Disclaimer
The SEC Filings on this page are provided by EDGAR (www.sec.gov), the Electronic Data Gathering, Analysis, and Retrieval System of the U.S. Securities and Exchange Commission (SEC). EDGAR performs automated collection, validation, indexing, acceptance, and forwarding of submissions by companies and others who are required by law to file forms with the SEC. The information here is provided for your convenience only. Comcast has no control over the information provided by EDGAR and cannot guarantee the sequence, accuracy, or completeness of any information or data displayed through EDGAR. Accordingly, Comcast does not accept any responsibility for the content or use of any information obtained through EDGAR.
Consult Your Tax Advisor
The information in this document represents our understanding of federal income tax laws and regulations, but does not constitute personal tax advice based on your specific situation. It does not purport to be complete or to describe the consequences that may apply to you given your particular taxes. You should consult your own tax advisor regarding the applicability of any state, local and foreign tax laws.
| FORM 4 | 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 |
OMB APPROVAL | |
| o | Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | OMB
Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response.......................0.5 |
|
| (Print or Type Responses) | |||
| 1. Name and Address of Reporting Person* Smith Lawrence S. |
2. Issuer Name and Ticker or Trading Symbol Comcast Corporation (formerly named AT&T Comcast Corporation): CMCSA and CMCSK |
6. Relationship of Reporting Person(s) to Issuer (Check all applicable) o Director o 10% Owner x Officer o Other (specify below) (give title below) Executive Vice President and Co-Chief Financial Officer |
||||||||
| (Last) (First) (Middle) Comcast Corporation 1500 Market Street |
3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) |
4. Statement for Month/Day/Year November 18, 2002 |
||||||||
| (Street) Philadelphia PA 19102 |
5. If Amendment, Date of Original (Month/Day/Year) November 20, 2002 |
7. Individual or Joint/Group Filing (Check Applicable Line) x Form filed by One Reporting Person o Form filed by More than One Reporting Person |
||||||||
| (City) (State) (Zip) | Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||
| 1. Title of Security (Instr. 3) |
2. Trans- action Date (Month/ Day/ Year) |
2A. Deemed Execution Date, if any (Month/ Day/ Year) |
3. Trans- action Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
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 Owner- ship (Instr. 4) |
|||
| Code | V | Amount | (A) or (D) |
Price | ||||||
| Class A Common Stock | 11/18/02 | A | 1,294 | A | (1) | 1,294 | I | By IRA | ||
| Class A Special Common Stock | 11/18/02 | A | 112,446.8180 | A | (1) | 112,446.8180 | D | |||
| Class A Special Common Stock | 11/18/02 | A | 6,613 | A | (1) | 6,613 | I | By GRAT | ||
| 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). | |
| 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 control number. | ||
Page 1 of 3
FORM 4 (continued)
Table II -- Derivative Securities Acquired,
Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivative Security (Instr. 3) |
2. Conver- sion or Exercise Price of Deri- vative Security(1) |
3. Trans- action Date (Month/ Day/ Year) |
3A. Deemed Execution Date, if any (Month/ Day/ Year) |
4. Trans- action Code (Instr. 8) |
5. Number of Deriv- ative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Deriv- ative Security (Instr. 5) |
9. Number of Deriv- ative Securities Bene- ficially Owned Following Reported Trans- action(s) (Instr. 4) |
10. Owner- ship Form of Deriv- ative Securities: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Benefi- cial Owner- ship (Instr. 4) |
||||
