-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, J4v2WpSc3RXFbAVTH/cBXtUYTb2HvBrBOFvLfPlEk0+xJuWDJcEsuR/JQ3Sl6X6+ CzMZyZVPXvAI8MQ3AP2wGg== 0000950136-02-003266.txt : 20021119 0000950136-02-003266.hdr.sgml : 20021119 20021119140534 ACCESSION NUMBER: 0000950136-02-003266 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021105 FILED AS OF DATE: 20021119 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDEN STATE BANCORP INC CENTRAL INDEX KEY: 0001019508 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 954642135 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29654 FILM NUMBER: 02832671 BUSINESS ADDRESS: STREET 1: 135 MAIN ST CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 4159041100 MAIL ADDRESS: STREET 1: 135 MAIN ST CITY: SAN FRANCISCO STATE: CA ZIP: 94105 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: FORD GERALD J CENTRAL INDEX KEY: 0001021572 RELATIONSHIP: DIRECTOR STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 350 S GRAND AVENUE STREET 2: 52ND FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: 2132104931 MAIL ADDRESS: STREET 1: 350 S GRAND AVENUE STREET 2: 52ND FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 4 1 file001.txt FORM 4 FORM 4 ------------------------------ OMB APPROVAL [X] CHECK THIS BOX IF NO LONGER SUBJECT ------------------------------ TO SECTION 16. FORM 4 OR FORM 5 OMB Number: 3235-0287 OBLIGATIONS MAY CONTINUE. SEE Expires: January 31, 2005 INSTRUCTION 1(B). Estimated average burden hours per response.........0.5 ------------------------------ 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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 (Print or Type Responses) ________________________________________________________________________________ 1. Name and Address of Reporting Person* Ford, Gerald J. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 200 Crescent Court, Ste. 1350 - -------------------------------------------------------------------------------- (Street) Dallas, TX 75201 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name AND Ticker or Trading Symbol Golden State Bancorp Inc. (GSB) ________________________________________________________________________________ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ________________________________________________________________________________ 4. Statement for Month/Day/Year 11/5/2002 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Day/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) |X| Director | | 10% Owner |X| Officer (give title below) | | Other (specify below) Chairman of the Board and Chief Executive Officer ____________________________________________________________________ ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check Applicable line) | | Form Filed by One Reporting Person |X| Form Filed by More than One Reporting Person ________________________________________________________________________________ ================================================================================ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ================================================================================
5. Amount of 6. 4. Securities Owner- Securities Acquired (A) or Beneficially ship 2A. 3. Disposed of (D) Owned Form: 7. 2. Trans- Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of action Execution Code ------------------------------- Reported (D) or Indirect 1. Date Date, if any (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security (Month/ (Month/ ------------ or (Instr. 3 and (I) Ownership (Instr. 3) Day/Year) Day/Year) Code V Amount (D) Price 4) (Instr.4) (Instr.4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/5/02 J(1) 1,165,793 A (1) 21,894,381 I (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/7/02 D(2) 21,894,381 D (2) -0- I (2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/7/02 D(2) 99,958 D (2) -0- D - ------------------------------------------------------------------------------------------------------------------------------------ Litigation Tracking Warrants 11/7/02 D(3) 1,903,000 D (3) -0- I (3) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== 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).
