-----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, KPY+Nh/ydEemiMFzVC7ZsdSRW/CXYtvse1RsxEPkeLoODvNlz8+eC2LR2AguPceH 9a2iJ+m83FuPkEZl8jK/fA== 0001189379-02-000001.txt : 20020916 0001189379-02-000001.hdr.sgml : 20020916 20020916134955 ACCESSION NUMBER: 0001189379-02-000001 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020916 FILED AS OF DATE: 20020916 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MENTOR CORP /MN/ CENTRAL INDEX KEY: 0000064892 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 410950791 STATE OF INCORPORATION: MN FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-07955 FILM NUMBER: 02764639 BUSINESS ADDRESS: STREET 1: 201 MENTOR DR CITY: SANTA BARBARA STATE: CA ZIP: 93111 BUSINESS PHONE: 8058796000 MAIL ADDRESS: STREET 1: 201 MENTOR DR CITY: SANTA BARBARA STATE: CA ZIP: 93111 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: ULLERY CATHY CENTRAL INDEX KEY: 0001189379 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 201 MENTOR DRIVE CITY: SANTA BARBARA STATE: CA ZIP: 93111 BUSINESS PHONE: 8058796325 MAIL ADDRESS: STREET 1: 201 MENTOR DRIVE CITY: SANTA BARBARA STATE: CA ZIP: 93111 3 1 form3ullery.htm FORM 3 FOR CATHY ULLERY


Form 3

 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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

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(Print or Type Responses)

 

1.  Name and Address of Reporting Person*
Cathy Ullery
Mentor Corporation
201 Mentor Drive
Santa Barbara, CA 93111

2.  Date of Event Requiring Statement
  (Month/Day/Year)

September 12, 2002

4.  Issuer Name and Tickler or Trading Symbol

Mentor Corporation "MNTR"

(Last)         (First)         (Middle)

Ullery, Cathy

(Street)

201 Mentor Drive

3.  I.R.S. Identification Number of Reporting Person, if an entity (voluntary)

 

5.  Relationship of Reporting Person(s) to Issuer
       (Check all applicable)

__ Director                              __ 10% Owner

_x_ Officer (give title below)     __ Other (specify below)

Vice President, Human Resources

6.  If Amendment, Date of Original
   (Month/Day/Year)

N/A

(City)       (State)         (Zip)

Santa Barbara, CA 93111

7.  Individual or Joint/Group Filing (Check Applicable Line)

_X_ Form filed by One Reporting Person

__ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned

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)

  Common Stock 50 D  

 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

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 of Derivative Securities: 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

Employee Stock Options, right to buy *7/28/99 7/28/08 Common Stock   1,000 20.50 D  
Employee Stock Options, right to buy *5/14/00 5/14/09 Common Stock 3,000 15.25 D  
Employee Stock Options, right to buy *2/16/01 2/16/10 Common Stock 2,000 26.50 D  
Employee Stock Options, right to buy *5/5/01 5/5/10 Common Stock 10,000 16.625 D  
Employee Stock Options, right to buy *5/23/02 5/23/11 Common Stock 20,000 26.61 D  
Employee Stock Options, right to buy *5/22/03 5/22/12 Common Stock 14,000 38.02 D  

*These options become exercisable at the rate of 25% of the options granted per year beginning on the first anniversary of grant.
Grant of option pursuant to 1991 Stock Option Plan As Amended and Amended 2000 Long-Term Incentive Plan.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

Explanation of Responses:  

 

         

         /S/CATHY ULLERY            
**Signature of Reporting Person

     September 13, 2002  
Date

*

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.

 

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