- Statement of Changes in Beneficial Ownership (4)
17 Februar 2010 - 8:54PM
Edgar (US Regulatory)
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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February 28, 2011
Estimated average burden
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
ROBERTS ROY S
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2. Issuer Name
and
Ticker or Trading Symbol
BURLINGTON NORTHERN SANTA FE, LLC
[
BNI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
317 PINE RIDGE DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/12/2010
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(Street)
BLOOMFIELD HILLS, MI 48304-2140
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. 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
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, $.01 par value
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2/12/2010
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D
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5545
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D
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(1)
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14980
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D
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Common Stock, $.01 par value
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2/12/2010
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D
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14980
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D
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(2)
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0
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Phantom Stock Units
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(3)
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2/12/2010
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D
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1726.514
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(4)
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(4)
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Common Stock
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1726.514
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(5)
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0
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D
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Explanation of Responses:
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(
1)
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Disposed of pursuant to merger agreement between issuer and Berkshire Hathaway Inc. in exchange for either Berkshire Hathaway Inc. shares or cash, as elected.
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(
2)
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Restricted stock units payable in common stock. These units were converted into restricted stock units payable in Berkshire Hathaway Inc. Class B common stock in connection with the merger.
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(
3)
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Converts to stock on a 1-for-1 basis.
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(
4)
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The units are payable in cash after the reporting person ceases to be a director or otherwise pursuant to the terms of the Burlington Northern Santa Fe 2005 Deferred Compensation Plan for Non-Employee Directors and/or the Deferred Compensation Plan for Directors.
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(
5)
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This units were converted into 173,947.19 units deemed invested in the BNSF Prime Rate Fund in conection with the merger.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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ROBERTS ROY S
317 PINE RIDGE DRIVE
BLOOMFIELD HILLS, MI 48304-2140
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X
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Signatures
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Roy S. Roberts by Judy K. Carter, Attorney-in-Fact
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2/17/2010
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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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).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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