SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Fratto Fred

(Last) (First) (Middle)
1000 ABERNATHY ROAD
SUITE 1200

(Street)
ATLANTA GA 30328

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/15/2004
3. Issuer Name and Ticker or Trading Symbol
BEAZER HOMES USA INC [ BZH ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP, Human Resources
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 48 I Issuer 401K Plan
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Options (Right to Buy) 11/15/2005 11/15/2012 Common Stock 2,241 62.48 D
Stock Options (Right to Buy) 02/10/2007 02/10/2011 Common Stock 1,264 98.88 D
Restricted Stock Units 09/30/2006 09/30/2006 Common Stock 62 0(1) D
Explanation of Responses:
1. One to one conversion to common stock upon vesting.
/s/ FRED FRATTO 10/19/2004
** Signature of Reporting Person Date
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 5 (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 is insufficient, see Instruction 6 for procedure.
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 Number.

Exhibit 24.1

 

CONFIRMING STATEMENT

and

LIMITED POWER OF ATTORNEY

 

 

                This statement confirms that the undersigned, Fred Fratto, has authorized, appointed and designated the following individuals as the undersigned’s Attorney in Fact for the sole and limited purpose of executing and filing on the undersigned’s behalf all Forms 3, 4 and 5 (including any amendments thereto) that the undersigned may be required to file with the Securities and Exchange Commission as a result of the undersigned’s ownership of or transactions in securities of BEAZER HOMES USA, INC:

 

Ian J. McCarthy

James O’Leary

C. Lowell Ball

Michael Rand

 

Each of these individuals is authorized to act alone, without the consent of any of the others, and the authority of under this Statement and Limited Power of Attorney shall continue until the undersigned is no longer required to file Forms 3, 4, and 5 with regard to the undersigned’s ownership of or transactions in securities of BEAZER HOMES USA, INC., unless earlier revoked in writing.  The undersigned acknowledges that the said Attorney in Fact is not assuming any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934.

 

 

 

Date: October 19, 2004

Signature:

/s/ FRED FRATTO

 

 

Fred Fratto, Senior Vice President,

 

 

Human Resources