-----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, BepPk6kcS6bUPW8fa8ccmzJrzy5LqPLCc1gdZk8AL/pJaljm1f3q8Gi5CvgUc8+0 NZ9DVjYvv0LwvpzHy3V02w== 0000923118-01-500025.txt : 20010912 0000923118-01-500025.hdr.sgml : 20010912 ACCESSION NUMBER: 0000923118-01-500025 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010831 FILED AS OF DATE: 20010911 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HOME PROPERTIES OF NEW YORK INC CENTRAL INDEX KEY: 0000923118 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 161455126 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13136 FILM NUMBER: 1735450 BUSINESS ADDRESS: STREET 1: 850 CLINTON SQ CITY: ROCHESTER STATE: NY ZIP: 14604 BUSINESS PHONE: 7165464900 MAIL ADDRESS: STREET 1: 850 CLINTON SQUARE CITY: ROCHESTER STATE: NY ZIP: 14604 COMPANY DATA: COMPANY CONFORMED NAME: LEENHOUTS NELSON B CENTRAL INDEX KEY: 0001142272 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O HOME PROPERTIS ON NEW YORK STREET 2: 850 CLINTON SQ CITY: NEW YORK STATE: NY ZIP: 14604 BUSINESS PHONE: 7165464900 MAIL ADDRESS: STREET 1: C/O HOME PROPERTIES OF NEW YORK STREET 2: 850 CLINTON SQUARE CITY: ROCHESTER STATE: NY ZIP: 14604 4 1 nelson4.txt NELSON ----------------------- OMB APPROVAL ----------------------- OMB Number Expires: Estimated average burden Hours per response. . . 0.5 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 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(f) of the Investment Company Act of 1940 ================================================================ 1. Name and Address of Reporting Person* Leenhouts, Nelson B. - ---------------------------------------------------------------- (Last) (First) (Middle) 62 Woodbury Place - ---------------------------------------------------------------- (Street) Rochester, New York 14618 - ---------------------------------------------------------------- (City) (State) (Zip) ================================================================ 2. Issuer Name and Ticker or Trading Symbol Home Properties of New York, Inc. (HME) ================================================================ 3. IRS or Social Security Number of Reporting Person(Voluntary) ================================================================ 4. Statement for Month/Year August, 2001 ================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) ( X ) Director ( ) 10% Owner ( X ) Officer (give title below) ( ) Other (specify below) President, Co-Chief Executive Officer ================================================================ 7. 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 Acquired, Disposed of, or Beneficially Owned ================================================================
4. Securities Acquired (A) Or Disposed of (D) (Instr. 3, 4 and 5) ----------------------- 5. 6.Ownership 7. Nature of 2. 3. A Amount of Securities Form Indirect 1. Transaction Transaction or Beneficially Owned Direct (D) Beneficial Title of Security Date Code Amount D Price at End of Month or Indirect Ownership (Instr. 3) (mm/dd/yy) (Instr. 8) (Instr. 3 and 4) (I)(Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/5/01 G V 1,462 D Par Value $.01 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 8/8/01 M V 9,000 A $25.1250 Par Value $.01 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 8/8/01 S 2,000 D $30.40 Par Value $.01 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock, 8/16/01 S 2,000 D $30.90 156,536 D Par Value $.01 ==================================================================================================================================
o If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). 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. Page 1 of 2 TABLE II - Derivative Securities Beneficially Owned (e.g., puts, call, warrants, options, convertible securities) ================================================================
9. 10. 11. Number Owner Nature 5. of ship of Number of Deriv- Form Indirect Derivative 6. Date 7. ative of Benefi- 2. 3. 4. Securities Exercisable Title 8. Secur- Deriv ficial 1. Price Trans- Trans- Acquired (A) and and Amount of Price ities ative Owner- Title of of action action or Disposed Expiration Underlying of Benefi-Secur ship Derivative Deriv- Date Code of (D) Date Securities Deriv- cially ity (Instr. Security ative (month/ (Instr. (Instr. 3,4 (Month/Day/Year) (Inst. 3 and 4) ative Owned (D) or 4) (Instr.3) Security day/year) 8) and 5 ------------------- ----------------------- Secur- at End (I) (A) (D) Date Expira- Amount or ity of Exer- ation Title Number of (Instr. Month cisable Date Shares 5) (Instr4) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Units of Limited Partnership (1) * * * * * * * * * 219 D - ----------------------------------------------------------------------------------------------------------------------------------- Units of Limited Partnership (1) * * * * * * * * * 4,005 I Leenhouts Ventures (2) - ----------------------------------------------------------------------------------------------------------------------------------- Units of Limited Partnership (1) * * * * * * * * * 214,688 I Home Leasing (3) - ----------------------------------------------------------------------------------------------------------------------------------- Units of Limited Partnership (1) * * * * * * * * * 50,000 I Spouse (4) - ----------------------------------------------------------------------------------------------------------------------------------- Option to Purchase Common Stock $20.50 * * * * * * * * * 1,468 D - ---------------------------------------------------------------------------------------------------------------------------------- Option to Purchase Common Stock $26.50 * * * * * * * * * 15,000 D - ----------------------------------------------------------------------------------------------------------------------------------- Option to Purchase Common Stock $25.1250 8/8/01 M 9,000 8/4/99 8/4/08 Common Stock 9,000 6,000 D - ----------------------------------------------------------------------------------------------------------------------------------- Option to Purchase Common Stock $27.1250 * * * * * * * * * 50,000 D - ----------------------------------------------------------------------------------------------------------------------------------- Option to Purchase Common Stock $31.3750 * * * * * * * * * 50,000 D - ----------------------------------------------------------------------------------------------------------------------------------- Option to Purchase Common Stock $30.15 7/31/01 A V 50,000 (6) 7/31/ Common Stock 50,000 50,000 D 2011 - ----------------------------------------------------------------------------------------------------------------------------------- Phantom Stock Unit 1-for-1 * * * * * * * * * 2,085 (7) D - ----------------------------------------------------------------------------------------------------------------------------------- Phantom Stock Unit 1-for-1 * * * * * * * * * 4,509 (8) D - ----------------------------------------------------------------------------------------------------------------------------------- Phantom Stock Unit 1-for-1 * * * * * * * * * 1,356 (9) D - -----------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: * Previously reported. 1. Units of Limited Partnership interests in Home Properties of New York, L.P., a New York limited partnership of which the Issuer is the General Partner. The Reporting Person has the right to redeem the units for cash. The Issuer may elect to acquire the Units to be redeemed for shares of Common Stock, at the rate of one Unit for one share of Common Stock or cash, at the option of the Issuer. 2. Nelson Leenhouts is a general partner of Leenhouts Ventures. Represents his proportionate interest in that entity. 3. Nelson Leenhouts is a director, shareholder and President of Home Leasing Corporation. Represents his proportionate interest in that entity. 4. The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. 5. The option vests in five equal annual installments beginning on July 31, 2002. 6. Includes 372 hypothetical shares of Common Stock credited to the Reporting Person's account pursuant to the dividend reinvestment feature of the Deferred Bonus Plan. The information presented is as of August 24, 2001. 7. Includes 584 hypothetical shares of Common Stock credited to the Reporting Person's account pursuant to the dividend reinvestment feature of the Deferred Bonus Plan. The information presented is as of August 24, 2001. 8. Includes 51 hypothetical shares of Common Stock credited to the Reporting Person's account pursuant to the dividend reinvestment feature of the Deferred Bonus Plan. The information presented is as of August 24, 2001. /s/ Nelson B. Leenhouts September 7, 2001 - ------------------------- ---------- ** Signature of Reporting Person Date ** 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 provided is insufficient. See Instruction 6 for procedure. Alternatively, this form is permitted to be submitted to the Commission in electronic format at the option of the Reporting Person pursuant to Rule 101 (b) (4) or Regulation S-T. -----END PRIVACY-ENHANCED MESSAGE-----