person's spouse. (2) Reporting Person may be deemed to be an indirect beneficial owner of these shares because he is the beneficiary of various trusts which own 50.6885% of the stock of CVentures, Inc., a corporation which controls the voting of these shares. In addition, Reporting Person owns 49.3115% of the common stock of CVentures, Inc. in his own name. The Reporting Person is a director and president of CVentures, Inc. Effective December 7, 2001 CVentures, Inc. changed its state of incorporation from Delaware to Colorado. (3) Reporting Person may be deemed to be an indirect beneficial owner of these shares because he owns all of the voting units in CLCD LLC, a limited liability company that owns these shares. In addition, he is the beneficiary of various trusts which own 50.6885% of the stock of CVentures, Inc., a corporation which is the sole manager of CLCD LLC. Also, Reporting Person owns 49.3115% of the common stock of CVentures, Inc. in his own name and he is a director and president of CVentures, Inc. (4) Granted on November 20, 1998 under the Company's Employee Equity Incentive Plan. This option vests as to 25% of the shares covered thereby on November 20, 1999 and cumulatively as to an additional 25% on each of November 20, 2000, 2001 and 2002. (5) Granted on November 19, 1999 under the Company's Employee Equity Incentive Plan. This option vests as to 25% of the shares covered thereby on November 19, 2000 and cumulatively as to an additional 25% on each of November 19, 2001, 2002 and 2003. (6) Granted on December 1, 2000 under the Company's Employee Equity Incentive Plan. This option vests as to 25% of the shares covered thereby on December 1, 2001 and cumulatively as to an additional 25% on each of December 1, 2002, 2003 and 2004. (7) Granted on December 10, 2001 (effective November 19, 2001) under the Company's 2001 Equity Incentive Plan. This option vests as to 25% of the shares covered thereby on November 19, 2002 and cumulatively as to an additional 25% on each of November 19, 2003, 2004 and 2005. (8) Granted on November 18, 2002 under the Company's Employee Equity Incentive Plan. This option vests as to 25% of the shares covered thereby on November 18, 2004; 25% of the shares covered thereby on November 18, 2005; and 50% of the shares covered thereby on November 18, 2006. (9) Granted on November 18, 2002 under the Company's 2001 Equity Incentive Plan. This option vests as to 25% of the shares covered thereby on November 18, 2005; and 75% of the shares covered thereby on November 18, 2006.
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