-----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, V6AX2DegUdShsl5sM3Yb1PB4lpKvSpOYO45fXQlykhTWec5xaU4cE21B9mbY/G/3 rLRUIAA+K5pxcfdr4euJzQ== 0000950148-02-000553.txt : 20020415 0000950148-02-000553.hdr.sgml : 20020415 ACCESSION NUMBER: 0000950148-02-000553 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020228 FILED AS OF DATE: 20020308 COMPANY DATA: COMPANY CONFORMED NAME: RAY GARY A CENTRAL INDEX KEY: 0001063464 OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 10990 WILSHIRE BLVD. CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: 3102314123 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KB HOME CENTRAL INDEX KEY: 0000795266 STANDARD INDUSTRIAL CLASSIFICATION: OPERATIVE BUILDERS [1531] IRS NUMBER: 953666267 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09195 FILM NUMBER: 02571014 BUSINESS ADDRESS: STREET 1: 10990 WILSHIRE BLVD CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: 3102314000 MAIL ADDRESS: STREET 1: 10990 WILSHIRE BLVD CITY: LOS ANGELES STATE: CA ZIP: 90024 FORMER COMPANY: FORMER CONFORMED NAME: KAUFMAN & BROAD HOME CORP DATE OF NAME CHANGE: 19920703 4 1 v79769be4.txt FORM 4
- ------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION ------------------------------ FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL - ------ ------------------------------ STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0287 [ ] CHECK THIS BOX IF NO EXPIRES: DECEMBER 31, 2001 LONGER SUBJECT TO Filed pursuant to Section 16(a) of the Securities ESTIMATED AVERAGE BURDEN SECTION 16. FORM 4 Exchange Act of 1934, Section 17(a) of the HOURS PER RESPONSE.........0.5 OR FORM 5 OBLIGATIONS Public Utility Holding Company Act of 1935 ------------------------------ MAY CONTINUE. SEE or Section 30(f) of the Investment Company INSTRUCTION 1(b). Act of 1940 (Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) RAY, GARY A. KB HOME (KBH) to Issuer (Check all applicable) - -------------------------------------------- ---------------------------------------------- Director 10% Owner (Last) (First) (Middle) 3. I.R.S. Identification 4. Statement for ---- --- 10990 WILSHIRE BLVD. Number of Reporting Month/Year X Officer (give Other (specify - -------------------------------------------- Person, if an entity FEBRUARY 2002 ---- title below) --- below) (Street) (Voluntary) ------------------- LOS ANGELES, CA 90024 5. If Amendment, SVP, HUMAN RESOURCES - -------------------------------------------- Date of Original ------------------------------------- (City) (State) (Zip) (Month/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 ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of (Instr. 3) action action or Disposed of (D) Securities Form: Indirect Date Code (Instr. 3, 4 and 5) Beneficially Direct Beneficial (Instr. 8) Owned at (D) or Ownership (Month/ End of Month Indirect (Instr. 4) Day/ --------------------------------------- (Instr. 3 and 4) (I) Year) Code V Amount (A) or Price (Instr. 4) (D) - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 01/15/02 A V 14,707 A D (1) - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 01/15/02 F V 5,015 D D - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 02/13/02 M 1,667 A $13.125 D - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 02/13/02 S 1,272 D $40.141 D - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 02/13/02 M 2,500 A $14.130 D - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 02/13/02 S 1,907 D $40.141 D - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 02/13/02 M 2,666 A $21.590 D - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 02/13/02 S 2,034 D $40.141 D - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 02/13/02 M 5,000 D $22.440 D - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK 02/13/02 S 3,815 D $40.141 D - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. PAGE 1 OF 5 PAGES *If the form is filed by more than one reporting person, see Instruction 4(b)(v). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE (Over) NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. SEC 1474 (3-99)
FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Expiration Securities Deriv- Price of (Month/ (Instr. Acquired (A) Date (Instr. 3 and 4) ative Deriv- Day/ 8) or Disposed (Month/Day/ Secur- ative Year) of (D) (Instr. Year) ity Security 3, 4, and 5) (Instr. 5) ----------------------------------- Date Expira- Amount or -------------------------- Exer- tion Title Number of Code V (A) (D) cisable Date Shares - ------------------------------------------------------------------------------------------------------------------------------------ NON-QUALIFIED STOCK OPTION $13.125 02/13/02 M 1,667 09/26/97 09/25/11 COMMON 1,667 (RIGHT TO BUY) (2) STOCK - ------------------------------------------------------------------------------------------------------------------------------------ NON-QUALIFIED STOCK OPTION $14.130 02/13/02 M 2,500 01/20/97 01/19/12 COMMON 2,500 (RIGHT TO BUY) (2) STOCK - ------------------------------------------------------------------------------------------------------------------------------------ NON-QUALIFIED STOCK OPTION $17.750 02/13/02 M 13,334 10/25/99 10/24/14 COMMON 13,334 (RIGHT TO BUY) (2) STOCK - ------------------------------------------------------------------------------------------------------------------------------------ NON-QUALIFIED STOCK OPTION $22.590 02/13/02 M 2,666 12/05/97 12/04/12 COMMON 2,666 (RIGHT TO BUY) (2) STOCK - ------------------------------------------------------------------------------------------------------------------------------------ NON-QUALIFIED STOCK OPTION $22.440 02/13/02 M 5,000 12/01/98 11/30/13 COMMON 5,000 (RIGHT TO BUY) (2) STOCK - ------------------------------------------------------------------------------------------------------------------------------------ NON-QUALIFIED STOCK OPTION $25.000 02/13/02 M 13,334 10/13/00 10/13/15 COMMON 13,334 (RIGHT TO BUY) (2) STOCK - ------------------------------------------------------------------------------------------------------------------------------------ NON-QUALIFIED STOCK OPTION $40.441 02/13/02 A V 29,372 02/13/02 02/13/17 COMMON 29,372 (RIGHT TO BUY) (3) STOCK - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 9. Number of 10. Ownership 11. Nature of Derivative Form of Indirect Securities Derivative Beneficial Beneficially Security: Ownership Owned at End Direct (D) (Instr. 4) of Month or Indirect (I) (Instr. 