U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 4
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(f) of the Investment Company Act of 1940
[_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).
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1. Name and Address of Reporting Person*
Small Albert H.
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(Last) (First) (Middle)
7116 Glenbrook Road
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(Street)
Bethesda MD 20814
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
Home Properties of New York, Inc. (HME)
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
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4. Statement for Month/Day/Year
October 2, 2002
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[x] Director [_] 10% Owner
[ ] Officer (give title below) [_] Other (specify below)
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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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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
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* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Print or Type Response) (Over)
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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10.
9. Owner-
Number ship
of Form
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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Option to Purchase $28.3125 * * * * * * * * * * 2,700 D
Common Stock
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Option to Purchase $31.375 * * * * * * * * * * 4,720 D
Common Stock
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Option to Purchase $28.34 * * * * * * * * * * 7,000 D
Common Stock
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Option to Purchase $36.03 * * * * * * * * * 7,000 D
Common Stock
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Units of Limited (1) 10/02/02 G * 100,0000 7/01/00 12/30/2093 Common 100,000 906,836 D
Partnership(1) Stock
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Units of Limited (1) 10/02/02 G * 100,000 7/01/00 12/30/2093 Common 100,000 100,000 I(4) By
Partnership(1) Stock Spouse
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Units of Limited * * * * * * * * * * 32,072 I(2) By
Partnership (1) Community
Realty
Company,
Inc.
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Phantom Stock 1-for-1 * * * * * * * * * 2,859(3) D
Units
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Explanation of Responses:
*Previously reported.
(1) Units of Limited Partnership interests in Home Properties of New York,
L.P., a New York limited partnership of which the Owner is the General Partner.
The Reporting Person has the right to redeem the Units. The Issuer may elect to
acquire the Units to be redeemed for shares of Common Stock at the rate of one
Unit for one share of common stock, or cash, at the option of the Issuer.
(2) Represents Reporting Person's proportionate interest in the holdings of
the entity.
(3) Represents phantom stock units accrued to the Reporting Person's account
under the Issuer's Director Deferred Compensation Plan. The Reporting Person's
account will be paid in the form of the Issuer's common stock on or about the
3rd, 5th or 10th anniversary of the deferral depending on the election of the
Reporting Person.
(4) The Reporting Person disclaims beneficial ownership of these securities
and this report shall not be deemed an admission that the Reporting Person
is the beneficial owner of such securities for purposes of Section 16 or
for any other purpose.
/s/ Albert H. Small by Ann M. McCormick attorney-in-fact October 3, 2002
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**Signature of Reporting Person Date
** 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 provided is insufficient, see Instruction 6 for procedure.
Alternatively, this form is permitted to be submitted to the Commission in
electronic format at the option of the Reporting Person pursuant to Rule 101(b)
(4) of Regulation S-T.
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