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. (Over) SEC 1474 (9-02) FORM 4 (continued) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ================================================================================
9. Number 10. of Owner- deriv- ship ative Form 2. Secur- of Conver- 5. 7. ities Deriv- 11. sion Number of Title and Amount Bene- ative Nature or 3A. Derivative 6. of Underlying 8. ficially Secur- of Exer- Deemed 4. Securities Date Securities Price Owned ity: In- cise 3. Execu- Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Follow- Direct direct Price Trans- tion action or Disposed Expiration Date ---------------- Deriv- ing (D) or Bene- 1. of action Date, Code of(D) (Month/Day/Year) Amount ative Reported In- ficial Title of Deriv- Date if any (Instr. (Instr. 3, ---------------- or Secur- Trans- direct Owner- Derivative ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number ity actions (I) ship Security Secur- Day/ Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Employee $23.50 11/7/02 D 225,000 (4) 5/17/09 Common 225,000 0(5) D Stock Option Stock (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------ Employee $14.00 11/7/02 D 173,000 (4) 1/23/10 Common 173,000 0(5) D Stock Option Stock (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------ Employee $26.375 11/7/02 D 175,000 (4) 1/21/11 Common 175,000 0(5) D Stock Option Stock (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------ Employee $27.65 11/7/02 D 165,000 (4) 1/21/12 Common 165,000 0(5) D Stock Option Stock (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: See Attachment No. 1. **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. /s/ Gerald J. Ford 11/18/02 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. ATTACHMENT NO. 1 TO FORM 4 - GERALD J. FORD (1) 1,165,793 shares of Golden State Common Stock (the "Shares") reported herein were acquired by Mr. Ford as contingent merger consideration pursuant to Section 1.6 of the Agreement and Plan of Reorganization dated as of February 4, 1998, as amended (the "Agreement") among First Gibraltar Holdings Inc., Hunter's Glen/Ford, Ltd. ("Hunter's Glen"), First Nationwide (Parent) Holdings Inc., First Nationwide Holdings Inc., Golden State Bancorp Inc. ("GSB") and Golden State Financial Corporation. The Shares are indirectly owned by Mr. Ford through Hunter's Glen, a limited partnership in which Mr. Ford and Ford Diamond Corporation, a corporate entity controlled by Mr. Ford, are the general partners. Hunter's Glen is the record holder of the Shares reported herein. Pursuant to the formula set forth in the Agreement, the price per share attributed to the Shares is $19.1566 as to 90,139 shares and $28.4733 as to 1,075,654 shares. (2) All shares of Golden State Bancorp ("GSB") common stock were disposed of pursuant to the merger of GSB and a wholly owned subsidiary of Citigroup Inc. ("Citi") for Citi common stock, each having a value of approximately $37.11 based on the arithmetic average of the closing sales prices of Citi common stock for the five consecutive trading days immediate preceding but not including the second trading day prior to the Closing Date of such merger. (3) Citi assumed the obligations on this security pursuant to the merger described in (2) above. These securities are indirectly owned by Mr. Ford through Hunter's Glen. (4) Immediately. (5) All options to acquire shares of GSB common stock were converted pursuant to such merger into options to acquire that number of shares of Citi common stock equal to the number of shares of GSB common stock subject to such option immediately prior to completion of such merger multiplied by the exchange ratio in such merger (1.005681), at an exercise price per share equal to the exercise price for each such share of GSB common stock subject to such option divided by such exchange ratio. JOINT FILERS 1. Name of designated filer: Gerald J. Ford Name of joint filer: Hunter's Glen/Ford, Ltd. Address of joint filer: 200 Crescent Court, Suite 1350 Dallas, Texas 75201 Statement for Month/Day/Year: 11/5/2002 Issuer name and Ticker or Trading Symbol Golden State Bancorp Inc. (GSB) Relationship of Reporting Person to 10% Owner Issuer 2. Name of designated filer: Gerald J. Ford Name of joint filer: Ford Diamond Corporation Address of joint filer: 200 Crescent Court, Suite 1350 Dallas, Texas 75201 Statement for Month/Day/Year: 11/5/2002 Issuer name and Ticker or Golden State Bancorp Inc. (GSB) Trading Symbol Relationship of Reporting Person 10% Owner to Issuer HUNTER'S GLEN/FORD, LTD. FORD DIAMOND CORPORATION By: Ford Diamond Corporation, By /s/ Gerald J. Ford General Partner -------------------- Gerald J. Ford, President By: /s/ Gerald J. Ford --------------------------- Gerald J. Ford, President -----END PRIVACY-ENHANCED MESSAGE-----