-----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, CtHbvdLCUd77aU9zeHRA75X8uYFRxMXLH+621+kkEgxzqM6GvckGtZwhSA+5MwRN D1CruXYxo4+DMNr8tETaSw== 0000950144-01-002208.txt : 20010213 0000950144-01-002208.hdr.sgml : 20010213 ACCESSION NUMBER: 0000950144-01-002208 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010131 FILED AS OF DATE: 20010212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SHAW INDUSTRIES INC CENTRAL INDEX KEY: 0000089498 STANDARD INDUSTRIAL CLASSIFICATION: CARPETS AND RUGS [2273] IRS NUMBER: 581032521 STATE OF INCORPORATION: GA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-06853 FILM NUMBER: 1533674 BUSINESS ADDRESS: STREET 1: 616 E WALNUT AVE STREET 2: P O DRAWER 2128 CITY: DALTON STATE: GA ZIP: 30722 BUSINESS PHONE: 7062783812 MAIL ADDRESS: STREET 1: 616 E WALNUT AVE STREET 2: P O DRAWER 2128 CITY: DALTON STATE: GA ZIP: 30720 COMPANY DATA: COMPANY CONFORMED NAME: SHAW ROBERT E CENTRAL INDEX KEY: 0000900592 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR STATE OF INCORPORATION: GA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O SHAW INDUSTRIES INC 616 E WALNUT AVE STREET 2: PO DRAWER 2128 CITY: DALTON STATE: GA ZIP: 30722 BUSINESS PHONE: 7062783812 4 1 g66771e4.txt SHAW INDUSTRIES, INC. 1 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Shaw(1) Robert E. | Shaw Industries, Inc. (SHX) | to Issuer (Check all applicable) | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social Secur- | 4. Statement for | [X] Director [ ] 10% Owner | | | ity Number of Report-| Month/Year | [X] Officer (give [X] Other (Specify| | | ing Person | | title below) | | c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | below) | | 616 East Walnut Avenue | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/00 | J(2) | | 6,635,348 | D | (2) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/00 | J(3) | | 100,000 | D | (3) | 0 | I |By Part- | | | | | | | | | | nership | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/00 | J(4) | | 97,395 | D | (4) | 0 | I |By 401(k) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/00 | J(5) | | 567,840 | D | (5) | 0 | I |By spouse | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (Over) SEC 1474 (&/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 | 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) | Year) | | ity | | | Security | | | (Instr. 3, | | | (Instr. 5)| | | | | | 4, and 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 | (D) or Indirect (I) | (Instr. 4) | | of Month | (Instr. 4) | | | (Instr. 4) | | | | | | | |---------------------|-------------------------------|----------------------| | | | | |---------------------|-------------------------------|----------------------| | | | | |---------------------|-------------------------------|----------------------| | | | | |---------------------|-------------------------------|----------------------| | | | | |---------------------|-------------------------------|----------------------| | | | | |---------------------|-------------------------------|----------------------| | | | | - ------------------------------------------------------------------------------ Explanation of Responses: 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). /s/ Robert R. Harlin February 12, 2001 ------------------------------- ----------------- **Signature of Reporting Person Date Attorney-in-fact Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. (1) This group Form 4 is being filed to report dispositions that were made by Robert E. Shaw, Robert E. Shaw, L.P., Anna Sue Shaw, Robert E. Shaw, Jr., Susan S. Young, Thomas Tripp Shaw, Lewis Clayton Shaw, Julian Saul, the Julian D. Saul Family Trust, Anita Saul, the Anita Saul Family Trust, Saul Family Holdings, LLC, W. Norris Little, the Little Family Limited Partnership, William C. Lusk, Vance D. Bell, Gerald Embry, Spright D. Holland, Kenneth G. Jackson, Jeffrey Todd Meadows, Percy D. Merritt, Henry H. Long, Julius C. Shaw, Jr., J.C. Shaw, Legacy Strata, LLC, Linda Saul Schejola, the Linda Saul Schejola Trust, R. Julian McCamy and Eleanor Shaw McCamy, McCamy Capital, LLC, and Club Development Associates, Inc., pursuant to a merger between Shaw Industries, Inc. with and into SII Acquisition, Inc., effective as of January 8, 2001. In connection with the merger, agreements were entered into by the shareholders listed above, and as a result of the agreements, such shareholders may be deemed to have formed a "group" with Berkshire, SII and Warren E. Buffett (who the joint filers believe may be deemed to control Berkshire), under Section 13(D) of the Securities Exchange Act of 1934 and such "group" and/or the members thereof may be deemed "beneficial owners" of in excess of 10% of Shaw's issued and outstanding common stock. None of the joint filers has any pecuniary interest in, and disclaims beneficial ownership with respect to, the shares of common stock reported as owned by any other joint filer, except to the extent indicated herein. The deemed formation of the original group was reported on a group Form 3 filed on October 30, 2000, and the addition of certain other parties to such group was reported on a Form 3 filed on December 11, 2000. For both of the above group filings, Mr. Robert E. Shaw was the "designated filer," and for consistency and convenience, he is serving as the "designated filer," for this group Form 4. (2) Exchanged for 6,634,348 shares of SII Acquisition, Inc. ("SII"), having a value of $19.00 per share, pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc., with the remaining shares being disposed of pursuant to the terms of the merger agreement. (3) Exchanged for 100,000 shares of SII Acquisition, Inc. ("SII"), having a value of $19.00 per share, pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc. (4) Disposed of pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc. (5) Exchanged for 64,652 shares of SII Acquisition, Inc. ("SII"), having a value of $19.00 per share, pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc., with the remaining shares being disposed of pursuant to the terms of the merger agreement. Page 2
3 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Robert E. Shaw L.P. | Shaw Industries, Inc. (SHX) | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | | Security Number | Month/Year | [ ] Officer (give [X] Other (Specify| | | of Reporting Person | | title below) | | c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | below) | | 616 East Walnut Avenue | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 100,000 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (1) Exchanged for 100,000 shares of SII Acquisition, Inc., having a /s/ Robert R. Harlin February 12, 2001 value of $19.00 per share, pursuant to the terms of a merger agreement by and ------------------------------- ----------------- among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire **Signature of Reporting Person Date Hathaway Inc. Attorney-in-fact
4 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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(s)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Shaw Anna Sue | Shaw Industries, Inc. (SHX) | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | c/o Shaw Industries, Inc. | Reporting Person | | title below) | | 616 East Walnut Avenue | (Voluntary) | | below) | | | | January/2001 | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 567,840 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(2) | | 6,735,348 | D | (2) | 0 | I | By Spouse| |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (1) Exchanged for 64,652 shares of SII Acquisition, Inc., having a /s/ Robert R. Harlin February 12, 2001 value of $19.00 per share, pursuant to the terms of a merger agreement -------------------------------- ----------------- by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire **Signature of Reporting Person Date Hathaway Inc., with the remaining shares being disposed of pursuant Attorney-in-fact to the terms of the merger agreement. (2) Exchanged for 6,634,348 shares of SII Acquisition, Inc., having a value of $19.00 per share, pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc., with the remaining shares being disposed of pursuant to the terms of the merger agreement.
