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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (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 Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BERKSHIRE HATHAWAY INC 3555 FARNAM STREET OMAHA, NE 68131 |
X | |||
BUFFETT WARREN E 3555 FARNAM STREET OMAHA, NE 68131 |
X | |||
OBH INC 3555 FARNAM STREET SUITE 1440 OMAHA, NE 68131 |
X | |||
NATIONAL INDEMNITY CO 3024 HARNEY STREET OMAHA, NE 68131 |
X |
Berkshire Hathaway Inc., by Marc D. Hamburg | 02/17/2010 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | As a result of the merger (the "Merger") of Burlington Northern Santa Fe Corporation ("BNSF") with and into R Acquisition Company, LLC, a subsidiary of National Indemnity Company ("NICO"), on February 12, 2010, each outstanding share of common stock of BNSF, other than shares owned by the Reporting Persons, was converted into the right to receive, at the election of the stockholder (subject to certain proration and reallocation procedures described in the merger agreement), either (i)??$100.00 in cash, or (ii)??a portion of a share of Berkshire Class??A common stock equal to the exchange ratio, which was calculated by dividing $100.00 by the average of the daily volume-weighted average trading prices per share of Berkshire Class??A common stock over the ten trading day period ending on the second full trading day prior to completion of the Merger. |
(2) | Shares of Berkshire Class B common stock were issued in lieu of fractional shares of Berkshire Class A common stock, and cash was paid in lieu of fractional shares of Berkshire Class B common stock. |
(3) | All of the outstanding common stock of BNSF was canceled in the Merger. |
(4) | NICO is a subsidiary of OBH LLC ("OBH"), and OBH is a subsidiary of Berkshire Hathaway Inc. ("Berkshire"). As OBH and Berkshire are each in the chain of ownership of NICO, each of OBH and Berkshire may be deemed to both beneficially own and have a pecuniary interest in all securities of BNSF acquired by NICO. Warren E. Buffett, as the controlling stockholder of Berkshire, may be deemed to beneficially own, but only to the extent he has a pecuniary interest in, the BNSF shares acquired by NICO. Mr. Buffett disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |