| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF 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 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/01/2013 |
3. Issuer Name and Ticker or Trading Symbol
OMNICARE INC [ OCR ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 07/08/2013 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| 3.25% Convertible Senior Debentures Due 2035(1) | (2) | 12/15/2035 | Common Stock | (3) | $78.74(3) | D | |
| Explanation of Responses: |
| 1. This amendment is filed to report convertible senior debentures held by the reporting person in a brokerage account that were inadvertently omitted from the reporting person's Form 3. |
| 2. Convertible (a) during a fiscal quarter if the closing price of the company's common stock exceeds 130% of the then current conversion price for at least 20 trading days in the 30 trading day period ending on the last trading day of the preceding quarter, (b) during a five trading day period following any five consecutive trading day period in which the average trading price of the debentures was less than 98% of the average closing sale price of the company's common stock multiplied by the then current conversion rate, (c) on or after December 15, 2033 and (d) upon certain other events as set forth in the related indenture. |
| 3. As of July 1, 2013, the reporting person held $25,000 aggregate principal amount of debentures, which were convertible, if and when applicable, into cash and shares of the company's common stock based on a conversion rate of 12.7008 shares of common stock per $1,000 aggregate principal amount of debentures (or $78.74 per share of common stock), subject to adjustment upon certain events as set forth in the related indenture. |
| Remarks: |
| Robert Burkhard, attorney-in-fact for James G. Carlson | 09/12/2014 | |
| ** Signature of Reporting Person | 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. | ||