BURLINGTON NORTHERN SANTA FE, LLC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 75 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-12-07: Reporting owner ROSE MATTHEW K; Form 4; Security Employee Option (Right to Buy); Transaction J Other acquisition or disposition (describe transaction).
- 2007-12-07: Reporting owner ROSE MATTHEW K; Form 4; Security Employee Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-12-07: Reporting owner ROSE MATTHEW K; Form 4; Security Employee Option (Right to Buy); Transaction J Other acquisition or disposition (describe transaction).
- 2007-12-07: Reporting owner ROSE MATTHEW K; Form 4; Security Employee Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2007-12-07 | ROSE MATTHEW K Director, Officer (Chairman, Pres. and CEO) | 4 | Employee Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,135 1,135 owned after | $88.03 exercise price | 2007-12-11 | |
| 2007-12-07 | ROSE MATTHEW K Director, Officer (Chairman, Pres. and CEO) | 4 | Employee Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,045 0 owned after | $32.84 exercise price | 2007-12-11 | |
| 2007-12-07 | ROSE MATTHEW K Director, Officer (Chairman, Pres. and CEO) | 4 | Employee Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +80,251 80,251 owned after | $88.03 exercise price | 2007-12-11 | |
| 2007-12-07 | ROSE MATTHEW K Director, Officer (Chairman, Pres. and CEO) | 4 | Employee Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −243,268 0 owned after | $29.04 exercise price | 2007-12-11 | |
| 2007-11-08 | WHISLER J STEVEN Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $29.78 exercise price | 2007-11-13 | |
| 2007-11-08 | WHISLER J STEVEN Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $29.24 exercise price | 2007-11-13 | |
| 2007-11-08 | WHISLER J STEVEN Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $26.80 exercise price | 2007-11-13 | |
| 2007-11-08 | WHISLER J STEVEN Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $32.72 exercise price | 2007-11-13 | |
| 2007-10-29 | ICE CARL R Officer (Executive VP and COO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −21,989 0 owned after | $78.66 exercise price | 2007-10-31 | |
| 2007-10-25 | HUND THOMAS N Officer (Executive VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 41,703 owned after | $29.44 exercise price | 2007-10-29 | |
| 2007-10-25 | WEST ROBERT H Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $29.24 exercise price | 2007-10-29 | |
| 2007-10-25 | WEST ROBERT H Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $26.80 exercise price | 2007-10-29 | |
| 2007-10-25 | WEST ROBERT H Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $32.72 exercise price | 2007-10-29 | |
| 2007-10-03 | OBH INC | NATIONAL INDEMNITY CO | BERKSHIRE HATHAWAY INC | BUFFETT WARREN E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock (acquisition from call options exercised) Non-derivative · Indirect · See footnotes 2 and 3 | X Exercise of in-the-money or at-the-money derivative security | +7,847,818 60,828,818 owned after | $40.00 | 2007-10-05 | |
| 2007-10-03 | OBH INC | NATIONAL INDEMNITY CO | BERKSHIRE HATHAWAY INC | BUFFETT WARREN E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call option (right to buy) Derivative · Indirect · See footnote 4 | X Exercise of in-the-money or at-the-money derivative security | −7,847,818 0 owned after | $39.10 | 2007-10-05 | |
| 2007-09-18 | OBH INC | BUFFETT WARREN E | BERKSHIRE HATHAWAY INC 10% Owner | 10% Owner | 10% Owner | 4 | Call option (right to buy) Derivative · Indirect · See footnote 4 | P Open market or private purchase of non-derivative or derivative security | +392,378 7,847,818 owned after | $39.10 | 2007-09-20 | |
| 2007-08-31 | BERKSHIRE HATHAWAY INC | BUFFETT WARREN E | OBH INC 10% Owner | 10% Owner | 10% Owner | 4 | Call option (right to buy) Derivative · Indirect · See footnote 4 | P Open market or private purchase of non-derivative or derivative security | +2,500,000 7,455,440 owned after | $39.95 | 2007-09-04 | |
| 2007-08-30 | BERKSHIRE HATHAWAY INC | BUFFETT WARREN E | OBH INC 10% Owner | 10% Owner | 10% Owner | 4 | Call option (right to buy) Derivative · Indirect · See footnote 4 | P Open market or private purchase of non-derivative or derivative security | +4,955,440 4,955,440 owned after | $37.96 | 2007-09-04 | |
| 2007-08-10 | MARTINEZ VILMA S Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $24.35 exercise price | 2007-08-14 | |
| 2007-08-10 | MARTINEZ VILMA S Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $29.78 exercise price | 2007-08-14 | |