5 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON DC 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | |Shaw, Jr. Robert E. | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | |c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | below) | |616 East Walnut Avenue | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3) 3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(1) | | 316,599 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (1) Exchanged for 200,000 shares of SII Acquisition, Inc., having a /s/ Robert R. Harlin February 12, 2001 value of $19.00 per share, pursuant to the terms of a merger -------------------------------- ----------------- agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., **Signature of Reporting Person Date and Berkshire Hathaway Inc., with the remaining shares being disposed Attorney-in-fact of pursuant to the terms of the merger agreement.
6 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security Section 16. Form 4 Exchange Act of 1934, Section 17(a) of the Public or Form 5 obligations Utility Holding Company Act of 1935 or Section may continue. See 30(f) of the Investment Company Act of 1940 Instruction 1(b). (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)| | Robert E. Shaw (designated filer) | | to Issuer | | Young Susan S. | Shaw Industries, Inc. (SHX) | (Check all applicable) | |--------------------------------------------|----------------------------------------------| [ ] Director [ ] 10% Owner | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Officer [X] Other | | | Security Number of | Month/Year | (give title below) (Specify below) | | c/o Shaw Industries, Inc. | Reporting Person | | | | 616 East Walnut Avenue | (Voluntary) | January/2001 | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 534,480 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ /s/ Robert R. Harlin February 12, 2001 ------------------------------- ----------------- **Signature of Reporting Person Date (1) Exchanged for 350,000 shares of SII Acquisition, Inc., having a value of Attorney-in-fact $19.00 per share, pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc., with the remaining shares being disposed of pursuant to the terms of the merger agreement.
7 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | |Shaw Thomas Tripp | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | |c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | below) | |616 East Walnut Avenue | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(1) | | 383,846 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (1) Exchanged for 200,000 shares of SII Acquisition, Inc., having a value /s/ Robert R. Harlin February 12, 2001 of $19.00 per share, pursuant to the terms of a merger agreement by -------------------------------- ----------------- and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire **Signature of Reporting Person Date Hathaway Inc. with the remaining shares being disposed of pursuant to Attorney-in-fact the terms of the merger agreement.
8 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | Shaw Industries, Inc. (SHX) | to Issuer (Check all applicable) | | Shaw Lewis Clayton |----------------------------------------------| | |--------------------------------------------| 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | (Last) (First) (Middle) | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | | c/o Shaw Industries, Inc. | (Voluntary) | | below) | | 616 East Walnut Avenue | | January/2001 | Part of 10% beneficial owner group | | | |--------------------|--------------------------------------| |--------------------------------------------| | 5. If Amendment, |7. Individual or Joint/Group Reporting| | (Street) | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 605,812 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (1) Exchanged for 450,000 shares of SII Acquisition, Inc., having a value /s/ Robert R. Harlin February 12, 2001 of $19.00 per share, pursuant to the terms of a merger agreement by and -------------------------------- ----------------- among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire **Signature of Reporting Person Date Hathaway Inc., with the remaining shares being disposed of pursuant to Attorney-in-fact the terms of the merger agreement.
9 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | |Saul Julian D. | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [X] Director [ ] 10% Owner | | | Security Number of | Month/Year | [X] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | |c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | below) | |616 East Walnut Avenue | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(1) | | 6,267,883 | D | (1) | 0 | I | By Trust | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(2) | | 5,181,063 | D | (2) | 0 | I | By LLC | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(3) | | 195,211 | D | (3) | 0 | I | By Wife's| | | | | | | | | | | Trust | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(4) | | 22,510 | D | (4) | 0 | I | By Wife | - ------------------------------------------------------------------------------------------------------------------------------------ (1) Exchanged for 6,267,883 shares of SII Acquisition, Inc., having a value /s/ Robert R. Harlin February 12, 2001 of $19.00 per share, pursuant to the terms of a merger agreement by and -------------------------------- ----------------- among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire **Signature of Reporting Person Date Hathaway Inc. Attorney-in-fact (2) Disposed of pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc. (3) Exchanged for 195,211 shares of SII Acquisition, Inc., having a value of $19.00 per share, pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc. (4) Exchanged for 22,510 shares of SII Acquisition, Inc., having a value of $19.00 per share, pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc.
