------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION ------------------------------
FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL
------ ------------------------------
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0287
[ ] CHECK THIS BOX IF NO EXPIRES: DECEMBER 31, 2001
LONGER SUBJECT TO Filed pursuant to Section 16(a) of the Securities ESTIMATED AVERAGE BURDEN
SECTION 16. FORM 4 Exchange Act of 1934, Section 17(a) of the HOURS PER RESPONSE.........0.5
OR FORM 5 OBLIGATIONS Public Utility Holding Company Act of 1935 ------------------------------
MAY CONTINUE. SEE or Section 30(f) of the Investment Company
INSTRUCTION 1(b). Act of 1940
(Print or Type Responses)
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1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s)
Goodwin, John E. KB HOME (KBH) to Issuer (Check all applicable)
-------------------------------------------- ---------------------------------------------- Director 10% Owner
(Last) (First) (Middle) 3. IRS Identification 4. Statement for ---- ---
10990 Wilshire Blvd. Number of Reporting Month/Year X Officer (give Other (specify
-------------------------------------------- Person, if an entity February 2002 ---- title below) --- below)
(Street) (Voluntary) -------------------
Los Angeles, CA 90024 5. If Amendment, Regional Gen Manager
-------------------------------------------- Date of Original ------------------------------------
(City) (State) (Zip) (Month/Year)
7. Individual or Joint/Group Filing
------------------- (Check Applicable Line)
X Form filed by One
---- Reporting Person
Form filed by More than
---- One Reporting Person
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TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
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1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of
(Instr. 3) action action or Disposed of (D) Securities Form: Indirect
Date Code (Instr. 3, 4 and 5) Beneficially Direct Beneficial
(Instr. 8) Owned at (D) or Ownership
(Month/ End of Month Indirect (Instr. 4)
Day/ --------------------------------------- (Instr. 3 and 4) (I)
Year) Code V Amount (A) or Price (Instr. 4)
(D)
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Common Stock 01/15/02 A V 6,591 A D
(1)
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Common Stock 01/15/02 A V 14,707 A D
(2)
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Common Stock 01/15/02 F V 6,096 D D
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Common Stock 01/15/02 F V 2,732 D D
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Common Stock 02/13/02 M 20,582 A $21.590 D
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Common Stock 02/13/02 S 15,031 D $40.141 D
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Common Stock 02/13/02 M 17,500 A $22.440 D
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Common Stock 02/13/02 S 12,780 D $40.141 D
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Common Stock 02/13/02 M 16,667 A $17.750 D
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Common Stock 02/13/02 S 12,172 D $40.141 D
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. PAGE 1 OF 5 PAGES
*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 (Over)
FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. SEC 1474 (3-99)
FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
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1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price
Security sion or action action Derivative cisable and of Underlying of
(Instr. 3) Exercise Date Code Securities Expiration Securities Deriv-
Price of (Month/ (Instr. Acquired (A) Date (Instr. 3 and 4) ative
Deriv- Day/ 8) or Disposed (Month/Day/ Secur-
ative Year) of (D) (Instr. Year) ity
Security 3, 4, and 5) (Instr. 5)
-----------------------------------
Date Expira- Amount or
-------------------------- Exer- tion Title Number of
Code V (A) (D) cisable Date Shares
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Non-Qualified Stock Option $17.750 02/13/02 M 16,667 10/25/99 10/24/14 Common 16,667
(right to buy) (3) Stock
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Non-Qualified Stock Option $21.590 02/13/02 M 20,582 12/05/97 12/05/12 Common 20,582
(right to buy) (3) Stock
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Non-Qualified Stock Option $21.948 02/13/02 M 4,367 07/30/99 07/30/14 Common 4,367
(right to buy) (3) Stock
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Non-Qualified Stock Option $22.440 02/13/02 M 17,500 12/01/98 12/01/13 Common 17,500
(right to buy) (3) Stock
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Non-Qualified Stock Option $25.000 02/13/02 M 13,334 10/13/00 10/13/15 Common 13,334
(right to buy) (3) Stock
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Non-Qualified Stock Option $40.141 02/13/02 A V 48,543 02/13/02 02/13/17 Common 48,543
(right to buy) (4) Stock
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9. Number of 10. Ownership 11. Nature of
Derivative Form of Indirect
Securities Derivative Beneficial
Beneficially Security: Ownership
Owned at End Direct (D) (Instr. 4)
of Month or Indirect (I)
(Instr. 4) (Instr. 4)
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8,333 D
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0 D
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0 D
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0 D
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26,666 D
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48,543 D
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Explanation of Responses:
SEE CONTINUATION PAGE(S) FOR FOOTNOTES
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ KIMBERLY N. KING March 8, 2002
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------ -------------
**Signature of Reporting Date
Note: File three copies of this Form, one of which must be manually signed. Person
If space is insufficient, see Instruction 6 for procedure. By: Kimberly N. King,
Attorney in Fact
For: John E. Goodwin
POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS PAGE 2 OF 5 PAGES Page 2
FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB NUMBER. SEC 1474 (3-99)
