Bank of America : An amendment to a 3 filing. Non-EDGAR filing

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

OMB APPROVAL

Washington, D.C. 20549

OMB Number:

3235-0104

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF

Estimated average burden

hours per response:

0.5

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

1. Name and Address of Reporting Person*

2. Date of Event

3. Issuer Name and Ticker or Trading Symbol

BERKSHIRE HATHAWAY INC

(Month/Day/Year)

BANK OF AMERICA CORP /DE/[ BAC ]

Requiring Statement

08/20/2019

4. Relationship of Reporting Person(s) to Issuer

5. If Amendment, Date of Original Filed

(Last)

(First)

(Middle)

(Check all applicable)

(Month/Day/Year)

Director

X

10% Owner

07/25/2019

3555 FARNAM STREET

Officer (give title

Other (specify

6. Individual or Joint/Group Filing (Check

below)

below)

Applicable Line)

(Street)

Form filed by One Reporting

OMAHA

NE

68131

Person

X

Form filed by More than One

(City)

(State)

(Zip)

Reporting Person

Table I - Non-Derivative Securities Beneficially Owned

1. Title of Security (Instr. 4)

2. Amount of Securities

3. Ownership

4. Nature of Indirect Beneficial Ownership

Beneficially Owned (Instr. 4)

Form: Direct (D)

(Instr. 5)

or Indirect (I)

(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)

1. Title of Derivative Security (Instr. 4)

2. Date Exercisable and

3. Title and Amount of Securities

4.

5.

6. Nature of Indirect

Expiration Date

Underlying Derivative Security (Instr.

Conversion

Ownership

Beneficial Ownership

(Month/Day/Year)

4)

or

Form:

(Instr. 5)

Exercise

Direct (D)

Amount

Price of

or Indirect

or

Derivative

(I) (Instr. 5)

Date

Expiration

Number

Security

of

Exercisable

Date

Title

Shares

1. Name and Address of Reporting Person*

BERKSHIRE HATHAWAY INC

(Last)

(First)

(Middle)

3555 FARNAM STREET

(Street)

OMAHA

NE

68131

(City)

(State)

(Zip)

1. Name and Address of Reporting Person*

BUFFETT WARREN E

(Last)

(First)

(Middle)

3555 FARNAM STREET

(Street)

OMAHA

NE

68131

(City)

(State)

(Zip)

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

** Signature of Reporting Person

08/21/2019

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.