Skip to main content

AI assistant

Sign in to chat with this filing

The assistant answers questions, extracts KPIs, and summarises risk factors directly from the filing text.

H&R BLOCK INC Director's Dealing 2003

Apr 2, 2003

30865_dirs_2003-04-02_550444b7-fcb4-443d-84e2-23d9c6513e96.zip

Director's Dealing

Open in viewer

Opens in your device viewer

4 1 rot5.htm FORM 4 FOR ROTHERHAM 4/1/03 SEC Form 4

FORM 4 [X] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Responses) 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 OMB APPROVAL OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response. . . . . 0.5

1. Name and Address of Reporting Person * Rotherham, Thomas G. (Last) (First) (Middle) RSM McGladrey, Inc. 3600 West 80th Street (Street) Bloomington, MN 55431-082 (City) (State) (Zip)
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) 4. Statement for Month/Day/Year March 31, 2003 5. If Amendment, Date of Original (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 3. Transaction Code and Voluntary Code (Instr. 8) Code | V 4. Securities Acquired (A) or Disposed (D) Of (Instr. 3, 4, and 5) Amount | A/D | Price 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Owner- ship Form: Direct(D) or Indirect (I) (Instr. 4)
Common Stock, without par value 03/31/2003 J (1) | 28.4230 | A | $40.4600 D
Common Stock, without par value 03/31/2003 J (2) | 41.7600 | D | $42.6900 9680.4810 D

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)

Rotherham, Thomas G. - March 31, 2003

Form 4 (continued)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3) 2. Conver- sion or Exercise Price of Deri- vative Security 6. Date Exercisable(DE) and Expiration Date(ED) (Month/Day/Year) (DE) | (ED) 7. Title and Amount of Underlying Securities (Instr. 3 and 4) 9. Number of Derivative Securities Beneficially Owned Following Reported Transactions (Instr.4) 10. Owner- ship Form of Deriv- ative Security: Direct (D) or Indirect (I) (Instr.4)
Call Option to Purchase $27.8125 08/02/2002 | 08/02/2009 Common Stock, without par value - 42,000 42,000 D
Call Option to Purchase $32.2750 06/30/2004 | 06/30/2011 Common Stock, without par value - 50,000 50,000 D
Call Option to Purchase $46.1500 06/30/2004 | 06/30/2012 Common Stock, without par value - 20,000 20,000 D

Explanation of Responses :

** 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. 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. By: James H. Ingraham per Power of Attorney for 04-02-2003 ** Signature of Reporting Person Date Thomas G. Rotherham Page 2

Rotherham, Thomas G. - March 31, 2003

Form 4 (continued)

FOOTNOTE Descriptions for H&R Block, Inc. HRB Form 4 - March 2003 Thomas G. Rotherham RSM McGladrey, Inc. 3600 West 80th Street Bloomington, MN 55431-082 Explanation of responses: (1) Units acquired under the H&R Block Deferred Compensation Plan for Executives, as Amended and Restated. Each unit has the value of one share of Common Stock. (2) Units transferred out of the H&R Block Deferred Compensation Plan for Executives, as Amended and Restated. Each unit has the value of one share of Common Stock.

Page 3