| Code | V | (A)(1) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares(1) |
||||||||
| Option to Purchase Class A Special Common Stock |
$6.0417 | 11/18/02 | A | 16,551 | Immediately | 1/06/2003 | Class A Special Common Stock |
16,551 | 16,551 | D | |||||
| Option to Purchase Class A Special Common Stock |
$6.0417 | 11/18/02 | A | 1,449 | Immediately | 7/06/2003 | Class A Special Common Stock |
1,449 | 1,449 | D | |||||
| Option to Purchase Class A Special Common Stock |
$10.5834 | 11/18/02 | A | 11,100 | (2) | 1/10/2004 | Class A Special Common Stock |
11,100 | 11,100 | D | |||||
| Option to Purchase Class A Special Common Stock |
$10.5834 | 11/18/02 | A | 49,312 | (3) | 7/10/2004 | Class A Special Common Stock |
49,312 | 49,312 | D | |||||
| Option to Purchase Class A Special Common Stock |
$9.5625 | 11/18/02 | A | 37,214 | (4) | 7/10/2004 | Class A Special Common Stock |
37,214 | 37,214 | D | |||||
| Option to Purchase Class A Special Common Stock |
$9.5625 | 11/18/02 | A | 1,092 | Immediately | 7/06/2003 | Class A Special Common Stock |
1,092 | 1,092 | D | |||||
| Option to Purchase Class A Special Common Stock |
$7.5000 | 11/18/02 | A | 13,332 | 1/13/2004 | 1/13/2005 | Class A Special Common Stock |
13,332 | 13,332 | D | |||||
| Option to Purchase Class A Special Common Stock |
$7.5000 | 11/18/02 | A | 386,668 | (5) | 7/13/2005 | Class A Special Common Stock |
386,668 | 386,668 | D | |||||
| Option to Purchase Class A Special Common Stock |
$9.1875 | 11/18/02 | A | 42,000 | Immediately | 2/05/2007 | Class A Special Common Stock |
42,000 | 42,000 | D | |||||
| Option to Purchase Class A Special Common Stock |
$14.9375 | 11/18/02 | A | 42,000 | (6) | 1/09/2008 | Class A Special Common Stock |
42,000 | 42,000 | D | |||||
| Option to Purchase Class A Special Common Stock |
$16.9375 | 11/18/02 | A | 138,504 | Immediately | 6/16/2008 | Class A Special Common Stock |
138,504 | 138,504 | I | By GRAT | ||||
| Option to Purchase Class A Special Common Stock |
$16.9375 | 11/18/02 | A | 60,000 | 6/16/2003 | 6/16/2008 | Class A Special Common Stock |
60,000 | 60,000 | D | |||||
| Option to Purchase Class A Special Common Stock |
$16.9375 | 11/18/02 | A | 17,712 | (7) | 6/16/2008 | Class A Special Common Stock |
17,712 | 17,712 | D | |||||
| Option to Purchase Class A Special Common Stock |
$16.9375 | 11/18/02 | A | 120,000 | Immediately | 6/16/2008 | Class A Special Common Stock |
120,000 | 120,000 | I | By GRAT | ||||
| Option to Purchase Class A Special Common Stock |
$16.9375 | 11/18/02 | A | 162,288 | (8) | 6/16/2008 | Class A Special Common Stock |
162,288 | 162,288 | D | |||||
| Option to Purchase Class A Special Common Stock |
$32.8437 | 11/18/02 | A | 32,250 | Immediately | 5/03/2009 | Class A Special Common Stock |
32,250 | 32,250 | I | By GRAT | ||||
| Option to Purchase Class A Special Common Stock |
$32.8437 | 11/18/02 | A | 21,500 | (9) | 5/03/2009 | Class A Special Common Stock |
21,500 | 21,500 | D | |||||
| Option to Purchase Class A Special Common Stock |
$32.8437 | 11/18/02 | A | 3,044 | 5/03/2008 | 5/03/2009 | Class A Special Common Stock |
3,044 | 3,044 | D | |||||
| Option to Purchase Class A Special Common Stock |
$32.8437 | 11/18/02 | A | 13, 875 | Immediately | 5/03/2009 | Class A Special Common Stock |
13, 875 | 13, 875 | I | By GRAT | ||||
| Option to Purchase Class A Special Common Stock |
$32.8437 | 11/18/02 | A | 29,331 | (10) | 5/03/2009 | Class A Special Common Stock |
29,331 | 29,331 | D | |||||
| Option to Purchase Class A Special Common Stock |
$37.5625 | 11/18/02 | A | 2,662 | 6/02/2009 | 6/02/2010 | Class A Special Common Stock |
2,662 | 2,662 | D | |||||
| Option to Purchase Class A Special Common Stock |
$37.5625 | 11/18/02 | A | 160,000 | Immediately | 6/02/2010 | Class A Special Common Stock |
160,000 | 160,000 | I | By GRAT | ||||
