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FORM 4
[ ] 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 |
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1. Name and Address of Reporting Person*
Yabuki, Jeffery W.
(Last) (First) (Middle)
4400 Main Street
(Street)
Kansas City, MO 64111
(City) (State) (Zip)
USA
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2. Issuer Name and Ticker or Trading Symbol H&R Block, Inc. HRB
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6. Relationship of Reporting Person(s) to Issuer
(Check all applicable) Director
10% Owner
X Officer
Other
Executive Vice President and COO
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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3. I.R.S. Identification
Number of Reporting Person, if an entity (voluntary) |
4. Statement for Month/Day/Year May 01, 2003
5. If Amendment,
Date of Original (Month/Day/Year) |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1. Title of Security (Instr. 3) |
2. Transaction Date
(Month/Day/Year) |
2A. Deemed
Execution Date, if any (Month/Day/Year) |
3. Transaction Code and Voluntary Code (Instr. 8) Code | V
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4. Securities Acquired (A) or Disposed (D) Of (Instr. 3, 4, and 5) Amount | A/D | Price
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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) |
7. Nature of
Indirect Beneficial Ownership (Instr. 4) |
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Common Stock, without par value
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04/30/2003
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J (1) |
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10.7450 | A | $42.8500
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(2) |
D
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Common Stock, without par value
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05/01/2003
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J (1) |
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56.3660 | A | $37.7000
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68,349.6965 |
D
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Common Stock, without par value
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1,004.6940 (3) |
I
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By 401(k)
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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) |
| Yabuki, Jeffery W. - May 01, 2003 |
| Form 4 (continued) |
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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 Security
(Instr. 3) |
2. Conver-
sion or Exercise Price of Deri- vative Security |
3. Transaction
Date (Month/ Day/ Year) |
3A. Deemed
Execution Date, if any (Month/ Day/ Year) |
4. Transaction
Code and Voluntary (V) Code (Instr.8) Code | V
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5. Number of Derivative Securities Acquired (A) or Disposed (D) Of (Instr. 3,4 and 5) |
6. Date Exercisable(DE) and
Expiration Date(ED) (Month/Day/Year) (DE) | (ED)
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7. Title and Amount of
Underlying Securities (Instr. 3 and 4) |
8. Price
of Derivative Security (Instr.5) |
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) |
11. Nature of Indirect Beneficial Ownership (Instr.4) |
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Call Option to Purchase |
$23.1875 |
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09/07/2002 | 09/07/2009
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Common Stock, without par value - 80,000 |
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80,000 |
D
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Call Option to Purchase |
$16.1875 |
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06/30/2003 | 06/30/2010
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Common Stock, without par value - 70,000 |
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70,000 |
D
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Call Option to Purchase |
$32.2750 |
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06/30/2004 | 06/30/2011
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Common Stock, without par value - 90,000 |
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90,000 |
D
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Call Option to Purchase |
$46.1500 |
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06/30/2004 | 06/30/2012
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Common Stock, without par value - 90,000 |
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90,000 |
D
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** 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: Michael K. Post per Power of Attorney 05-02-2003 ** Signature of Reporting Person Date Jeffery W. Yabuki Page 2
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| Yabuki, Jeffery W. - May 01, 2003 |
| Form 4 (continued) |
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FOOTNOTE Descriptions for H&R Block, Inc. HRB Form 4 - May 2003 Jeffery W. Yabuki
4400 Main Street Kansas City, MO 64111 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) The reporting person is voluntarily updating his end of period holdings to reflect the acquisition of 324.8316 shares (including shares acquired through dividend reinvestment) under the H&R Block, Inc. 2000 Employee Stock Purchase Plan, which qualifies as an employee stock purchase plan under Section 423 of the Internal Revenue Code of 1986, as amended. (3) Units held under the H&R Block Retirement Savings Plan. Balance updated to reflect 30.364 units acquired under the Plan. |
| Page 3 |
LIMITED POWER OF ATTORNEY
(SECTION 16 FILINGS)
Know all by these presents, that the undersigned, Jeffery W. Yabuki, hereby constitutes and appoints each of James H. Ingraham, Bret G. Wilson, Brian H. Schmidt, and Michael K. Post, signing singly, the undersigned’s true and lawful attorney-in-fact to prepare, execute and acknowledge Forms 3, 4 and 5 (including any amendments thereto) with respect to the securities of H&R Block, Inc., a Missouri corporation (the “Company”) and deliver and file such forms with the United States Securities and Exchange Commission, any national securities exchanges and the Company, as considered necessary or advisable under Section 16(a) of the Securities Exchange Act of 1934 and the rules and regulations promulgated thereunder, as amended from time to time; it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.
The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934.
This Power of Attorney supersedes and replaces all previously executed Powers of Attorney with respect to the matters contained herein. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed this 5th day of March, 2003.
/s/ Jeffery W. Yabuki
Jeffery W. Yabuki
State of Missouri )
County of Jackson )
On the date set forth above, before me appeared Jeffery W. Yabuki, who is personally known to me as the person who executed the foregoing instrument, and such person duly acknowledged that such person executed and delivered the same for the purposes therein expressed.
/s/ Paula C. Panarisi
Notary Public
My Commission Expires: 12/25/2004