SEC FORM
4
SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
| 1000 ABERNATHY RD |
| SUITE 1200 |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
BEAZER HOMES USA INC
[ BZH ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
| X |
Officer (give title below) |
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Other (specify below) |
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EVP, Chief Financial Officer
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3. Date of Earliest Transaction
(Month/Day/Year)
08/10/2009
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
|---|
| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
Amount |
(A) or (D) |
Price |
| Common Stock |
08/10/2009 |
|
A |
|
133,344 |
A |
$0
|
239,226 |
D |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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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 |
| Stock Option (Right to Buy) |
$3.94
|
08/10/2009 |
|
A |
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200,014 |
|
|
08/10/2016 |
Common Stock |
200,014 |
$0
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200,014 |
D |
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| Explanation of Responses: |
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|
|
/s/ Allan P. Merrill |
08/12/2009 |
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** 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
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). |
| 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. |
CONFIRMING STATEMENT
and
LIMITED POWER OF ATTORNEY
This statement confirms that the undersigned,
Allan P. Merrill, 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
Kenneth F. Khoury
Robert L. Salomon
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: 8/12/09 Signature: /s/ Allan P. Merrill