| Option to Purchase Class A Special Common Stock |
$37.5625 | 11/18/02 | A | 637,338 | (11) | 6/02/2010 | Class A Special Common Stock |
637,338 | 637,338 | D | |||||
| Option to Purchase Class A Special Common Stock |
$36.9700 | 11/18/02 | A | 5,408 | (12) | 7/30/2011 | Class A Special Common Stock |
5,408 | 5,408 | D | |||||
| Option to Purchase Class A Special Common Stock |
$36.9700 | 11/18/02 | A | 244,592 | (13) | 7/30/2011 | Class A Special Common Stock |
244,592 | 244,592 | D | |||||
| Option to Purchase Class A Special Common Stock |
$35.4900 | 11/18/02 | A | 300,000 | (14) | 1/24/2012 | Class A Special Common Stock |
300,000 | 300,000 | D | |||||
| Option to Purchase Class A Special Common Stock |
$23.8400 | 11/18/02 | A | 115,806 | (15) | 10/28/2012 | Class A Special Common Stock |
115,806 | 115,806 | D | |||||
| Option to Purchase Class A Special Common Stock |
$23.8400 | 11/18/02 | A | 4,194 | 4/28/2012 | 10/28/2012 | Class A Special Common Stock |
4,194 | 4,194 | D | |||||
Explanation of Responses:
| (1) | Shares and options to purchase shares of Issuer common stock were acquired pursuant to the merger of each of Comcast Holdings Corporation (formerly named Comcast Corporation) and Comcast Cable Communications Holdings, Inc. (formerly named AT&T Broadband Corp.) with wholly-owned subsidiaries of the Issuer. |
| (2) | 1,652 shares are immediately exercisable and 9,448 shares are exercisable on 1/10/2003. |
| (3) | 28,760 shares are immediately exercisable; 5,552 shares are exercisable on 1/10/2003; and 15,000 shares are exercisable on 7/10/2003. |
| (4) | 21,704 shares are immediately exercisable; 4,190 shares are exercisable on 1/10/2003; and 11,320 shares are exercisable on 7/10/2003. |
| (5) | 160,000 shares are immediately exercisable; 80,000 shares are exercisable on 1/13/2003; 66,668 shares are exercisable on 1/13/2004; and 80,000 shares are exercisable on 7/13/2004. |
| (6) | 21,000 shares are immediately exercisable and 21,000 shares are exercisable on 1/09/2003. |
| (7) | 5,904 shares are exercisable on each of 6/16/2005, 6/16/2006 and 6/16/2007. |
| (8) | 30,000 shares are exercisable on each of 6/16/2003 and 6/16/2004; 72,288 shares are exercisable on 6/16/2007; and 30,000 shares are exercisable on 12/16/2007. |
| (9) | 10,750 shares are exercisable on each of 5/03/2003 and 5/03/2004. |
| (10) | 4,625 shares are exercisable on each of 5/03/2003, 5/03/2004, 5/03/2005, 5/03/2006 and 5/03/2007; 1,581 shares are exercisable on 5/03/2008; and 4,625 shares are exercisable on 11/03/2008. |
| (11) | 80,000 shares are exercisable on each of 6/02/2003, 6/02/2004, 6/02/2005, 6/02/2006, 6/02/2007 and 6/02/2008; 77,338 shares are exercisable on 6/02/2009; and 80,000 shares are exercisable on 12/02/2009. |
| (12) | 2,704 shares are exercisable on each of 7/30/2010 and 1/30/2011. |
| (13) | 76,000 shares are exercisable on 7/30/2003; 38,000 shares are exercisable on each of 7/30/2004, 7/30/2005 and 7/30/2006; 12,000 shares are exercisable on each of 7/30/2007, 7/30/2008 and 7/30/2009; and 9,296 shares are exercisable on each of 7/30/2010 and 7/30/2011. |
| (14) | 92,500 shares are exercisable on 1/24/2004; 46,250 shares are exercisable on each of 1/24/2005, 1/24/2006 and 1/24/2007; and 13,750 shares are exercisable on each of 1/24/2008, 1/24/2009, 1/24/2010, 1/24/2011 and 7/24/2011. |
| (15) | 38,500 shares are exercisable on 10/28/2004; 19,250 shares are exercisable on each of 10/28/2005, 10/28/2006 and 10/28/2007; 4,750 shares are exercisable on each of 10/28/2008, 10/28/2009, 10/28/2010 and 10/28/2011; and 556 shares are exercisable on 4/28/2012. |
Page 2 of 3
| /s/ Lawrence S. Smith | December 5, 2002 | |
| ** Signature of Reporting Person | Date | |
| Lawrence S. Smith | ||
| ** | 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. |
Page 3 of 3