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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 | ||||||||
Call option (right to buy) | $ 40 | 10/03/2007 | X | 7,847,818 | 10/03/2007 | 10/03/2007 | Common Stock | 7,847,818 | $ 39.1 | 0 | I (4) | See footnote 4 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BERKSHIRE HATHAWAY INC 1440 KIEWIT PLAZA OMAHA, NE 68131 |
X | |||
BUFFETT WARREN E 1440 KIEWIT PLAZA OMAHA, NE 68131 |
X | |||
OBH INC 1440 KIEWIT PLAZA OMAHA, NE 68131 |
X | |||
NATIONAL INDEMNITY CO 3024 HARNEY STREET OMAHA, NE 68131 |
X |
Berkshire Hathaway Inc., by Marc D. Hamburg | 10/05/2007 | |
**Signature of Reporting Person | Date | |
/s/ Warren E. Buffett | 10/05/2007 | |
**Signature of Reporting Person | Date | |
OBH, Inc., by Marc D. Hamburg | 10/05/2007 | |
**Signature of Reporting Person | Date | |
/s/ National Indemnity Company, by Marc D. Hamburg | 10/05/2007 | |
**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) | The transaction reported on this Form 4 is solely the exercise of certain call options previously reported as acquired by the Reporting Persons. |
(2) | These shares are owned by National Indemnity Company ("NICO"), a subsidiary of OBH, Inc. ("OBH"). OBH is a subsidiary of Berkshire Hathaway Inc. ("Berkshire"). Shares of Burlington Northern common stock previously held by two other subsidiaries of Berkshire, National Fire & Marine Insurance Company and Columbia Insurance Company, were transferred to NICO. |
(3) | As OBH and Berkshire are each in the chain of ownership of NICO, each of Berkshire and OBH may be deemed presently to both beneficially own and have a pecuniary interest in all shares of Burlington Northern common stock presently owned by NICO. Warren E. Buffett, as the controlling stockholder of Berkshire, may be deemed presently to beneficially own, but only to the extent he has a pecuniary interest in, the shares of Burlington Northern common stock presently owned by NICO. Mr. Buffett disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(4) | The call options were owned by NICO. |