-----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, WNb7TcZmQkbUF9UUvAqSG7t9qhtR7gbmBllF7cZdjdribYN7l0Siks/XpkILC6FI GYqL/A3x2VBfPSy6IMkFFw== 0001011240-97-000018.txt : 19970401 0001011240-97-000018.hdr.sgml : 19970401 ACCESSION NUMBER: 0001011240-97-000018 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970131 FILED AS OF DATE: 19970210 DATE AS OF CHANGE: 19970329 SROS: AMEX SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KV PHARMACEUTICAL CO /DE/ CENTRAL INDEX KEY: 0000057055 STANDARD INDUSTRIAL CLASSIFICATION: 2834 IRS NUMBER: 430618919 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09601 FILM NUMBER: 97523659 BUSINESS ADDRESS: STREET 1: 2503 S HANLEY RD CITY: ST LOUIS STATE: MO ZIP: 63144 BUSINESS PHONE: 3146456600 MAIL ADDRESS: STREET 1: 2503 S HANLEY RD CITY: ST LOUIS STATE: MO ZIP: 63144 COMPANY DATA: COMPANY CONFORMED NAME: JOHNSON ALAN G CENTRAL INDEX KEY: 0000941472 STANDARD INDUSTRIAL CLASSIFICATION: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 101 SOUTH HANLEY ROAD, SUITE 1600 CITY: ST LOUIS STATE: MO ZIP: 63105 MAIL ADDRESS: STREET 1: 101 SOUTH HANLEY #1600 CITY: ST LOUIS STATE: MO ZIP: 63105 4 1 FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 this box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person Johnson Alan G. - - -------------------------------------------------------------------------------- (Last) (First) (Middle) Gallop, Johnson & Neuman, L.C., 101 South Hanley Road, Suite 1600 - - -------------------------------------------------------------------------------- (Street) St. Louis Missouri 63105 - - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol KV Pharmaceutical Company (KVA and KVB) ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Statement for Month/Year January, 1997 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [ X ] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) -------------------------------------------------------------------- ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
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) - - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 1/11/97 M 5,000 A $3.5625 29,000 D - - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 117,500 I as Trustee - - ------------------------------------------------------------------------------------------------------------------------------------ Class B Common Stock 1/11/97 M 5,000 A $3.5625 29,000 D - - ------------------------------------------------------------------------------------------------------------------------------------ Class B Common Stock 117,500 I as Trustee - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ ===================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature of 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) - - ------------------------------------------------------------------------------------------------------------------------------------ Option to $7.125 1/11/97 M 5,000 (1) 8/23/00 Class A 5000 (1) 0 D Purchase Common; each Class B Common - - ------------------------------------------------------------------------------------------------------------------------------------ Option to $10.875 11/6/96 I V 10,000 (2) 11/6/06 Class A 10,000 (2) 10,000 D Purchase Common - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) Options were granted under the issuer's Amended and Restated 1981 Employee Incentive Stock Option Plan pursuant to Rule 16b-3 and became exercisable in cumulative installments equal to 10% of the subject shares annually. On January 11, 1997 the administrator of the Plan accelerated the vesting of all then unvested shares. (2) Options were granted under the issuer's 1991 Incentive Stock Option Plan and became exercisable in cumulative installments equal to 10% of the subject shares annually. /s/ Alan G. Johnson 2/10/97 - - --------------------------------------------- ----------------------- **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 procedures. -----END PRIVACY-ENHANCED MESSAGE-----