10 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | | | Julian D. Saul Family Trust | Shaw Industries, Inc. (SHX) | to Issuer (Check all applicable) | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | c/o Shaw Industries, Inc. | Reporting Person | | title below) | | 616 East Walnut Avenue | (Voluntary) | | below) | | | | January/2001 | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 6,267,883 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (1) Exchanged for 6,267,883 shares of SII Acquisition, Inc., having a value /s/ Robert R. Harlin February 12, 2001 of $19.00 per share, pursuant to the terms of a merger agreement -------------------------------- ----------------- by and among SII Acquisition, Inc., Shaw Industries, Inc., and **Signature of Reporting Person Date Berkshire Hathaway Inc. Attorney-in-fact
11 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Saul Anita | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | c/o Shaw Industries | Reporting Person | | title below) | | 616 East Walnut Avenue | (Voluntary) | 01/2001 | below) | | | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | Dalton GA 30720 | | (Month/Year) | [ ] Form Filed by One | | | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 01/08/01 | J(1) | | 22,510 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | By | | Common Stock | 01/08/01 | J(2) | | 195,211 | D | (2) | 0 | I | Trust | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | By Family| | Common Stock | 01/08/01 | J(3) | | 6,267,883 | D | (3) | 0 | I | Trust | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | By Family| | Common Stock | 01/08/01 | J(4) | | 5,181,063 | D | (4) | 0 | I | LLC | - ------------------------------------------------------------------------------------------------------------------------------------ (Over) SEC 1474 (7/96) /s/ Robert R. Harlin February 12, 2001 -------------------------------- ----------------- **Signature of Reporting Person Date Attorney-in-fact (1) Exchanged for 22,510 shares of SII Acquisition, Inc., having a value of $19.00 per share, pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc. (2) Exchanged for 195,211 shares of SII Acquisition, Inc., having a value of $19.00 per share, pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc. (3) Exchanged for 6,267,883 shares of SII Acquisition, Inc., having a value of $19.00 per share, pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc. (4) Disposed of pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc.
12 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | Shaw Industries, Inc. (SHX) | to Issuer (Check all applicable) | | Anita Saul Family Trust |----------------------------------------------| | |--------------------------------------------| 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | (Last) (First) (Middle) | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | | c/o Shaw Industries, Inc. | (Voluntary) | | below) | | 616 East Walnut Avenue | | January/2001 | Part of 10% beneficial owner group | | | |--------------------|--------------------------------------| |--------------------------------------------| | 5. If Amendment, |7. Individual or Joint/Group Reporting| | (Street) | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 195,211 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (1) Exchanged for 195,211 shares of SII Acquisition, Inc., having a value /s/ Robert R. Harlin February 12, 2001 of $19.00 per share, pursuant to the terms of a merger agreement by and -------------------------------- ----------------- among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire **Signature of Reporting Person Date Hathaway Inc. Attorney-in-fact
13 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | | | Saul Family Holdings, LLC | Shaw Industries, Inc. (SHX) | to Issuer (Check all applicable) | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | c/o Shaw Industries, Inc. | Reporting Person | | title below) | | 616 East Walnut Avenue | (Voluntary) | | below) | | | | January/2001 | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 5,181,063 | (D) | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (1) Disposed of pursuant to the terms of a merger agreement by and among SII /s/ Robert R. Harlin February 12, 2001 Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc. -------------------------------- ----------------- **Signature of Reporting Person Date Attorney-in-fact
14 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Little W. Norris | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [X] Director [ ] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | c/o Shaw Industries, Inc. | Reporting Person | | title below) | | 616 East Walnut Avenue | (Voluntary) | | below) | | | | January/2001 | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 316,718 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(2) | | 112,332 | D | (2) | 0 | I |By Limited| | | | | | | | | | |Partner- | | | | | | | | | | |ship | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (1) Disposed of pursuant to the terms of a merger agreement by and among SII /s/ Robert R. Harlin February 12, 2001 Acquisition, Inc., Shaw Industries, Inc. and Berkshire Hathaway Inc. -------------------------------- ----------------- **Signature of Reporting Person Date (2) Exchanged for 112,332 shares of SII Acquisition, Inc., having Attorney-in-fact a value of $19.00 per share, pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc.
15 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Little Family Limited Partnership | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | c/o Shaw Industries, Inc. | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | | 616 East Walnut Avenue | (Voluntary) | January/2001 | below) | | | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | Dalton GA 30720 | | (Month/Year) | [ ] Form Filed by One | | | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 01/08/01 | J(1) | | 112,332 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (Over) SEC 1474 (7/96) /s/ Robert R. Harlin February 12, 2001 ------------------------------- ----------------- **Signature of Reporting Person Date Attorney-in-fact (1) Exchanged for 112,332 shares of SII Acquisition, Inc., having a value of $19.00 per share, pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc.
