-----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, BWGhXvj/OBwHNGVI4pisZsd+t6g/JEZnvORLbFULIZ2REn28wtLWmFgaO8znM78G UQCVDNV52a0CwcjMLTnnEw== 0001009874-02-000004.txt : 20021209 0001009874-02-000004.hdr.sgml : 20021209 20021209145823 ACCESSION NUMBER: 0001009874-02-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20021209 FILED AS OF DATE: 20021209 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: 02852150 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: MANDARICH DAVID D CENTRAL INDEX KEY: 0001009874 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 3600 S YOSEMITE STREET SUITE 900 CITY: DENVER STATE: CO ZIP: 80237 BUSINESS PHONE: 3037731100 MAIL ADDRESS: STREET 1: 3600 S YOSEMITE STREET SUITE 900 CITY: DENVER STATE: CO ZIP: 80237 4 1 ddm120902f4.txt DAVID MANDARICH 12/09/02 FORM 4
-------- 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 | | | Mandarich, David D. | | _X_ Director ___ 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) | | | | | | December 9, 2002 | President, COO and Director | | 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 |12/09/02| | G | | 4,800 | D | | 1,727,356 | D | | |-----------------------------|--------|---------|-----|---|----------|-----|-------|----------------|--------------|-------------| | |12/09/02| | G | | 1,200 | A | | 1,200 | I |Minor Childrn| |-----------------------------|--------|---------|-----|---|----------|-----|-------|----------------|--------------|-------------| | | | | | | | | | 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 | | |-------------|---------|--------|----------|-----|---|---------|---------|---------|---------|----------|---------|--------------| |Non-Statutory| | | | | | | | | |Common | | | |Stock Opt (1)| $12.86 | | | | | | | 11/19/00| 11/19/04|Stock $.01| 181,500 | -0- | | | | | | | | | | | |Par Value | | | |-------------|---------|--------|----------|-----|---|---------|---------|---------|---------|----------|---------|--------------| |Non-Statutory| | | | | | | | | | | | | |Stock Opt (2)| $14.93 | | | | | | | 11/20/99| 11/20/03| " " | 121,000 | -0- | |-------------|---------|--------|----------|-----|---|---------|---------|---------|---------|----------|---------|--------------| |Incentive | | | | | | | | | | | | | |Stock Opt (3)| $ 9.41 | | | | | | | 12/01/98| 12/01/03| " " | 35,196 | -0- | |-------------|---------|--------|----------|-----|---|---------|---------|---------|---------|----------|---------|--------------| |Non-Statutory| | | | | | | | | | | | | |Stock Opt (4)| $24.17 | | | | | | | 12/01/01| 12/01/05| " " | 181,500 | -0- | |-------------|---------|--------|----------|-----|---|---------|---------|---------|---------|----------|---------|--------------| |Non-Statutory| | | | | | | | | | | | | |Stock Opt (5)| $29.05 | | | | | | | 11/19/02| 11/19/11| " " | 275,000 | -0- | |-------------|---------|--------|----------|-----|---|---------|---------|---------|---------|----------|---------|--------------| |Non-Statutory| | | | | | | | | | | | | |Stock Opt (6)| $33.65 | | | | | | | 11/18/04| 11/18/07| " " | 125,000 | -0- | |-------------|---------|--------|----------|-----|---|---------|---------|---------|---------|----------|---------|--------------| |Non-Statutory| | | | | | | | | | | | | |Stock Opt (7)| $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) | | |--------------------------------------|-----------------------------------------|------------------------------------------------| | 181,500 | D | | |--------------------------------------|-----------------------------------------|------------------------------------------------| | 121,000 | D | | |--------------------------------------|-----------------------------------------|------------------------------------------------| | 35,196 | D | | |--------------------------------------|-----------------------------------------|------------------------------------------------| | 181,500 | D | | |--------------------------------------|-----------------------------------------|------------------------------------------------| | 275,000 | D | | |--------------------------------------|-----------------------------------------|------------------------------------------------| | 125,000 | D | | |--------------------------------------|-----------------------------------------|------------------------------------------------| | 125,000 | D | | |--------------------------------------|-----------------------------------------|------------------------------------------------| Explanation of Responses: SEE FOOTNOTES ON PAGE 3 For: David D. Mandarich By: /S/ Joseph H. Fretz 12/09/02 ------------------------------- ----------------- Joseph H. Fretz Date Attorney-in-Fact
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. David D. Mandarich M.D.C. Holdings, Inc. / MDC 3600 S. Yosemite St, #900 Statement for December 9, 2002 Denver, CO 80237 Page 3 of 3
(y) Shares are held in Reporting Person's 401(k) Savings Plan account which changes on a monthly basis. (1) 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. (2) 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. (3) Granted on December 1, 1997 under the Company's Employee Equity Incentive Plan. This option vests as to 25% of the shares covered thereby on December 1, 1998 and cumulatively as to an additional 25% on each of December 1, 1999, 2000 and 2001. (4) 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. (5) 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. (6) 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. (7) 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.
EX-24 3 ddmpoa.txt DAVID MANDARICH - POFA
POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Paris G. Reece III, Michael Touff and Joseph H. Fretz, signing singly, his/her true and lawful attorney-in-fact to: 1. execute for and on behalf of the undersigned Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder as such forms, laws and rules may be amended from time to time; 2. do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete the execution of any such Form 3, 4 or 5 and the timely filing of such Form with the United States Securities and Exchange Commission, the New York Stock Exchange, the Pacific Stock Exchange, and any other authority where such Form is required to be filed; 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 Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in his/her discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform all and every act and thing whatsoever requisite, necessary and proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as such attorney-in-fact 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 substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. IN WITNESS WHEREOF, the undersigned caused this Power of Attorney, effective as of August 1, 2002, and executed this 1st day of August, 2002. /S/ David D. Mandarich - ---------------------- David D. Mandarich
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