| 2007-08-10 | MARTINEZ VILMA S Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $29.24 exercise price | 2007-08-14 | |
| 2007-08-10 | MARTINEZ VILMA S Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $26.80 exercise price | 2007-08-14 | |
| 2007-08-10 | MARTINEZ VILMA S Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $32.72 exercise price | 2007-08-14 | |
| 2007-07-30 | ICE CARL R Officer (Executive VP and COO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,226 0 owned after | $31.00 exercise price | 2007-07-31 | |
| 2007-07-30 | ICE CARL R Officer (Executive VP and COO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,619 0 owned after | $32.19 exercise price | 2007-07-31 | |
| 2007-07-30 | ICE CARL R Officer (Executive VP and COO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,200 0 owned after | $33.98 exercise price | 2007-07-31 | |
| 2007-07-30 | ICE CARL R Officer (Executive VP and COO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,286 0 owned after | $35.58 exercise price | 2007-07-31 | |
| 2007-05-09 | SHAPIRO MARC J Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $33.24 exercise price | 2007-05-09 | |
| 2007-05-08 | RICKERSHAUSER PETER J Officer (VP - Network Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,618 0 owned after | $27.97 exercise price | 2007-05-10 | |
| 2007-05-08 | RICKERSHAUSER PETER J Officer (VP - Network Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,357 0 owned after | $27.55 exercise price | 2007-05-10 | |
| 2007-05-08 | RICKERSHAUSER PETER J Officer (VP - Network Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,227 0 owned after | $68.75 exercise price | 2007-05-10 | |
| 2007-05-08 | RICKERSHAUSER PETER J Officer (VP - Network Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −191 0 owned after | $81.25 exercise price | 2007-05-10 | |
| 2007-05-03 | RICKERSHAUSER PETER J Officer (VP - Network Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +744 744 owned after | $89.50 exercise price | 2007-05-07 | |
| 2007-05-03 | RICKERSHAUSER PETER J Officer (VP - Network Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,382 0 owned after | $27.97 exercise price | 2007-05-07 | |
| 2007-05-03 | RICKERSHAUSER PETER J Officer (VP - Network Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,117 1,117 owned after | $89.50 exercise price | 2007-05-07 | |
| 2007-05-03 | RICKERSHAUSER PETER J Officer (VP - Network Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,045 0 owned after | $32.84 exercise price | 2007-05-07 | |
| 2007-05-03 | LANIGAN JOHN P JR Officer (EVP & Chief Marketing Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,018 0 owned after | $32.72 exercise price | 2007-05-07 | |
| 2007-05-03 | LANIGAN JOHN P JR Officer (EVP & Chief Marketing Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,782 0 owned after | $32.72 exercise price | 2007-05-07 | |
| 2007-05-01 | ROSE MATTHEW K Director, Officer (Chairman, Pres. and CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +10,415 10,415 owned after | $87.36 exercise price | 2007-05-03 | |
| 2007-05-01 | ROSE MATTHEW K Director, Officer (Chairman, Pres. and CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,302 0 owned after | $34.59 exercise price | 2007-05-03 | |
| 2007-05-01 | ROSE MATTHEW K Director, Officer (Chairman, Pres. and CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +34,335 34,335 owned after | $87.36 exercise price | 2007-05-03 | |
| 2007-05-01 | ROSE MATTHEW K Director, Officer (Chairman, Pres. and CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −103,291 243,268 owned after | $29.04 exercise price | 2007-05-03 | |
| 2007-05-01 | ICE CARL R Officer (Executive VP and COO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +20,788 20,788 owned after | $88.69 exercise price | 2007-05-02 | |
| 2007-05-01 | ICE CARL R Officer (Executive VP and COO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −56,346 0 owned after | $32.72 exercise price | 2007-05-02 | |
| 2007-05-01 | ICE CARL R Officer (Executive VP and COO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,126 1,126 owned after | $88.69 exercise price | 2007-05-02 | |
| 2007-05-01 | ICE CARL R Officer (Executive VP and COO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,054 0 owned after | $32.72 exercise price | 2007-05-02 | |
| 2007-04-26 | MORELAND JEFFREY R Officer (EVP Public Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,300 24,300 owned after | $88.77 exercise price | 2007-04-27 | |