16 - ------ FORM 4 - ------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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(s)| | Lusk William C. | Shaw Industries, Inc. (SHX) | to Issuer (Check all applicable) | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social Secur- | 4. Statement For | [X] Director [ ] 10% Owner | | | ity of Reporting | Month/Year | [ ] Officer (give [X] Other (Specify| | | Person (Voluntary) | | title below) | |c/o Shaw Industries, Inc. | | January/2001 | below) | |616 East Walnut Avenue | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | (Instr. 3, 4 and 5) | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi- | | | | | | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr. | | | | | | | | | | | 4) | |---------------------|----------------|-------|------|------------|-------|------|--------------------|-------------|-------------| |Common Stock | 1/8/01 | J(1) | | 599,507 | D | (1) | 0 | D | | |---------------------|----------------|-------|------|------------|-------|------|--------------------|-------------|-------------| |Common Stock | 1/8/01 | J(1) | | 9,222 | D | (1) | 0 | I |By 401(K) | |---------------------|----------------|-------|------|------------|-------|------|--------------------|-------------|-------------| |Common Stock | 1/8/01 | J(1) | | 8,528 | D | (1) | 0 | I |By spouse | |---------------------|----------------|-------|------|------------|-------|------|--------------------|-------------|-------------| |Common Stock | 1/8/01 | J(1) | | 17,400 | D | (1) | 0 | I |By Trust for | | | | | | | | | | |Grandchildren| |---------------------|----------------|-------|------|------------|-------|------|--------------------|-------------|-------------| /s/ Robert R. Harlin February 12, 2001 ------------------------------------ ----------------- **Signature of Reporting Person Date Attorney-in-fact
(1) Exchanged for 300,000 shares of SII Acquisition, Inc., having a value of $19.00 per share, pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc., with the remaining shares being disposed of pursuant to the terms of the merger. Page 2 17 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON DC 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Bell Vance D. | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement For | [ ] Director [ ] 10% Owner | | | Security Number of | Month/Year | [X] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | |c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | below) | |616 East Walnut Avenue | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(1) | | 92,815 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(1) | | 23,635 | D | (1) | 0 | I | By 401(K)| - ------------------------------------------------------------------------------------------------------------------------------------ (Over) SEC 1474 (7/96)
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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 | 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) | Year) | | ity | | | Security | | | (Instr. 3, | | | (Instr. 5)| | | | | | 4 and 5) |-----------------|--------------------| | | | | | | | Date |Expira- | | Amount or| | | | | |----------|----------------| Exer- |tion | Title | Number of| | | | | | Code| V | (A) | (D) | cisable|Date | | Shares | | |-----------------------|--------------|----------|-----|----|-------|--------|---------|-------|--------|-----------|-------------| |Stock Option | 12.55 | 01/01 | J(1)| | | 6,000 |Currently|7/27/05|Common | (1) | | | | | | | | | | | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|---------|-------|--------|-----------|-------------| |Stock Option | 12.125 | 01/01 | J(1)| | | 8,000 |Currently|7/25/06|Common | (1) | | | | | | | | | | | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|---------|-------|--------|-----------|-------------| |Stock Option | 10.525 | 01/01 | J(1)| | | 15,000 |Currently|7/23/07|Common | (1) | | | | | | | | | | | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|---------|-------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | | 26,200 |Currently|3/25/08|Common | (1) | | | | | | | | | | | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|---------|-------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | | 13,200 |Currently|3/25/08|Common | (1) | | | | | | | | | | | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|---------|-------|--------|-----------|-------------| |Stock Option | 14.225 | 01/01 | J(1)| | | 35,000 |Currently|1/20/10|Common | (1) | | | | | | | | | | | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|---------|-------|--------|-----------|-------------| |Stock Option | 14.225 | 01/01 | J(1)| | | 35,000 |Currently|1/20/10|Common | (1) | | | | | | | | | | | |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 | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | - ------------------------------------------------------------------------------ Explanation of Responses: Reminder: Report on a separate line for each class of securities beneficially /s/Robert R. Harlin February 12, 2001 owned directly or indirectly. -------------------------------- ----------------- * If the form is filed by more than one reporting person, see instruc- **Signature of Reporting Person Date tion 4(b)(v). Attorney-in-fact **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 provided is insufficient, see Instruction 6 for procedure. (1) Pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc., 71,067.63 shares which would otherwise be issuable upon exercise of the options were withheld by Shaw as payment of the exercise price, with the withheld shares being valued at the $19.00 per share merger price, resulting in a net issuance of 27,532 shares, with the remaining 40,400 options being cashed out. Of the 143,982 total remaining shares held by Mr. Bell, 112,332 shares were exchanged for 112,332 shares of SII Acquisition, Inc., having a value of $19.00 per share, and the remaining shares were cashed out for $19.00 per share in cash, pursuant to the terms of the merger agreement.
19 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Embry Gerald R. | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | | Security Number of | Month/Year | [X] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | | c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | below) | | 616 East Walnut Avenue | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(1) | | 222,334 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(1) | | 117,648 | D | (1) | 0 | I | By GRAT | | | | | | | | | | | Trust | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(1) | | 4,844 | D | (1) | 0 | I | By Family| | | | | | | | | | | Trust | - ------------------------------------------------------------------------------------------------------------------------------------ (Over) SEC 1474 (7/96)
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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 | 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) | | or (D) | Year) | | ity | | | Security | | | (Instr. 3, | | | (Instr. 