-----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, WzxcL0jlA41kw1FzDUptqAOBpXNV7NtuyNU/hudcLCsuZaYflcCfA/idaB/FF2S9 6OrxUfRtLJPompNX9nA8PQ== 0000950148-99-001771.txt : 19990811 0000950148-99-001771.hdr.sgml : 19990811 ACCESSION NUMBER: 0000950148-99-001771 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990730 FILED AS OF DATE: 19990810 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KAUFMAN & BROAD HOME CORP 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: SEC FILE NUMBER: 001-09195 FILM NUMBER: 99683184 BUSINESS ADDRESS: STREET 1: 10990 WILSHIRE BLVD CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: 3102314000 COMPANY DATA: COMPANY CONFORMED NAME: PACHINO BARTON P CENTRAL INDEX KEY: 0001063465 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 10990 WILSHIRE BLVD. CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: 3102314123 4 1 FORM 4 (PACHINO, BARTON) 1 - ------ ---------------------------- FORM 4 OMB APPROVAL - ------ ---------------------------- OMB Number: 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response.......0.5 ---------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP / / Check box if no longer subject to Filed pursuant to Section 16(a) of the Securities Section 16. Form 4 Exchange Act of 1934, Section 17(a) of the 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 - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to Pachino, Barton P. Kaufman and Broad Home Corporation (KBH) Issuer (Check all applicable) - --------------------------------------------- ---------------------------------------------- Director 10% Owner (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- --- 10990 Wilshire Boulevard, Suite 800 Number of Reporting Month/Year X Officer (give Other (Specify - --------------------------------------------- Person (Voluntary) July 1999 ---- title --- below) (Street) ------------------ below) Los Angeles, CA 90024 5. If Amendment, Sr. Vice President - --------------------------------------------- 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 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct (Instr. 8) End of Month Direct Benefi- (Month/ (Instr. 3 and 4) (D) or cial Day/ --------------------------------------- Indirect Owner- Year) Code V Amount (A) or Price (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock $1.00 Par Value (1) M(1) 14,334 A(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock $1.00 Par Value (1) S(1) 12,440 D(1) $21.9484 10,342 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ *If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) (Print or Type Response) (8/96)
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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 Ac- Expiration Securities Deriv- Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative Deriv- Day/ Disposed of (D) (Month/Day/ Secur- ative Year) (Instr. 3, 4, Year) ity Security and 5) (Instr. 5) ----------------------------------- Date Expira- Amount or -------------------------- Exer- tion Title Number of Code V (A) (D) cisable Date Shares - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stk. Options Common (right to buy) $12.880 (1) M(1) 1,500 (2) 1/25/10 Stock 1,500 - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stk. Options Common (right to buy) $14.560 (1) M(1) 4,500 (2) 1/24/11 Stock 4,500 - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stk. Options Common (right to buy) $14.130 (1) M(1) 5,000 (3) 1/19/12 Stock 5,000 - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stk. Options Common (right to buy) $21.590 (1) M(1) 3,334 (3) 12/4/12 Stock 3,334 - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stk. Options Common (right to buy) $21.9484 7/30/99 A(4) V 12,440 7/30/99 7/29/14 Stock 12,440 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 9. Number of 10. Ownership 11. Nature of Security Derivative Form of Indirect (Instr. 3) Securities Derivative Beneficial Beneficially Security: Ownership Owned at End Direct (D) (Instr. 4) of Month or Indirect (I) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------- Employee Stk. Options 1,500 D (right to buy) - ------------------------------------------------------------------------------------------------------- Employee Stk. Options 3,000 D (right to buy) - ------------------------------------------------------------------------------------------------------- Employee Stk. Options 2,500 D (right to buy) - ------------------------------------------------------------------------------------------------------- Employee Stk. Options 6,666 D (right to buy) - ------------------------------------------------------------------------------------------------------- Employee Stk. Options 12,440 D (right to buy) - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- Explanation of Responses: Please see attached continuation sheet. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- ------- **Signature of Reporting Person Date Kimberly N. King Attorney-in-Fact for Barton P. Pachino Note. File three copies of this form, one of which must be manually signed. Page 2 If space provided is insufficient, see Instruction 6 for procedure. (8/96)
3 ------ FORM 4 ------ (Continuation) U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 - --------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting Person 2. Issuer Name and Ticker or Trading Symbol Pachino, Barton P. Kaufman and Broad Home Corporation (KBH) - --------------------------------------------------------------------------------------------------------------------- (Last) (First) (Middle) 4. Statement for Month/Year 10990 Wilshire Boulevard., Suite 800 July 1999 - ------------------------------------------------- ----------------------------------- (Street) Los Angeles, CA 90024 - ------------------------------------------------- (City) (State) (Zip) - ------------------------------------------------- EXPLANATION OF RESPONSES (continued): (1) Broker-assisted exercise/sale pursuant to registrant's Executive Stock Ownership Policy which requires reporting person within the next 2 years to own shares of common stock with a value equal to his annual salary, and to maintain such share ownership throughout his employment. (See registrant's August 10, 1999 press release). Exercise/sale occurred over 9 trading days in July 1999 (July 20, 21, 22, 23, 26, 27, 28, 29 and 30). Shares were sold solely to cover tax liability and exercise prices; sales price is a blended average sales price. (2) Options vest(ed) in 20% increments each year on the anniversary of date of grant, with full vesting occurring on the fifth (5th) anniversary of the date of grant. (3) Options vest(ed) in 33 1/3% increments each year on the anniversary of date of grant, with full vesting occurring on the third (3rd) anniversary of the date of grant. (4) Fair market value replacement options awarded under issuer's 1988 Employee Stock Plan in accord with registrant's Executive Stock Ownership Policy. Number of options awarded is limited to shares sold to pay tax liability and exercise prices. Page 3
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