| 2007-04-26 | HUND THOMAS N Officer (Executive VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,200 35,200 owned after | $88.77 exercise price | 2007-04-27 | |
| 2007-04-26 | Bischler Paul W Officer (VP & Controller) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,400 6,400 owned after | $88.77 exercise price | 2007-04-27 | |
| 2007-04-26 | ICE CARL R Officer (Executive V. P. and COO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,100 41,100 owned after | $88.77 exercise price | 2007-04-27 | |
| 2007-04-26 | LANIGAN JOHN P JR Officer (EVP & Chief Marketing Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +39,000 39,000 owned after | $88.77 exercise price | 2007-04-27 | |
| 2007-04-26 | RICKERSHAUSER PETER J Officer (VP - Network Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,400 6,400 owned after | $88.77 exercise price | 2007-04-27 | |
| 2007-04-26 | Nober Roger Officer (EVP - Law and Secretary) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,500 23,500 owned after | $88.77 exercise price | 2007-04-27 | |
| 2007-04-26 | ROSE MATTHEW K Director, Officer (Chairman, Pres. and CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +158,200 158,200 owned after | $88.77 exercise price | 2007-04-27 | |
| 2007-04-26 | HUND THOMAS N Officer (Executive VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −49,550 0 owned after | $51.04 exercise price | 2007-04-27 | |
| 2007-02-20 | HUND THOMAS N Officer (Executive VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +17,812 17,812 owned after | $82.55 exercise price | 2007-02-22 | |
| 2007-02-20 | HUND THOMAS N Officer (Executive VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −53,371 0 owned after | $27.55 exercise price | 2007-02-22 | |
| 2007-02-20 | HUND THOMAS N Officer (Executive VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,211 1,211 owned after | $82.55 exercise price | 2007-02-22 | |
| 2007-02-20 | HUND THOMAS N Officer (Executive VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,629 0 owned after | $27.55 exercise price | 2007-02-22 | |
| 2007-02-20 | HUND THOMAS N Officer (Executive VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,210 1,210 owned after | $82.55 exercise price | 2007-02-22 | |
| 2007-02-20 | HUND THOMAS N Officer (Executive VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,573 0 owned after | $27.97 exercise price | 2007-02-22 | |
| 2007-02-20 | HUND THOMAS N Officer (Executive VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,900 0 owned after | $34.59 exercise price | 2007-02-22 | |
| 2007-02-20 | HUND THOMAS N Officer (Executive VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,958 0 owned after | $51.04 exercise price | 2007-02-22 | |
| 2007-02-20 | HUND THOMAS N Officer (Executive VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,147 0 owned after | $51.04 exercise price | 2007-02-22 | |
| 2007-02-20 | HUND THOMAS N Officer (Executive VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,959 0 owned after | $51.04 exercise price | 2007-02-22 | |
| 2007-02-20 | HUND THOMAS N Officer (Executive VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,345 0 owned after | $51.04 exercise price | 2007-02-22 | |
| 2007-02-13 | RICKERSHAUSER PETER J Officer (VP - Network Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,955 0 owned after | $32.84 exercise price | 2007-02-15 | |
| 2007-02-05 | BOECKMANN ALAN L Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,750 0 owned after | $25.95 exercise price | 2007-02-06 | |
| 2007-02-05 | BOECKMANN ALAN L Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $29.24 exercise price | 2007-02-06 | |
| 2007-02-05 | BOECKMANN ALAN L Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $26.80 exercise price | 2007-02-06 | |
| 2007-02-05 | BOECKMANN ALAN L Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $32.72 exercise price | 2007-02-06 | |
| 2007-02-05 | MARTINEZ VILMA S Director | 4 | Non-Employee Director Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $35.13 exercise price | 2007-02-06 | |
| 2007-02-02 | MORELAND JEFFREY R Officer (EVP Public Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −32,572 0 owned after | $57.24 exercise price | 2007-02-06 | |
| 2007-02-02 | MORELAND JEFFREY R Officer (EVP Public Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,642 0 owned after | $60.86 exercise price | 2007-02-06 | |
| 2007-02-02 | MORELAND JEFFREY R Officer (EVP Public Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,748 0 owned after | $60.86 exercise price | 2007-02-06 |