-----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, DF4CuZE+Fe682nFzAFQHjaOisE+waICxSSNGjh7v1YlIE/n8HNVs2KqU8ppTfeoR nxtBio8UGlFvZoYMPfWBIA== 0000923118-01-500027.txt : 20010912 0000923118-01-500027.hdr.sgml : 20010912 ACCESSION NUMBER: 0000923118-01-500027 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: 1735475 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: BALDERSTON WILLIAM III CENTRAL INDEX KEY: 0001142305 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 28 WHITESTONE LANE CITY: ROCHESTER STATE: NY ZIP: 14610-3304 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 balderston4.txt BALDERSTON ----------------------- 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* Balderston, III William - ---------------------------------------------------------------- (Last) (First) (Middle) 28 Whitestone Lane - ---------------------------------------------------------------- (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 ( ) Officer (give title below) ( ) Other (specify below) ================================================================ 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 at Direct (D) or Beneficial Title of Security Date Code Amount D Price End of Month Indirect (I) Ownership (Instr. 3) (mm/dd/yy) (Instr. 8) (Instr. 3 and 4) (Instr. 4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 8/8/01 M 759 A $20.50 Par Value $.01 - ---------------------------------------------------------------------------------------------------------------------------------- Common Stock 8/8/01 S 759 D $30.46 11,990 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 of Deriv- ship of 2. 5. 8. ative Form Indirect Conver- Number of 6. 7. Title Price Secur- of Beneficial sion or Derivative Date and Amount of of ities Deriv Owner- Exercise 3. 4. Securities Exercisable and Underlying Deriv- Benefi- ative Ship Price Trans- Trans- Acquired (A)Expiration Date Securities ative cially Secur (Instr. 1. of action action or Disposed (Month/Day/Year) (Instr. 3 Secur- Owned ity 4) Title of Deriv- Date Code of (D) --------------- ----------- ity at End Direct Derivative ative (Month/ (Instr. (Instr.3, 4 Date Expira- Title Amount or (Instr. of (D) or Security Security Day/Year) 8) and 5) Exer- tion Number of 5) Month Indire- (Instr. 3) (A) (D) cisable Date Shares (Instr.4) ct (I) - ----------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- Option to Purchase Common Common Stock $20.50 8/9/01 M 759 8/12/97 8/12/01 Stock 759 0 D - ---------------------------------------------------------------------------------------------------------------------------------- Purchase Common Stock $22.75 * * * * * * * * * 3,500 D - ----------------------------------------------------------------------------------------------------------------------------------- Option to Purchase Common Stock $27.0625 * * * * * * * * * 3,500 D - ----------------------------------------------------------------------------------------------------------------------------------- Option to Purchase Common Stock $25.6875 * * * * * * * * * 3,500 D - ----------------------------------------------------------------------------------------------------------------------------------- Option to Purchase Common Stock $28.3125 * * * * * * * * * 2,700 D - ----------------------------------------------------------------------------------------------------------------------------------- Option to Purchase Common Stock $31.3750 * * * * * * * * * 4,720 D - ----------------------------------------------------------------------------------------------------------------------------------- Option to Purchase Common Stock $28.34 * * * * * * * * * 7,000 D - -----------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: * Previously reported. /s/ William Balderston, III September 10, 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-----