-----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, VZ1UtvOUkWUbZ+TbcggvEZvLSaEx1ls5tTZizPoYEKmtS+SQet7nCsqRsGmfWRzX YZPFyOEOvQjIaKXQcYSZVA== 0000923118-03-000047.txt : 20030415 0000923118-03-000047.hdr.sgml : 20030415 20030415113506 ACCESSION NUMBER: 0000923118-03-000047 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030414 FILED AS OF DATE: 20030415 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: 03649829 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 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: LUKEN ROBERT CENTRAL INDEX KEY: 0001142275 RELATIONSHIP: OFFICER 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 luken4.txt STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response.........0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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(h) of the Investment Company Act of 1940 |_| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print of Type Responses) ________________________________________________________________________________ 1. Name and Address of Reporting Person* Luken Robert J. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 15 Hadley Court - -------------------------------------------------------------------------------- (Street) Pittsford NY 14534 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Home Properties of New York, Inc. (HME) ________________________________________________________________________________ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ________________________________________________________________________________ 4. Statement for Month/Day/Year April 14, 2003 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Day/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) | | Director |_| 10% Owner |x| Officer (give title below) |_| Other (specify below) Vice President and Treasurer ________________________________________________________________________________ 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 ================================================================================
5. Amount of 6. 4. Securities Owner- Securities Acquired (A) or Beneficially ship 2A. 3. Disposed of (D) Owned Form: 7. 2. Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of Trans- Execution Code ------------------------------- Reported (D) or Indirect 1. action Date, if (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Date any ------------ or (Instr. 3 & (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price Instr.4) (Instr.4) (Instr.4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, Par value $.01 04/14/03 M 215(1) A - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, Par value $.01 04/14/03 F 75(1) D $31.30 14,596 D - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
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 Derivative 6. of Underlying 8. ficially Secur- of Exer- 3A. 4. Securities Date Securities Price Owned ity: In- cise Deemed Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Follow- Direct direct Price 3. Execut- action or Disposed Expiration Date ---------------- Deriv- ing (D) or Bene- 1. of Trans- ion Code of(D) (Month/Day/Year) Amount ative Reported In- ficial Title of Deriv- action Date if (Instr. (Instr. 3, ---------------- or Secur- Trans- direct Owner- Derivative ative Date any 8) 4 and 5) Date Expira- Number ity action(s) (I) ship Security Secur- (mm/dd/ (mm/dd/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity yy) yy) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Common Stock $19.38 * * * * * * * * * 3,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Common Stock $20.50 * * * * * * * * * 1,016 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Common Stock $26.50 * * * * * * * * * 1,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Common Stock $25.125 * * * * * * * * * 3,500 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Common Stock $27.125 * * * * * * * * * 10,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Common Stock $31.375 * * * * * * * * * 10,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Common Stock $30.15 * * * * * * * * * 10,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Common Stock $34.65 * * * * * * * * * 7,500 D - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stock Common Unit 1-for-1 4/14/03 M 215(1)4/14/03 4/14/03 Stock 215 377 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: * Previously Reported. (1) Represents the issuance of shares of common stock at the end of the deferral period selected by the Reporting Person pursuant to the Issuer's Deferred Bonus Plan. Of the shares issued, 75 were withheld to pay the Reporting Person's tax liability. /s/ Robert J. Luken By Ann M. McCormick attorney-in-fact April 15, 2003 - --------------------------------------------- ----------------------- **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. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----