5)| | | | | | 4, and 5) |-----------------|--------------------| | | | | | | | Date |Expira- | | Amount or| | | | | |----------|----------------| Exer- |tion | Title | Number of| | | | | | Code| V | (A) | (D) | cisable|Date | | Shares | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| | Stock Option | 18.71 | 01/01 |J(1) | | | 2,700 |Current-|04/22/09| Common | (1) | | | | | | | | | | ly | | Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| | Stock Option | 18.71 | 01/01 |J(1) | | | 2,700 |Current-|04/22/09| Common | (1) | | | | | | | | | | ly | | Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| | Stock Option | 18.71 | 01/01 |J(1) | | | 2,600 |Current-|04/22/09| Common | (1) | | | | | | | | | | ly | | Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| | Stock Option | 14.225 | 01/01 |J(1) | | | 3,400 |Current-| 1/20/10| Common | (1) | | | | | | | | | | ly | | Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| | Stock Option | 14.225 | 01/01 |J(1) | | | 3,400 |Current-| 1/20/10| Common | (1) | | | | | | | | | | ly | | Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| | Stock Option | 14.225 | 01/01 |J(1) | | |11,600 |Current-| 1/20/10| Common | (1) | | | | | | | | | | ly | | Stock | | | - ------------------------------------------------------------------------------------------------------------------------------------ | Stock Option | 14.225 | 01/01 |J(1) | | |11,600 |Current-| 1/20/10| Common | (1) | | | | | | | | | | ly | | 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 | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| Explanation of Responses: /s/ Robert R. Harlin February 12, 2001 Reminder: Report on a separate line for each class of securities beneficially ------------------------------- ----------------- owned directly or indirectly. **Signature of Reporting Person Date Attorney-in-fact * 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 provided is insufficient, see Instruction 6 for procedure. (1 Pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc., 17,369.47 shares which would otherwise be issuable upon exercise of the options were withheld by Shaw as payment of the exercise price, with the withheld shares being valued at the $19.00 per share merger price, resulting in a net issuance of 5,830.30 shares, with the remaining 14,800 options being cashed out. Of the 344,826 total shares held by Mr. Embry, 80,830 shares were exchanged for 80,830 shares of SII Acquisition, Inc., having a value of $19.00 per share, and the remaining shares were cashed out for $19.00 per share in cash, pursuant to the terms of the merger agreement. Page 2
21 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Holland Spright D. | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| [ ] Director [ ] 10% Owner | | (Last) (First) (Middle) | 3. IRS or Social Secur- | 4. Statement For | [ ] Officer (give [X] Other (Specify| | | ity Number of Report-| Month/Year | title below) | | | ing Person | | below) | | c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | Part of 10% beneficial owner group | | 616 East Walnut Avenue | | | | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 30,270 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 12,551 | D | (1) | 0 | I |By 401(K) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 450 | D | (1) | 0 | I |By Daugh- | | | | | | | | | | | ter | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 1,000 | D | (1) | 0 | I |By Trust | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (Over) SEC 1474 (7/96)
22
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) | Year) | | ity | | | Security | | | (Instr. 3, | | | (Instr. 5)| | | | | | 4 and 5) |-----------------|--------------------| | | | | | | | Date |Expira- | | Amount or| | | | | |----------|----------------| Exer- |tion | Title | Number of| | | | | | Code| V | (A) | (D) | cisable|Date | | Shares | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 17.55 | 01/01 | J(1)| | | 5,000 |Cur- |07/21/01| Common | (1) | | | | | | | | | |rently | | Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 12.55 | 01/01 | J(1)| | | 4,000 |Cur- |07/27/05| Common | (1) | | | | | | | | | |rently | | Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | | 5,000 |Cur- |03/25/08| Common | (1) | | | | | | | | | |rently | | Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | | 18,400 |Cur- |03/25/08| Common | (1) | | | | | | | | | |rently | | Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | | 2,500 |Cur- |03/25/08| Common | (1) | | | | | | | | | |rently | | Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | | 9,100 |Cur- |03/25/08| Common | (1) | | | | | | | | | |rently | | Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 14.225 | 01/01 | J(1)| | | 4,700 |Cur- |01/20/10| Common | (1) | | | | | | | | | |rently | | Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 14.225 | 01/01 | J(1)| | | 4,700 |Cur- |01/20/10| Common | (1) | | | | | | | | | |rently | | Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 14.225 | 01/01 | J(1)| | | 10,300 |Cur- |01/20/10| Common | (1) | | | | | | | | | |rently | | Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 14.225 | 01/01 | J(1)| | | 10,300 |Cur- |01/20/10| Common | (1) | | | | | | | | | |rently | | Stock | | | - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ | 9. Number of | 10. Ownership | 11. Nature of | | Derivative | Form of | Indirect | | Securities | Derivative | Beneficial | | Beneficially | Security (D) | Ownership | | Owned at End | or Indirect (I) | (Instr. 4) | | of Month | (Instr. 4) | | | (Instr. 4) | | | | | | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | - ------------------------------------------------------------------------------ Explanation of Responses: Reminder: Report on a separate line for each class of securities beneficially /s/ Robert R. Harlin February 12, 2001 owned directly or indirectly. -------------------------------- ----------------- * If the form is filed by more than one reporting person, see instruc- **Signature of Reporting Person Date tion 4(b)(v). Attorney-in-fact **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 provided is insufficient, see Instruction 6 for procedure. (1) Pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc., 34,564.37 shares which would otherwise be issuable upon exercise of the options were withheld by Shaw as payment of the exercise price, with the withheld shares being valued at the $19.00 per share merger price, resulting in a net issuance of 13,535.63 shares, with the remaining 25,900 options being cashed out. Of the 57,806.63 total remaining shares held by Mr. Holland, 23,535 shares were exchanged for 23,535 shares of SII Acquisition, Inc., having a value of $19.00 per share, and the remaining shares were cashed out for $19.00 per share in cash, pursuant to the terms of the merger agreement.
23 - ------ -------------------------------- FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 -------------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Jackson Kenneth G. | Shaw Industries, Inc. (SHX) | [ ] Director [ ] 10% Owner | |--------------------------------------------|----------------------------------------------| [X] Officer (give [X] Other (Specify | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement For | title below) below) | | | Security Number of | Month/Year | | | c/o Shaw Industries, Inc. | Reporting Person | | | | 616 East Walnut Avenue | (Voluntary) | January/2001 | | | | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group | | | | Date of Original| Reporting. (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 13,098 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 3,114 | D | (1) | 0 | I |By 401(K) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (Over) SEC 1474 (7/96)
24
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) | Year) | | ity | | | Security | | | (Instr. 3, | | | (Instr. 5)| | | | | | 4 and 5) |-----------------|--------------------| | | | | | | | Date |Expira- | | Amount or| | | | | |----------|----------------| Exer- |tion | Title | Number of| | | | | | Code| V | (A) | (D) | cisable|Date | | Shares | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 10.625 | 01/01 | J(1)| | | 11,800 |Cur- |07/23/07|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | | 46,800 |Cur- |03/25/08|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | | 23,200 |Cur- |03/25/08|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 14.255 | 01/01 | J(1)| | | 35,000 |Cur- |01/20/10|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 14.255 | 01/01 | J(1)| | | 35,000 |Cur- |01/20/10|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| | | | | | | | | | | | | | | | | | | | | | | | | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ | 9. Number of | 10. Ownership | 11. Nature of | | Derivative | Form of | Indirect | | Securities | Derivative | Beneficial | | Beneficially | Security | Ownership | | Owned at End | (D) or | (Instr. 4) | | of Month | Indirect (I) | | | (Instr. 4) | (Instr. 4) | | | | | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | | | | |---------------------|-------------------------------|----------------------| | | | | - ------------------------------------------------------------------------------ Explanation of Responses: Reminder: Report on a separate line for each class of securities beneficially /s/ Robert R. Harlin February 12, 2001 owned directly or indirectly. -------------------------------- ----------------- * If the form is filed by more than one reporting person, see instruc- **Signature of Reporting Person Date tion 4(b)(v). Attorney-in-fact ** 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 provided is insufficient, see Instruction 6 for procedure. (1) Pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc., 86,999.21 shares which would otherwise be issuable upon exercise of the options were withheld by Shaw as payment of the exercise price, with the withheld shares being valued at the $19.00 per share merger price, resulting in a net issuance of 36,650.79 shares, with the remaining 23,200 options being cashed out. Of the 52,862.79 total remaining shares held by Mr. Jackson, 49,748 shares were exchanged for the 49,748 shares of SII Acquisition, Inc., having a value of $19.00 per share, and the remaining shares were cashed out for $19.00 per share in cash, pursuant to the terms of the merger agreement. Page 2