------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION ------------------------------
FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL
------ ------------------------------
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0287
[ ] CHECK THIS BOX IF NO EXPIRES: DECEMBER 31, 2001
LONGER SUBJECT TO Filed pursuant to Section 16(a) of the Securities ESTIMATED AVERAGE BURDEN
SECTION 16. FORM 4 Exchange Act of 1934, Section 17(a) of the HOURS PER RESPONSE.........0.5
OR FORM 5 OBLIGATIONS Public Utility Holding Company Act of 1935 ------------------------------
MAY CONTINUE. SEE or Section 30(f) of the Investment Company
INSTRUCTION 1(b). Act of 1940
(Print or Type Responses)
------------------------------------------------------------------------------------------------------------------------------------
1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s)
GOODWIN, JOHN E. KB HOME (KBH) to Issuer (Check all applicable)
-------------------------------------------- ---------------------------------------------- Director 10% Owner
(Last) (First) (Middle) 3. I.R.S. Identification 4. Statement for ---- ---
10990 WILSHIRE BLVD. Number of Reporting Month/Year Officer (give Other (specify
-------------------------------------------- Person, if an entity FEBRUARY 2002 ---- title below) --- below)
(Street) (Voluntary) -------------------
LOS ANGELES, CA 90024 5. If Amendment,
-------------------------------------------- Date of Original ------------------------------------
(City) (State) (Zip) (Month/Year)
7. Individual or Joint/Group Filing
------------------- (Check Applicable Line)
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
------------------------------------------------------------------------------------------------------------------------------------
1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of
(Instr. 3) action action or Disposed of (D) Securities Form: Indirect
Date Code (Instr. 3, 4 and 5) Beneficially Direct Beneficial
(Instr. 8) Owned at (D) or Ownership
(Month/ End of Month Indirect (Instr. 4)
Day/ --------------------------------------- (Instr. 3 and 4) (I)
Year) Code V Amount (A) or Price (Instr. 4)
(D)
------------------------------------------------------------------------------------------------------------------------------------
Common Stock 02/13/02 M 13,334 A $25.000 D
------------------------------------------------------------------------------------------------------------------------------------
Common Stock 02/13/02 S 9,738 D $40.141 D
------------------------------------------------------------------------------------------------------------------------------------
Common Stock 02/13/02 M 4,367 A $21.948 D
------------------------------------------------------------------------------------------------------------------------------------
Common Stock 02/13/02 S 3,189 D $40.141 51,791 D
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. PAGE 3 OF 5 PAGES (Over)
*If the form is filed by more than one reporting person, see Instruction 4(b)(v). SEC 1474 (3-99)
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 CONTROL NUMBER.
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 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price
Security sion or action action Derivative cisable and of Underlying of
(Instr. 3) Exercise Date Code Securities Expiration Securities Deriv-
Price of (Month/ (Instr. Acquired (A) Date (Instr. 3 and 4) ative
Deriv- Day/ 8) or Disposed (Month/Day/ Secur-
ative Year) of (D) (Instr. Year) ity
Security 3, 4, and 5) (Instr. 5)
-----------------------------------
Date Expira- Amount or
-------------------------- Exer- tion Title Number of
Code V (A) (D) cisable Date Shares
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9. Number of 10. Ownership 11. Nature of
Derivative Form of Indirect
Securities Derivative Beneficial
Beneficially Security: Ownership
Owned at End Direct (D) (Instr. 4)
of Month or Indirect (I)
(Instr. 4) (Instr. 4)
--------------------------------------------------------------------------
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--------------------------------------------------------------------------
--------------------------------------------------------------------------
--------------------------------------------------------------------------
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Explanation of Responses:
SEE CONTINUATION PAGE(S) FOR FOOTNOTES
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ KIMBERLY N. KING March 8, 2002
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -------------------- -------------
**Signature of Date
Note: File three copies of this Form, one of which must be manually signed. Reporting Person
If space provided is insufficient, see Instruction 6 for procedure. By: Kimberly N. King, Attorney in Fact
For: John E. Goodwin
Potential persons who are to respond to the collection of information contained in this form are PAGE 4 OF 5 PAGES Page 2
not required to respond unless the form displays a currently valid OMB Number. SEC 1474 (3-99)
Goodwin, John E. KB HOME (KBH) Page 5 of 5 pages
10990 Wilshire Blvd. February 2002
Los Angeles, CA 90024
(1) Common stock awarded as part of reporting person's 2001 performance-based
incentive compensation under registrant's 2001 Stock Incentive Plan which
is exempt under Section 16(b)-3. The shares are restricted from sale until
first anniversary of date of grant.
(2) Payout of common stock under registrant's performance-based, multi-year
Unit Performance Program, administered under the registrant's 2001 Stock
Incentive Plan which is exempt under Section 16(b)-3.
(3) Broker-assisted exercise/sale pursuant to registrant's Executive Stock
Ownership Policy which requires reporting person to own shares of common
stock with a value equal to his annual cash compensation (salary and
bonus), and to maintain such share ownership throughout his employment.
Shares were sold solely to cover tax liability upon exercise and exercise
price.
(4) Fair market value replacement options awarded under the 2001 Incentive
Stock Plan in accord with registrant's Executive Stock Ownership Policy.
Number of options awarded is limited to number of shares sold to pay tax
liability and exercise prices.