Amendment NO. 4 to Schedule 13D

-----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, Qn25qcRtkoCEmJ/FjDPCIwSd8ictFHVfsWrUa78ateUhaWg3iA+Qs6jxjf0vFnDp dVLA8bb3GphPJd/AHIhh8g== 0000892251-02-000041.txt : 20020414 0000892251-02-000041.hdr.sgml : 20020414 ACCESSION NUMBER: 0000892251-02-000041 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KENDLE INTERNATIONAL INC CENTRAL INDEX KEY: 0001039151 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 311274091 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-52911 FILM NUMBER: 02534567 BUSINESS ADDRESS: STREET 1: 441 VINE ST STREET 2: STE 700 CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5137631414 MAIL ADDRESS: STREET 1: 700 CAREW TOWER CITY: CINCINNATI STATE: OH ZIP: 45202 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERGEN CHRISTOPHER C CENTRAL INDEX KEY: 0001055100 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 441 VINE ST STREET 2: STE 700 CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5137631414 MAIL ADDRESS: STREET 1: KENDLE INTERNATIONAL INC. STREET 2: 700 CAREW TOWER, 441 VINE STREET CITY: CINCINNATI STATE: OH ZIP: 45202 SC 13G/A 1 bergen4.htm AMENDMENT NO. 4 Amendment NO. 4 to Schedule 13D

SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 4)*

Kendle International Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

48880L 10 7

(CUSIP Number)

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)

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

(Continued on following page(s))

 CUSIP NO. 48880L 10 7             13G                         Page 2 of 4 Pages

- --------- ----------------------------------------------------------------------
 1s       NAME OF REPORTING PERSONS
          S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

          Christopher C. Bergen

- --------- ----------------------------------------------------------------------
 2        CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*            (a)
                                                                       (b) [X]


- --------- ----------------------------------------------------------------------
 3        SEC USE ONLY



- --------- ----------------------------------------------------------------------
 4        CITIZENSHIP OR PLACE OF ORGANIZATION

             United States of America

- --------- ----------------------------------------------------------------------
                              5      SOLE VOTING POWER

         NUMBER OF                     974,213
          SHARES
       BENEFICIALLY          ------- -------------------------------------------
         OWNED BY            6      SHARED VOTING POWER
           EACH
         REPORTING
        PERSON WITH                    0
                             ------- -------------------------------------------
                              7      SOLE DISPOSITIVE POWER

                                      974,213
                             ------- -------------------------------------------
                              8      SHARED DISPOSITIVE POWER

                                       0
- --------- ----------------------------------------------------------------------
 9        AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

             974,213
- --------- ----------------------------------------------------------------------
10        CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*



- --------- ----------------------------------------------------------------------
11        PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

             7.9%
- --------- ----------------------------------------------------------------------
12        TYPE OF REPORTING PERSON*

               IN

- --------- ----------------------------------------------------------------------

                      *SEE INSTRUCTIONS BEFORE FILLING OUT!

Page 3 of 4 Pages

Item

1(a)

Name of Issuer: Kendle International Inc.

Item

1(b)

Address of Issuer's Principal Executive Office:

1200 Carew Tower
441 Vine Street
Cincinnati, Ohio 45202

Item

2(a)

Name of Persons Filing: Christopher C. Bergen

Item

2(b)

Address of Principal Business Office:

1200 Carew Tower
441 Vine Street
Cincinnati, Ohio 45202

Item

2(c)

Citizenship: U.S.A.

Item

2(d)

Title of Class of Securities: Common Stock, No Par Value

Item

2(e)

CUSIP No.: 48880L 10 7

Item

If this Statement is Filed Pursuant to Rules 13d-1(b) or 13d-2(b), check whether the Person Filing is a: N/A

Item

Ownership:

(a)      See Item 9 of cover page.
(b)      See Item 11 of cover page.
(c)      See Items 5-8 of cover page.

Share numbers in Items 5, 7 and 9 include options for 1,860 shares that are exercisable within 60 days.

Beneficial ownership for Mr. Bergen does not include 612,500 shares held in trust by the Kendle Bryan Stock Trust and the Mark Brettschneider Stock Trust, under which the children of Candace Kendle are beneficiaries. Mr. Bergen has no voting or dispositive power with respect to these shares. Such powers are held by a trust committee composed of William J. Keating, Jr., Kendle Bryan and Mark Brettschneider.

Item

Ownership of 5% or less of class: N/A

Page 4 of 4 Pages

Item

Ownership of more than 5% on behalf of another person : N/A

Item

Identification and classification of the subsidiary which acquired the security being reported by the parent holding company: N/A

Item

Identification and classification of members of the group: N/A

Item

Notice of dissolution of group: N/A

Item

10.

Certification: N/A

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.

February 11, 2002

Date

            /s/ Christopher C. Bergen
Signature

             Christopher C. Bergen
Name/Title

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