4) (Instr. 4) - -------------------------------------------------------------------------- 0 D - -------------------------------------------------------------------------- 0 D - -------------------------------------------------------------------------- 6,666 D - -------------------------------------------------------------------------- 0 D - -------------------------------------------------------------------------- 0 D - -------------------------------------------------------------------------- 26,666 D - -------------------------------------------------------------------------- 29,372 D - -------------------------------------------------------------------------- Explanation of Responses: SEE CONTINUATION PAGE(S) FOR FOOTNOTES **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ KIMBERLY N. KING March 8, 2002 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------ ------------- **Signature of Reporting Date Person Note: File three copies of this Form, one of which must be manually signed. By: Kimberly N. King, Attorney in Fact If space is insufficient, see Instruction 6 for procedure. For: Gary A. Ray PAGE 2 OF 5 PAGES POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE Page 2 NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB NUMBER. SEC 1474 (3-99)
- ------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION ------------------------------ FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL - ------ ------------------------------ STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0287 [ ] CHECK THIS BOX IF NO EXPIRES: DECEMBER 31, 2001 LONGER SUBJECT TO Filed pursuant to Section 16(a) of the Securities ESTIMATED AVERAGE BURDEN SECTION 16. FORM 4 Exchange Act of 1934, Section 17(a) of the HOURS PER RESPONSE.........0.5 OR FORM 5 OBLIGATIONS Public Utility Holding Company Act of 1935 ------------------------------ MAY CONTINUE. SEE or Section 30(f) of the Investment Company INSTRUCTION 1(b). Act of 1940 (Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) Ray, Gary A. KB HOME (KBH) to Issuer (Check all applicable) - -------------------------------------------- ---------------------------------------------- Director 10% Owner (Last) (First) (Middle) 3. I.R.S. Identification 4. Statement for ---- --- 10990 Wilshire Blvd. Number of Reporting Month/Year Officer (give Other (specify - -------------------------------------------- Person, if an entity February 2002 ---- title below) --- below) (Street) (Voluntary) ------------------- Los Angeles, CA 90024 5. If Amendment, - -------------------------------------------- Date of Original ------------------------------------ (City) (State) (Zip) (Month/Year) 7. Individual or Joint/Group Filing ------------------- (Check Applicable Line) 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 Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of (Instr. 3) action action or Disposed of (D) Securities Form Indirect Date Code (Instr. 3, 4 and 5) Beneficially Direct Beneficial (Instr. 8) Owned at (D) or Ownership (Month/ End of Month Indirect (Instr. 4) Day/ --------------------------------------- (Instr. 3 and 4) (I) Year) Code V Amount (A) or Price (Instr. 4) (D) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 02/13/02 M 13,334 A $17.750 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 02/13/02 S 10,172 D $40.141 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 03/13/02 M 13,334 A $25.000 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 03/13/02 S 10,172 D $40.141 38,251 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or PAGE 3 OF 5 PAGES (Over) indirectly. *If the form is filed by more than one reporting person, see Instruction 4(b)(v). SEC 1474 (3-99) 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 CONTROL NUMBER.
FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Expiration Securities Deriv- Price of (Month/ (Instr. Acquired (A) Date (Instr. 3 and 4) ative Deriv- Day/ 8) or Disposed (Month/Day/ Secur- ative Year) of (D) (Instr. Year) ity Security 3, 4, and 5) (Instr. 5) ----------------------------------- Date Expira- Amount or -------------------------- Exer- tion Title Number of Code V (A) (D) cisable Date Shares - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 9. Number of 10. Ownership 11. Nature of Derivative Form of Indirect Securities Derivative Beneficial Beneficially Security: Ownership Owned at End Direct (D) (Instr. 4) of Month or Indirect (I) (Instr. 4) (Instr. 4) - -------------------------------------------------------------------------- - -------------------------------------------------------------------------- - -------------------------------------------------------------------------- - -------------------------------------------------------------------------- - -------------------------------------------------------------------------- - -------------------------------------------------------------------------- - -------------------------------------------------------------------------- Explanation of Responses: SEE CONTINUATION PAGE(S) FOR FOOTNOTES **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ KIMBERLY N. KING March 8, 2002 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------ ------------- **Signature of Reporting Date Note: File three copies of this Form, one of which must be manually signed. Person If space is insufficient, see Instruction 6 for procedure. By: Kimberly N. King, Attorney in Fact For: Gary A. Ray POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS PAGE 4 OF 5 PAGES Page 2 FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB NUMBER. SEC 1474 (3-99)
(1) Payout of common stock under registrant's performance-based, multi-year Unit Performance Program, administered under the registrant's 2001 Stock Incentive Plan which is exempt under Section 16(b)-3. (2) Broker-assisted exercise/sale pursuant to registrant's Executive Stock Ownership Policy which requires reporting person to own shares of common stock with a value equal to his annual cash compensation (salary and bonus), and to maintain such share ownership throughout his employment. Shares were sold solely to cover tax liability upon exercise and exercise price. (3) Fair market value replacement options awarded under the 2001 Incentive Stock Plan in accord with registrant's Executive Stock Ownership Policy. Number of options awarded is limited to number of shares sold to pay tax liability and exercise prices. -----END PRIVACY-ENHANCED MESSAGE-----