SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 08/20/2019 | 3. Issuer Name and Ticker or Trading Symbol BANK OF AMERICA CORP /DE/ [ BAC ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 07/25/2019 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Series T 6% Non-Cumulative Perpetual Preferred Stock | 354 | I | See footnotes(1)(2)(3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. 354 of the total reported securities are owned directly by the following subsidiaries of Berkshire Hathaway Inc. ("Berkshire"): Berkshire Hathaway Assurance Corporation (11), Berkshire Hathaway Homestate Insurance Company (6), BH Finance LLC (72), California Insurance Company (1), Central States Indemnity Company of Omaha (2), Cypress Insurance Company (1), Finial Reinsurance Company (7), GEICO Indemnity Company (42), General Reinsurance Corporation (7), General Star Indemnity Company (2), General Star National Insurance Company (1), Government Employees Insurance Company (119), Mount Vernon Fire Insurance Company (3), National Indemnity Company (59), National Indemnity Company of Mid-America (1), National Indemnity Company of the South (1), National Liability and Fire Insurance Company (14), NRG America Holding Company (2), Oak River Insurance Company (2), United States Liability Insurance Company (1). |
2. Continued from Footnote 1: In order to avoid double counting, shares of Series T 6% Non-Cumulative Perpetual Preferred Stock reported as being owned by each of these subsidiaries only reflect shares that are owned directly by such subsidiary, and do not reflect any shares that such subsidiary may be deemed to beneficially own by virtue of ownership or control of any other subsidiary otherwise reported in this Form 3. |
3. As Berkshire is in the chain of ownership of each subsidiary listed, it may be deemed presently to both beneficially own and have a pecuniary interest in all shares presently directly owned by such subsidiaries. Warren E. Buffett, as the controlling stockholder of Berkshire, may be deemed presently to beneficially own, but only to the extent he has a pecuniary interest in, the shares presently owned by each of these subsidiaries. Mr. Buffett disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
Remarks: |
This form is being filed as an amendment to the Form 3 filed by the reporting persons on July 25, 2019 to report ownership of 354 shares of Series T 6% Non-Cumulative Perpetual Preferred Stock (with an aggregate liquidation preference of $35.4 million), which shares were inadvertently omitted from the initial filing. Pursuant to Instruction 8 to Form 3, the reporting persons have omitted from this amendment the ownership information with respect to the shares of Common Stock of the issuer reported in the initial filing, which remains unchanged. |
/s/ Warren E. Buffett, on behalf of himself and each other reporting person hereunder | 08/21/2019 | |
** 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 5 (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. | ||
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 Number. |