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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 | ||||||||
Restricted Stock Units | $ 0 | 05/22/2010 | M | 94,050 | (4) | (4) | Common Stock | 94,050 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HAMMERGREN JOHN H ONE POST STREET SAN FRANCISCO, CA 94104 |
X | Chairman, President & CEO |
Donna Spinola, Attorney-in-fact | 05/25/2010 | |
**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) | Represents 281,617.925 shares held under the Hammergren Family Trust; 11,174 shares held under the JHH 2008 GRAT; 11,174 shares held under the WLH 2008 GRAT; 82,479 shares held under the JHH GRAT No. 4; 82,479 shares held under the WLH GRAT No. 4; 14,038 shares held under the JHH GRAT No. 5; 14,038 shares held under the WLH GRAT No. 5; 14,038 shares held under the JHH GRAT No. 6; 14,038 shares held under the WLH GRAT No. 6; 14,038 shares held under the JHH GRAT No. 7; 14,038 shares held under the WLH GRAT No. 7; 14,039 shares held under the JHH GRAT No. 8; 14,039 shares held under the WLH GRAT No. 8 |
(2) | This transaction represents a withholding of shares to cover taxes applicable to a vesting of RSUs also reported on this Form 4. |
(3) | Represents 239,177.925 shares held under the Hammergren Family Trust; 11,174 shares held under the JHH 2008 GRAT; 11,174 shares held under the WLH 2008 GRAT; 82,479 shares held under the JHH GRAT No. 4; 82,479 shares held under the WLH GRAT No. 4; 14,038 shares held under the JHH GRAT No. 5; 14,038 shares held under the WLH GRAT No. 5; 14,038 shares held under the JHH GRAT No. 6; 14,038 shares held under the WLH GRAT No. 6; 14,038 shares held under the JHH GRAT No. 7; 14,038 shares held under the WLH GRAT No. 7; 14,039 shares held under the JHH GRAT No. 8; 14,039 shares held under the WLH GRAT No. 8 |
(4) | These units were granted on 5/22/2007 and vested as follows: 50% on 5/22/2008 and 50% on 5/22/2010. |