-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HMGyLchZEgG+qgmDfCOwIBL90wZm/IntbHrHIcreoGBapycM7F0myNsq6q5dlBI1 mY7bDLb7stSeimzofTnQTQ== 0000950134-02-001126.txt : 20020414 0000950134-02-001126.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950134-02-001126 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020213 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HALBERT DAVID D CENTRAL INDEX KEY: 0001034380 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 545 E JOHN CARPENTER FREEWAY STREET 2: SUITE1900 CITY: IRVING STATE: TX ZIP: 75062 BUSINESS PHONE: 9728306199 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVANCEPCS CENTRAL INDEX KEY: 0001012956 STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE AGENTS BROKERS & SERVICES [6411] IRS NUMBER: 752493381 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48759 FILM NUMBER: 02539796 BUSINESS ADDRESS: STREET 1: 5215 N O'CONNOR STREET 2: STE 1600 CITY: IRVING STATE: TX ZIP: 75039 BUSINESS PHONE: 4694206000 MAIL ADDRESS: STREET 1: 545 E JOHN CARPENTER FREEWAY SUITE 1900 CITY: IRVING STATE: TX ZIP: 75062 FORMER COMPANY: FORMER CONFORMED NAME: ADVANCE PARADIGM INC DATE OF NAME CHANGE: 19960428 SC 13G/A 1 d94202a1sc13ga.txt AMENDMENT NO. 1 TO SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 1) ADVANCEPCS - -------------------------------------------------------------------------------- (Name of Issuer) CLASS A COMMON STOCK, PAR VALUE $.01 PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 00790K109 - -------------------------------------------------------------------------------- (CUSIP Number) DECEMBER 31, 2001 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) - --------------------- ------------------- CUSIP No. 00790K109 13G/A Page 2 of 6 Pages - --------------------- ------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) David D. Halbert - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 1,990,334(1) --------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,110,368(2) OWNED BY --------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH 1,990,334(1) --------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,110,368(2) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,100,702(1),(2) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.9% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- - -------- (1) Includes 1,240,730 shares of Class A common stock, par value $.01 per share of AdvancePCS issuable pursuant to options that are exercisable within 60 days of December 31, 2001. Includes 127,584 shares of Class A common stock held for the benefit of Mr. D. Halbert's children, as to which Mr. D. Halbert disclaims beneficial ownership. (2) Includes 1,032,000 shares of Class A common stock held by Mr. D. Halbert and his wife. Includes 78,368 shares of Class A common stock held by Halbert & Associates, Inc. Mr. D. Halbert may be deemed to beneficially own all of the shares held by Halbert & Associates, Inc. - --------------------- ------------------- CUSIP No. 00790K109 13G/A Page 3 of 6 Pages - --------------------- ------------------- AMENDMENT NO. 1 TO SCHEDULE 13G This Amendment No. 1 to Schedule 13G relating to the Shares of AdvancePCS, a Delaware corporation, is being filed on behalf of David D. Halbert with the Securities and Exchange Commission as an amendment to the initial statement on Schedule 13G filed with the Commission on February 21, 1997. ITEM 1(a). NAME OF ISSUER: AdvancePCS ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 5215 North O'Connor, Suite 1600 Irving, Texas 75039 ITEM 2(a). NAME OF PERSON FILING: David D. Halbert ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR, IF NONE, RESIDENCE: 5215 North O'Connor, Suite 1600 Irving, Texas 75039 ITEM 2(c). CITIZENSHIP OR PLACE OF ORGANIZATION: Texas ITEM 2(d). TITLE OF CLASS OF SECURITIES: Class A common stock, par value $.01 per share ITEM 2(e). CUSIP NUMBER: 00790K109 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: Not applicable - --------------------- ------------------- CUSIP No. 00790K109 13G/A Page 4 of 6 Pages - --------------------- ------------------- ITEM 4. OWNERSHIP. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 3,100,702(3),(4) shares of AdvancePCS Class A common stock (b) Percent of class: 3.9% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 1,990,334(3) (ii) Shared power to vote or to direct the vote: 1,110,368(4) (iii) Sole power to dispose or to direct the disposition of: 1,990,334(3) (iv) Shared power to dispose or to direct the disposition of: 1,110,368(4) ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X] ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Various persons have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of the shares held by Mr. D. Halbert and his wife and the shares held by Halbert & Associates, Inc. - ---------- (3) Includes 1,240,730 shares of Class A common stock issuable pursuant to options which are exercisable within 60 days of December 31, 2001. Includes 127,584 shares of Class A common stock held for the benefit of Mr. D. Halbert's children, as to which Mr. D. Halbert disclaims beneficial ownership. (4) Includes 1,032,000 shares of Class A common stock held by Mr. D. Halbert and his wife. Includes 78,368 shares of Class A common stock held by Halbert & Associates, Inc. Mr. D. Halbert may be deemed to beneficially own all of the shares held by Halbert & Associates, Inc. - --------------------- ------------------- CUSIP No. 00790K109 13G/A Page 5 of 6 Pages - --------------------- ------------------- ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. Not applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable ITEM 10. CERTIFICATIONS. Not applicable - --------------------- ------------------- CUSIP No. 00790K109 13G/A Page 6 of 6 Pages - --------------------- ------------------- SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 12, 2002 /s/ DAVID D. HALBERT -------------------------------------- David D. Halbert -----END PRIVACY-ENHANCED MESSAGE-----