4 1 huizenga.htm huizenga

FORM 4

[ ] Check box if no longer subject to Section 16. Form 4 or 5 obligations may continue. See instruction 1 (b)

U.S. SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16 (a) of the Securities Exchange Act of 1934, Section 17 (a) of the Public Utility Holding Company Act of 1935 or Section 30 (f) of the Investment Company Act of 1940

1. Name and Address of Reporting Person*

2. Issuer Name and Ticker or Trading Symbol

6. Relationship of Reporting Person to Issuer

Huizenga

H.

Wayne

Boca Resorts, Inc. "RST"

(Check all applicable)

(Last)

(First)

(Middle)

3. IRS Identification Number of Reporting Person, If an Entity

(Voluntary)

4. Statement for the Month/Year

11/01

[X]Director [X] 10% Owner [X]Officer [ ] Other

(Give Title Below) 

Chief Executive Officer

450 East Las Olas Boulevard

 

 

 

(Street)

 

5. If Amendment, Date of Original

N/A

7. Individual or Joint/Group Filing

(Check applicable line)

Fort Lauderdale

Florida

33301

 

(Month/Year)

[ X ] Form filed by one Reporting Person

(City)

(State)

(Zip)

 

 

[ ] Form filed by more than one Reporting Person

 

 

Table I Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1.Title of Security (Instr. 3)

2.Transaction Date (Month/Day/Year)

3.Transaction Code (Instr. 8)

4.Securities Acquired (A) or Disposed of (D) (Instr. 3,4 and 5)

5.Amount of Securities Beneficially Owned at End of the Month (Instr. 3 and 4)

6.Ownership Form Direct (D) Indirect (I) (Instr. 4)

7.Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

Code

V

Amount

(A) or (D)

Price

 

 

 

Class A Common Stock

 

 

 

 

 

 

397,202 sh.

D

N/A

Class A Common Stock

 

 

 

 

 

 

6,033,494 sh.

I

(1)

Class A Common Stock

 

 

 

 

 

 

100,100 sh.

I

(2)

Class B Common Stock

 

 

 

 

 

 

255,000 sh.

D

N/A

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 
  • If the Form is filed by more than one Reporting person, see Instruction 4 (b) (v).

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

 

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 Security (Instr. 3)

2.Conversion or Exercise Price of Derivative Security

3.Transaction Date (Month/Day/Year)

4.Transaction Code (Instr. 8)

5.Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3,4 and 5)

6.Date Exercisable and Expiration Date (Month/Day/Year)

7.Title and Amount of Underlying Securities (Instr. 3 and 4)

8.Price of Derivative Security (Instr.5)

9.Number of Derivative Securities Beneficially Owned at End of Month

10.Ownership Form of Derivative Security Direct (D) or Indirect (I) (Instr. 4)

11.Nature of Indirect Beneficial Ownership (Instr. 4)

 

 

 

 Code

 V

 (A)

 (D)

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

 

 

 

 

Stock Options

$10.00/sh

(3)

--

--

--

--

(3)

11-08-06

Class A Common

100,000 sh.

--

100,000 sh.

D

N/A

Stock Options

$17.25/sh

(4)

--

--

--

--

(4)

01-02-08

Class A Common

350,000 sh.

--

350,000 sh.

D

N/A

Stock Options

$ 9.31/sh.

(5)

--

--

--

--

(5)

01-04-09

Class A Common

350,000 sh.

--

350,000 sh.

D

N/A

Stock Options

$13.69/sh

(6)

--

--

--

--

(6)

11-02-10

Class A Common

350,000 sh.

--

350,000 sh.

D

N/A

Stock Options

$ 9.32/sh.

(7)

A

--

250,000

--

(7)

11-05-11

Class A Common

250,000 sh.

--

250,000 sh.

D

N/A

Explanation of Responses:

  1. These shares of Class A Common Stock are held indirectly through Huizenga Investments Limited Partnership, of which the sole general partner is Huizenga Investments, Inc. and the sole limited partner is the reporting person. The reporting person is the sole stockholder of Huizenga Investments, Inc. The reporting person is signing this Form 4 individually, in his capacity as limited partner of Huizenga Investments Limited Partnership and in his capacity as sole stockholder of Huizenga Investments, Inc., the sole general partner of Huizenga Investments Limited Partnership.
  2. The reporting person disclaims beneficial ownership of these shares, all of which are beneficially owned by his wife.
  3. The options were granted on November 8, 1996 and vest in four equal annual installments beginning on November 8, 1997.
  4. The options were granted on January 2, 1998 and vest in four equal annual installments beginning on January 2, 1999.
  5. The options were granted on January 4, 1999 and vest in four equal annual installments beginning on January 4, 2000.
  6. The options were granted on November 2, 2000 and vest in four equal annual installments beginning on November 2, 2001.
  7. The options were granted on November 5, 2001 and vest in four equal annual installments beginning on November 5, 2002.

 

 

_________________________ _______

**Signature of Reporting Person Date

**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.