25 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [x] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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(s)| | Robert E. Shaw (designated filer) | Shaw Industries, Inc. (SHX) | to Issuer (Check all applicable) | | Meadows Jeffrey Todd |----------------------------------------------| | |--------------------------------------------| 3. IRS or Social | 4. Statement For | [ ] Director [ ] 10% Owner | | (Last) (First) (Middle) | Security Number of | Month/Year | [x] Officer (give [x] Other (Specify| | | Reporting Person | | title below) | | c/o Shaw Industries, Inc. | (Voluntary) | | below) | | 616 East Walnut Avenue | | January/2001 | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group | | | | Date of Original| Reporting (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [x] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 6,283 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (Over) SEC 1474 (7/96)
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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 | 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) | Year) | | ity | | | Security | | | (Instr. 3, | | | (Instr. 5)| | | | | | 4 and 5) |-----------------|--------------------| | | | | | | | Date |Expira- | | Amount or| | | | | |----------|----------------| Exer- |tion | Title | Number of| | | | | | Code| V | (A) | (D) | cisable|Date | | Shares | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 17.02 | 01/01 | J(1)| | | 5,000 |Cur- |07/21/01|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 12.55 | 01/01 | J(1)| | | 4,000 |Cur- |07/27/05|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 12.125 | 01/01 | J(1)| | | 4,000 |Cur- |07/25/06|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 10.625 | 01/01 | J(1)| | | 5,000 |Cur- |07/23/07|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | |23,400 |Cur- |03/25/08|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | |11,800 |Cur- |03/25/08|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 14.225 | 01/01 | J(1)| | | 4,300 |Cur- |03/20/10|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 14.225 | 01/01 | J(1)| | | 4,200 |Cur- |01/20/10|Common | (1) | | | | | | | | | |rently | |Stock | | | - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ | 9. Number of | 10. Ownership | 11. Nature of | | Derivative | Form of | Indirect | | Securities | Derivative | Beneficial | | Beneficially | Security (D) | Ownership | | Owned at End | or Indirect (I) | (Instr. 4) | | of Month | (Instr. 4) | | | (Instr. 4) | | | | | | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | - ------------------------------------------------------------------------------ Explanation of Responses: Reminder: Report on a separate line for each class of securities beneficially /s/ Robert R. Harlin February 12, 2001 owned directly or indirectly. -------------------------------- ----------------- * If the form is filed by more than one reporting person, see instruc- **Signature of Reporting Person Date tion 4(b)(v). Attorney-in-fact **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 provided is insufficient, see Instruction 6 for procedure. (1) Pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc., 19,141.47 shares which would otherwise be issuable upon exercise of the options were withheld by Shaw as payment of the exercise price, with the withheld shares being valued at the $19.00 per share merger price, resulting in a net issuance of 8,358.53 shares, with the remaining 34,000 options being cashed out. Of the 14,651.53 total remaining shares held by Mr. Meadows, 14,651 shares were exchanged for the 14,651.53 shares of SII Acquisition, Inc., having a value of $19.00 per share, and the remaining shares were cashed out for $19.00 per share in cash, pursuant to the terms of the merger agreement.
Page 2 27 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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
(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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Merritt Percy D. | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| [ ] Director [ ] 10% Owner | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement For | [X] Officer [X] Other | | | Security Number of | Month/Year | (give title (Specify below) | | c/o Shaw Industries, Inc. | Reporting Person | | below) | | 616 East Walnut Avenue | (Voluntary) | January/2001 | | | | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 23,739 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 3,428 | D | (1) | 0 | D | | | | | | |(Restricted | | | | | | | | | | | Shares) | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (Over) SEC 1474 (7/96)
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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 | 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) | Year) | | ity | | | Security | | | (Instr. 3, | | | (Instr. 5)| | | | | | 4 and 5) |-----------------|--------------------| | | | | | | | Date |Expira- | | Amount or| | | | | |----------|----------------| Exer- |tion | Title | Number of| | | | | | Code| V | (A) | (D) | cisable|Date | | Shares | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 17.02 | 01/01 | J(1)| | | 5,000 |Cur- |07/21/01|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 12.55 | 01/01 | J(1)| | | 4,000 |Cur- |07/27/05|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 12.125 | 01/01 | J(1)| | | 4,000 |Cur- |07/23/05|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 10.625 | 01/01 | J(1)| | |15,000 |Cur- |07/23/07|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | |32,400 |Cur- |03/25/08|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | |16,600 |Cur- |03/25/08|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 14.225 | 01/01 | J(1)| | |25,000 |Cur- |01/20/10|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 14.225 | 01/01 | J(1)| | |25,000 |Cur- |01/20/10|Common | (1) | | | | | | | | | |rently | |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 | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | - ------------------------------------------------------------------------------ Explanation of Responses: Reminder: Report on a separate line for each class of securities beneficially /s/ Robert R. Harlin February 12, 2001 owned directly or indirectly. -------------------------------- ----------------- * If the form is filed by more than one reporting person, see instruc- **Signature of Reporting Person Date tion 4(b)(v). Attorney-in-fact **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 provided is insufficient, see Instruction 6 for procedure. (1) Pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc., 63,054.47 shares which would otherwise be issuable upon exercise of the options were withheld by Shaw as payment of the exercise price, with the withheld shares being valued at the $19.00 per share merger price, resulting in a net issuance of 25,545.53 shares, with the remaining 39,400 options being cashed out. Of the 52,712.53 total remaining shares held by Mr. Merritt, 51,532 shares were exchanged for 51,532 shares of SII Acquisition, Inc., having a value of $19.00 per share, and the remaining shares were cashed out for $19.00 per share in cash, pursuant to the terms of the merger agreement.
