0001209191-20-024066.txt : 20200409 0001209191-20-024066.hdr.sgml : 20200409 20200409170453 ACCESSION NUMBER: 0001209191-20-024066 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200407 FILED AS OF DATE: 20200409 DATE AS OF CHANGE: 20200409 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BUFFETT WARREN E CENTRAL INDEX KEY: 0000315090 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35651 FILM NUMBER: 20785197 BUSINESS ADDRESS: STREET 1: 3555 FARNAM ST STREET 2: STE 1440 CITY: OMAHA STATE: NE ZIP: 68131 BUSINESS PHONE: 402-346-1400 MAIL ADDRESS: STREET 1: 3555 FARNAM ST STREET 2: STE 1440 CITY: OMAHA STATE: NE ZIP: 68131 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERKSHIRE HATHAWAY INC CENTRAL INDEX KEY: 0001067983 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35651 FILM NUMBER: 20785198 BUSINESS ADDRESS: STREET 1: 3555 FARNAM STREET CITY: OMAHA STATE: NE ZIP: 68131 BUSINESS PHONE: 4023461400 MAIL ADDRESS: STREET 1: 3555 FARNAM STREET CITY: OMAHA STATE: NE ZIP: 68131 FORMER NAME: FORMER CONFORMED NAME: NBH INC DATE OF NAME CHANGE: 19980810 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Bank of New York Mellon Corp CENTRAL INDEX KEY: 0001390777 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 132614959 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 240 GREENWICH STREET CITY: NEW YORK STATE: NY ZIP: 10286 BUSINESS PHONE: 212-495-1784 MAIL ADDRESS: STREET 1: 240 GREENWICH STREET CITY: NEW YORK STATE: NY ZIP: 10286 FORMER COMPANY: FORMER CONFORMED NAME: Bank of New York Mellon CORP DATE OF NAME CHANGE: 20070221 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-04-07 1 0001390777 Bank of New York Mellon Corp BK 0001067983 BERKSHIRE HATHAWAY INC 3555 FARNAM STREET OMAHA NE 68131 0 0 1 0 0000315090 BUFFETT WARREN E 3555 FARNAM STREET OMAHA NE 68131 0 0 1 0 Common Stock 2020-04-07 4 S 0 197379 35.3069 D 88802621 I See Footnotes Common Stock 2020-04-08 4 S 0 634419 35.569 D 88168202 I See Footnotes Common Stock 2020-04-08 4 S 0 37305 35.8293 D 88130897 I See Footnotes The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.90 to $35.61. The Reporting Persons undertake to provide The Bank of New York Mellon Corporation, any security holder of The Bank of New York Mellon Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 1 to this Form 4. 80,619,648 of the total reported securities are owned directly by the following subsidiaries of Berkshire Hathaway Inc. ("Berkshire"): AmGUARD Insurance Company (132,000), Berkshire Hathaway Assurance Corporation (5,088,000), Berkshire Hathaway Direct Insurance Company (132,000), Berkshire Hathaway Homestate Insurance Company (2,148,000), Berkshire Hathaway International Insurance Ltd. (783,000), Berkshire Hathaway Life Insurance Company of Nebraska (1,793,915), Berkshire Hathaway Specialty Insurance Company (10,839,000), Brilliant National Services, Inc. (111,000), Cypress Insurance Company (776,000), Finial Reinsurance Company (1,106,000), Government Employees Insurance Company (6,160,384), GEICO Advantage Insurance Company (330,000), General Re Life Corporation (946,000), General Reinsurance Corporation (7,084,906), General Star Indemnity Company (537,750), General Star National Insurance Company (131,000), Genesis Insurance Company (103,000), Continued from footnote 2: The Medical Protective Company (6,677,000), MPP Company, Inc. (1,092,000), Mount Vernon Fire Insurance Company (1,493,450), National Fire & Marine Insurance Company (3,854,463), National Indemnity Company (21,387,580), National Liability & Fire Insurance Company (2,140,000), National Indemnity Company of Mid America (568,400), National Indemnity Company of the South (388,000), NorGUARD Insurance Company (132,000), NRG America Holding Company (214,000), Oak River Insurance Company (746,000), Old United Casualty Company (268,000), Princeton Insurance Company (642,000), Redwood Fire and Casualty Insurance Company (2,064,800) and United States Liability Insurance Company (750,000). In order to avoid double counting, shares of Common Stock reported as being owned by each of these subsidiaries Continued from footnote 3: only reflect shares that are owned directly by such subsidiary, and do not reflect any shares that such subsidiary may be deemed to beneficially own by virtue of ownership or control of any other subsidiary otherwise reported in this Form 4. As Berkshire is in the chain of ownership of each subsidiary listed above, it may be deemed presently to both beneficially own and have a pecuniary interest in all shares of Common Stock presently directly owned by such subsidiaries. Warren E. Buffett, as the controlling stockholder of Berkshire, may be deemed presently to beneficially own, but only to the extent he has a pecuniary interest in, the shares of Common Stock presently owned by each of these subsidiaries. Mr. Buffett disclaims beneficial ownership of the reported securities except to the extent of except to the extent of his pecuniary interest therein. 7,511,249 of the total reported securities are owned directly by the following pension plans of Berkshire's subsidiaries: Berkshire Hathaway Consolidated Pension Plan Master Retirement Trust (6,748,092), BNSF Master Retirement Trust (412,657) and Precision CastParts Corp Master Trust (350,500). Each of Berkshire, Mr. Buffett and these pension plans disclaim beneficial ownership in such shares. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.80 to $35.79. The Reporting Persons undertake to provide The Bank of New York Mellon Corporation, any security holder of The Bank of New York Mellon Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 6 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.80 to $35.90. The Reporting Persons undertake to provide The Bank of New York Mellon Corporation, any security holder of The Bank of New York Mellon Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 7 to this Form 4. /s/ Warren E. Buffett, on behalf of himself and each other reporting person hereunder 2020-04-09