Statement of Changes in Beneficial Ownership (4)
12 Mai 2023 - 10:39PM
Edgar (US Regulatory)
FORM 4
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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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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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1. Name and Address of Reporting Person
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Jain Ajit |
2. Issuer Name and Ticker or Trading Symbol
BERKSHIRE HATHAWAY INC
[
BRK.A
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Vice Chairman |
(Last)
(First)
(Middle)
100 FIRST STAMFORD PLACE, BHRG |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/9/2023 |
(Street)
STAMFORD, CT 06902 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. 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
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V
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Amount
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(A) or (D)
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Price
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Class B Common Stock | 5/9/2023 | | G |
V
| 51 | D | (1) | 703 | D | |
Class B Common Stock | 5/11/2023 | | G |
V
| 68 | D | (2) | 703 | D | |
Class B Common Stock | | | | | | | | 152308 | I | By Jain Foundation Inc. (Non-Profit Corporation) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Class A Common Stock | (3) | | | | | | | (3) | (3) | Class B Common Stock | 247500 (3) | | 165 (4) | D | |
Class A Common Stock | (3) | | | | | | | (3) | (3) | Class B Common Stock | 226500 (3) | | 151 (5) | I | By the Ajit Jain GRAT Trust |
Explanation of Responses: |
(1) | On May 9th, the Reporting Person made charitable gifts totaling 51 shares of Class B Common Stock. |
(2) | On May 11th, the Reporting Person made charitable gifts totaling 68 shares of Class B Common Stock. |
(3) | Each share of Class A Common Stock is convertible at any time at the option of the holder into 1,500 shares of Class B Common stock. |
(4) | The Reporting Person directly owns 165 shares of Class A Common Stock, which are convertible into 247,500 shares of Class B Common Stock. |
(5) | A family trust established by the Reporting Person for the benefit of the Reporting Person's descendants owns 151 shares of Class A Common Stock, which are convertible into 226,500 shares of Class B Common Stock. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Jain Ajit 100 FIRST STAMFORD PLACE BHRG STAMFORD, CT 06902 | X |
| Vice Chairman |
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Signatures
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Ajit Jain | | 5/12/2023 |
**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 control number. |
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