Page 2 29 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Long Henry H. | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| [ ] Director [ ] 10% Owner | | (Last) (First) (Middle) | 3. IRS or Social Secur- | 4. Statement for | [X] Officer (give [X] Other (Specify| | | ity Number of Report-| Month/Year | title below) | | | ing Person | | below) | | c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | Part of 10% beneficial owner group | | 616 East Walnut Avenue | | | | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group | | | | Date of Original| Reporting (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 11,700 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 4,383 | D | (1) | 0 | D | | | | | | |(Restricted | | | | | | | | | | | Shares) | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 11,677 | D | (1) | 0 | I |By 401(k) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (Over) SEC 1474 (7/96)
30
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) | Year) | | ity | | | Security | | | (Instr. 3, | | | (Instr. 5)| | | | | | 4 and 5) |-----------------|--------------------| | | | | | | | Date |Expira- | | Amount or| | | | | |----------|----------------| Exer- |tion | Title | Number of| | | | | | Code| V | (A) | (D) | cisable|Date | | Shares | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 17.02 | 01/01 | J(1)| | | 5,000 |Cur- |07/21/01|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 12.55 | 01/01 | J(1)| | | 5,000 |Cur- |07/27/05|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 12.125 | 01/01 | J(1)| | | 4,000 |Cur- |07/25/06|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 10.625 | 01/01 | J(1)| | |15,000 |Cur- |07/23/07|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | |33,400 |Cur- |03/25/08|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | |16,600 |Cur- |03/25/08|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 14.255 | 01/01 | J(1)| | |25,500 |Cur- |01/20/01|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 14.225 | 01/01 | J(1)| | |25,000 |Cur- |01/20/02|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| - ------------------------------------------------------------------------------ | 9. Number of | 10. Ownership | 11. Nature of | | Derivative | Form of | Indirect | | Securities | Derivative | Beneficial | | Beneficially | Security: | Ownership | | Owned at End | (D) or | (Instr. 4) | | of Month | Indirect (I) | | | (Instr. 4) | (Instr. 4) | | | | | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| Explanation of Responses: Reminder: Report on a separate line for each class of securities beneficially /s/ Robert R. Harlin February 12, 2001 owned directly or indirectly. -------------------------------- ----------------- * If the form is filed by more than one reporting person, see instruc- **Signature of Reporting Person Date tion 4(b)(v). Attorney-in-fact **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 provided is insufficient, see Instruction 6 for procedure. (1) Pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc., 63,054.47 shares which would otherwise be issuable upon exercise of the options were withheld by Shaw as payment of the exercise price, with the withheld shares being valued at the $19.00 per share merger price, resulting in a net issuance of 25,545.53 shares, with the remaining 72,800 options being cashed out. Of the 53,305.53 total remaining shares held by Mr. Long, 30,029 shares were exchanged for 30,029 shares of SII Acquisition, Inc., having a value of $19.00 per share, and the remaining shares were cashed out for $19.00 per share in cash, pursuant to the terms of the merger agreement.
Page 2 31 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Shaw, Jr. Julius C. | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | | Security Number of | Month/Year | [X] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | | c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | below) | | 616 East Walnut Avenue | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 543,384 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 7,490 | D | (1) | 0 | I | By Trust | | | | | | | | | | | for Minor| | | | | | | | | | | Children | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/8/01 | J(1) | | 4,838 | D | (1) | 0 | I | By 401(k)| - ------------------------------------------------------------------------------------------------------------------------------------ (Over) SEC 1474 (7/96)
32
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) | Year) | | ity | | | Security | | | (Instr. 3, | | | (Instr. 5)| | | | | | 4 and 5) |-----------------|--------------------| | | | | | | | Date |Expira- | | Amount or| | | | | |----------|----------------| Exer- |tion | Title | Number of| | | | | | Code| V | (A) | (D) | cisable|Date | | Shares | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 12.55 | 01/01 | J(1)| | | 2,000 |Cur- |07/27/05|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 12.125 | 01/01 | J(1)| | | 4,000 |Cur- |07/27/06|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 10.625 | 01/01 | J(1)| | | 9,500 |Cur- |07/23/07|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | | 20,000 |Cur- |03/25/08|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 13.225 | 01/01 | J(1)| | | 10,000 |Cur- |03/20/10|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 14.225 | 01/01 | J(1)| | | 15,000 |Cur- |01/20/10|Common | (1) | | | | | | | | | |rently | |Stock | | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| |Stock Option | 14.225 | 01/01 | J(1)| | | 15,000 |Cur- |01/20/10|Common | (1) | | | | | | | | | |rently | |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 | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | |---------------------|-------------------------------|----------------------| | 0 | D | | - ------------------------------------------------------------------------------ Explanation of Responses: Reminder: Report on a separate line for each class of securities beneficially /s/ Robert R. Harlin February 12, 2001 owned directly or indirectly. -------------------------------- ----------------- * If the form is filed by more than one reporting person, see instruc- **Signature of Reporting Person Date tion 4(b)(v). Attorney-in-fact **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 provided is insufficient, see Instruction 6 for procedure. (1) Pursuant to the terms of a merger agreement by and among SII Acquisition Inc., Shaw Industries Inc., and Berkshire Hathaway Inc., 31,084.11 shares which would otherwise be issuable upon exercise of the options were withheld by Shaw as payment of the exercise price, with the withheld shares being valued at the $19.00 per share merger price, resulting in a net issuance of 12,015.89 shares, with the remaining 32,400 options being cashed out. Of the 567,727.89 total remaining shares held by Mr. Julius Shaw, 543,045 shares were exchanged for the 543,045 shares of SII Acquisition, Inc., having a value of $19.00 per share, and the remaining shares were cashed out for $19.00 per share in cash, pursuant to the terms of the merger agreement.
