-----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, DLkUE3mbBU75jD0+0ntcWxLArJrwtoNtEbB+C5KtxfJ0MfDToaDDuKGS/2kJJNrp VB49QF0/wmRSx6gNrB+BhQ== 0000950117-02-000344.txt : 20020414 0000950117-02-000344.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950117-02-000344 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020215 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PHARMACIA CORP /DE/ CENTRAL INDEX KEY: 0000067686 STANDARD INDUSTRIAL CLASSIFICATION: CHEMICALS & ALLIED PRODUCTS [2800] IRS NUMBER: 430420020 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-02516 FILM NUMBER: 02550363 BUSINESS ADDRESS: STREET 1: 100 ROUTE 206 NORTH CITY: PEAPACK STATE: NJ ZIP: 07977 BUSINESS PHONE: 9089018000 MAIL ADDRESS: STREET 1: 100 ROUTE 206 NORTH CITY: PEAPACK STATE: NJ ZIP: 07977 FORMER COMPANY: FORMER CONFORMED NAME: MONSANTO CO DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: MONSANTO CHEMICAL CO DATE OF NAME CHANGE: 19711003 COMPANY DATA: COMPANY CONFORMED NAME: CARLUCCI FRANK C CENTRAL INDEX KEY: 0001026039 DIRECTOR STATE OF INCORPORATION: KY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: THE CARLYLE GROUP STREET 2: 1001 PENNSYLVANIA AVENUE N W CITY: WASHINGTON STATE: DC ZIP: 20004-2505 BUSINESS PHONE: 3146944492 MAIL ADDRESS: STREET 1: CARLYLE GROUP STREET 2: 1001 PENNSYLVANIA AVENUE N W CITY: WASHINGTON STATE: DC ZIP: 20004-2502 5 1 a32066.txt FRANK C. CARLUCCI FORM 5 ---------------------------- OMB APPROVAL FORM 5 ---------------------------- OMB Number: 3235-0362 [ ] Check box if no longer subject to Expires: December 31, 2001 Section 16. Form 4 or Form 5 obligations Estimated average burden may continue. See Instruction 1(b). hours per response.....1.0 [ ] Form 3 Holdings Reported [ ] Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL 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
- --------------------------------------------------------------------- ----------------------------------------------------- 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol Carlucci Frank C. Pharmacia Corporation PHA - --------------------------------------------------------------------- ----------------------------------------------------- (Last) (First) (Middle) 3. I.R.S. Identification 4. Statement for Number of Reporting Month/Year Person, if an entity 100 Route 206 North (Voluntary) December 2001 - --------------------------------------------------------------------- ---------------------- (Street) 5. If Amendment, Date of Original Peapack NJ 07977 (Month/Year) - --------------------------------------------------------------------------------------------------------------------------- (City) (State) (Zip)
- ------------------------------------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director 10% Owner -------- ------- Officer (give Other (specify -------- title below) ------- below) - ------------------------------------------------------------- 7. Individual or Joint/Group Reporting (check applicable Line) X Form filed by One Reporting Person --- Form filed by More than One Reporting Person --- - ------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------ Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) (Instr. 3) action action or Disposed of (D) Date Code (Instr. 3, 4 and 5) (Instr. 8) (Month/ ---------------------------------------------------------- Day/ Amount (A) or Price Year) (D) - ------------------------------------------------------------------------------------------------------------------------ Common(1) 04/17/2001 A 2,200 A $51.09 - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------------------------------- 5. Amount of 6. Ownership 7. Nature of Securities Form: Direct (D) Indirect Beneficially or Indirect (I) Beneficial Owned at (Instr. 4) Ownership end of Issuer's (Instr. 4) Fiscal Year (Instr. 3 and 4) - ---------------------------------------------------------------------------------- 3,363 D - ---------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------
*If the form is filed by more than one reporting person, see Instruction 4(b)(v). (Over) SEC 2270 (3-99) Page 1 of 3 FORM 5 (continued) Carlucci, Frank C. - December 2001 Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 4. Transac- 5. Number of 6. Date Exercisable Security (Instr. 3) sion or action tion Code Derivative and Expiration Date Exercise Date (Instr. 8) Securities (Month/Day/Year) Price of Acquired (A) Derivative (Month/ or Disposed of Security Day/ (D) Year) (Instr. 3, 4, and 5) ------------------------------------------- (A) (D) Date Expi- Exercis- ration able Date - ------------------------------------------------------------------------------------------------------------------ Right to Receive (2) $0.00 (3) 02/21/2001 A (2) 168 (4) - ------------------------------------------------------------------------------------------------------------------ Right to Receive (2) $0.00 (3) 04/16/2001 A (2) 163 (4) - ------------------------------------------------------------------------------------------------------------------ Right to Receive (2) $0.00 (3) 04/17/2001 A (2) 1,369 (4) - ------------------------------------------------------------------------------------------------------------------ Option (right to buy) $52.81 (5) 06/22/2010 - ------------------------------------------------------------------------------------------------------------------ Stock Equivalent Units 1-for-1 - ------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------ 7. Title and Amount of 8. Price of 9. Number of 10. Ownership 11. Nature Underlying Securities Derivative Derivative of Derivative of Indirect (Instr. 3 and 4) Security Securities Security: Beneficial (Instr. 5) Beneficially Direct (D) Ownership Owned at or Indirect (Instr. 4) End of (I) Year (Instr. 4) (Instr. 4) - ------------------------ Title Amount or Number of Shares - ----------------------------------------------------------------------------------------------------- Common 168 D - ----------------------------------------------------------------------------------------------------- Common 163 D - ----------------------------------------------------------------------------------------------------- Common 1,369 32,499 D - ----------------------------------------------------------------------------------------------------- Common 6,600 6,600 D - ----------------------------------------------------------------------------------------------------- Common 1,325 1,325 D - ----------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------- - -----------------------------------------------------------------------------------------------------
Explanation of Responses: See attached statement **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 procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. Don W. Schmitz 2/14/2002 -------------------------------- ----------------- ** Signature of Reporting Person Date Don W. Schmitz, attorney-in-fact for Frank C. Carlucci Page 2 SEC 2270 (3-99) Page 2 of 3 Pharmacia Corporation PHA Form 5 - December 2001 Carlucci, Frank C. 100 Route 206 North Peapack, NJ 07977 - -------------------------------------------------------------------------------- Explanation of responses: (1) Deferred shares. (2) Share equivalents acquired through the Non-Employee Directors Deferred Compensation Plan, including share equivalents accrued through the reinvestment of dividends. (3) 1 for 1 (4) To be paid out at the termination of service as a member of the Board of Directors. (5) Option is currently exercisable. Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----