Page 2 33 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON DC 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Shaw J. C. | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [X] Director [ ] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | |c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | below) | |616 East Walnut Avenue | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(1) | | 4,275 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(1) | | 6,309,656 | D | (1) | 0 | I |By LLC | - ------------------------------------------------------------------------------------------------------------------------------------ /s/ Robert R. Harlin February 12, 2001 -------------------------------- ----------------- **Signature of Reporting Person Date Attorney-in-fact (1) Disposed of pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc.
34 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON DC 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Legacy Strata LLC | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | |c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | below) | |616 East Walnut Avenue | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(1) | | 6,309,656 | D | (1) | 0 | D | | - ------------------------------------------------------------------------------------------------------------------------------------ /s/ Robert R. Harlin February 12, 2001 -------------------------------- ----------------- **Signature of Reporting Person Date Attorney-in-fact
(1) Disposed of pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc. 35 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON DC 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Schejola Linda Saul | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | |c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | below) | |616 East Walnut Avenue | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | | J(1) | | 7,699,806 | D | (1) | 0 | I | By Trust | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | | J(1) | | 77,969 | D | (1) | 0 | D | | - ------------------------------------------------------------------------------------------------------------------------------------ /s/ Robert R. Harlin February 12, 2001 -------------------------------- ----------------- **Signature of Reporting Person Date Attorney-in-fact (1) Disposed of pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc. (2) Disposed of pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc.
36 - ------ -------------------------------- FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 -------------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | Shaw Industries, Inc. (SHX) | to Issuer (Check all applicable) | | Linda Saul Schejola Trust | | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [X] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [ ] Other (Specify| | c/o Shaw Industries, Inc. | Reporting Person | | title below) | | | (Voluntary) | January/2001 | below) | | 616 East Walnut Ave. | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group | | | | Date of Original| Reporting (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [ ] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/08/01 | J(1) | | 7,699,808 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (Over) SEC 1474 (7/96) (1) Disposed of pursuant to the terms of a merger agreement by and among SII /s/ Robert R. Harlin February 12, 2001 Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc. -------------------------------- ----------------- **Signature of Reporting Person Date
37 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | McCamy R. Julian | Shaw Industries, Inc. (SHX) | to Issuer (Check all applicable) | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [X] Director [ ] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | c/o Shaw Industries, Inc. | Reporting Person | | title below) | | 616 East Walnut Avenue | (Voluntary) | | below) | | | | January/2001 | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/08/01 | J(1) | | 5,350 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/08/01 | J(1) | | 1,838,771 | D | (1) | 0 | I | By LLC | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | | J(1) | | 405,720 | D | (1) | 0 | I | By Chil- | | | | | | | | | | | dren's | | | 1/08/01 | | | | | | | | Trust | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock | 1/08/01 | J(1) | | 913,503 | D | (1) | 0 | I | By L.P. | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (1) Disposed of pursuant to the terms of a merger agreement by and among SII /s/ Robert R. Harlin February 12, 2001 Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc. -------------------------------- ----------------- **Signature of Reporting Person Date Attorney-in-fact
38 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON DC 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | |McCamy Eleanor Shaw | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | |c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | below) | |616 East Walnut Avenue | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/09/01 | J(1) | | 1,838,771 | D | (1) | 0 | I |By LLC | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/08/01 | J(1) | | 405,720 | D | (1) | 0 | I |By Chil- | | | | | | | | | | |drens | | | | | | | | | | |Trust | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/08/01 | J(1) | | 913,503 | D | (1) | 0 | I |By LP | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/08/01 | J(1) | | 5,350 | D | (1) | 0 | I |By Spouse | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ /s/ Robert R. Harlin February 12, 2001 -------------------------------- ----------------- **Signature of Reporting Person Date Attorney-in-fact (1) Disposed of pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc.
39 - ------ ------------------------------ FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | |McCamy Capital LLC | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | [ ] Director [ ] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | |c/o Shaw Industries, Inc. | (Voluntary) | January/2001 | below) | |616 East Walnut Avenue | | | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(1) | | 1,838,771 | D | (1) | 0 | D | | - ------------------------------------------------------------------------------------------------------------------------------------ /s/ Robert R. Harlin February 12, 2001 -------------------------------- ----------------- **Signature of Reporting Person Date Attorney-in-fact (1) Disposed of pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc.
40 - ------ -------------------------------- FORM 4 OMB APPROVAL - ------ OMB Number: 3235-0287 Expires: December 31, 2001 Estimated Average Burden Hours per response: 0.5 -------------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [X] Check this box if no longer subject to Filed pursuant to Section 16(a) of the Security 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 (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)| | Robert E. Shaw (designated filer) | | to Issuer (Check all applicable) | | Club Development Associates, Inc. | Shaw Industries, Inc. (SHX) | | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS or Social | 4. Statement For | [ ] Director [ ] 10% Owner | | | Security Number of | Month/Year | [ ] Officer (give [X] Other (Specify| | | Reporting Person | | title below) | | c/o Shaw Industries, Inc. | (Voluntary) | | below) | | 616 East Walnut Avenue | | January/2001 | Part of 10% beneficial owner group | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Reporting| | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [ ] Form Filed by One | | Dalton GA 30720 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [X] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3)3 | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| |Common Stock | 1/8/01 | J(1) | | 110,526 | D | (1) | 0 | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ /s/ Robert R. Harlin February 12, 2001 ------------------------------------ ---------------- **Signature of Reporting Person Date Attorney-in-fact (1) Disposed of pursuant to the terms of a merger agreement by and among SII Acquisition, Inc., Shaw Industries, Inc., and Berkshire Hathaway Inc.
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