-----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, PD7al9+AYzLaNpf7boAvcNtFmqxiBs/8uUEFZiad2YSJIvf7wVj7fN+dxgTII+C2 qyqwP3EGDBvrQHvQvEFjvA== 0000769993-03-000522.txt : 20030919 0000769993-03-000522.hdr.sgml : 20030919 20030919170215 ACCESSION NUMBER: 0000769993-03-000522 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030917 FILED AS OF DATE: 20030919 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GENESIS HEALTH VENTURES INC /PA CENTRAL INDEX KEY: 0000874265 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-SKILLED NURSING CARE FACILITIES [8051] IRS NUMBER: 061132947 STATE OF INCORPORATION: PA FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 101 EAST STATE STREET CITY: KENNETT SQUARE STATE: PA ZIP: 19348 BUSINESS PHONE: 6104446350 MAIL ADDRESS: STREET 1: 101 EAST STATE STREET CITY: KENNETT SQUARE STATE: PA ZIP: 19348 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC/ CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1128 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 033-51670 FILM NUMBER: 03903061 BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS & CO CENTRAL INDEX KEY: 0000769993 STATE OF INCORPORATION: NY FISCAL YEAR END: 1127 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 033-51670 FILM NUMBER: 03903062 BUSINESS ADDRESS: STREET 1: 85 BROAD ST STREET 2: C/O GOLDMAN SACHS & CO CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 4 1 ghvi4030917gsg_ex.xml X0201 4 2003-09-17 0 0000874265 GENESIS HEALTH VENTURES INC /PA GHVI 0000886982 GOLDMAN SACHS GROUP INC/ 85 BROAD ST NEW YORK NY 10004 0 0 1 0 0000769993 GOLDMAN SACHS & CO 85 BROAD ST C/O GOLDMAN SACHS & CO NEW YORK NY 10004 0 0 1 0 Common Stock 2003-09-17 4 S 0 25000 23.68 D 4001099 I See Footnote Common Stock 2003-09-17 4 S 0 12500 23.65 D 3988599 I See Footnote Common Stock 2003-09-17 4 S 0 12300 23.60 D 3976299 I See Footnote Common Stock 2003-09-17 4 S 0 3200 23.643 D 3973099 I See Footnote Common Stock 2003-09-18 4 S 0 144568 23.45 D 3828531 I See Footnote Series A Convertible Preferred Stock 20.33 Common Stock 391781 79649 I See Footnote Stock Option (right to buy) 20.33 2011-10-02 Common Stock 25000 25000 I See Footnote Stock Option (right to buy) 16.80 2012-10-02 Common Stock 2500 2500 I See Footnote The securities reported herein as sold were sold and were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to Genesis Health Ventures, Inc. (the "Company"). Goldman Sachs beneficially owns directly and The Goldman Sachs Group, Inc. ("GS Group") may be deemed to beneficially own indirectly 3,828,531 shares of common stock, par value $.02 per share of the Company. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. Each share of Series A Convertible Preferred Stock of Genesis Health Ventures, Inc. ("Series A Preferred") is convertible, at any time at the option of the holder, into the number of shares of the Company's common stock which results from dividing (x) the liquidation preference of $100 per each such share plus all accrued and unpaid dividends by (y) the conversion price per share of $20.33. The Series A Preferred accrues dividends at the annual rate of 6% payable in additional shares of Series A Preferred. The Company has the right to convert all of the shares of Series A Preferred to shares of common stock at any time after October 2, 2002, when the average trading price of the Company's common stock over the immediately preceding 30 days is $30.00 or more per share. The Series A Preferred are subject to mandatory redemption on October 2, 2010. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 79,649 shares of Series A Preferred. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. Increase attributed to accrued pay-in-kind dividends on the Series A Preferred. These options were granted pursuant to the Genesis Health Ventures, Inc. 2001 Stock Option Plan to a managing director of Goldman Sachs, in his capacity as a director of the Issuer. That director has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group. The options are immediately exercisable. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. s/ Roger S. Begelman, Attorney-in-fact 2003-09-19 s/ Roger S. Begelman, Attorney-in-fact 2003-09-19 -----END PRIVACY-ENHANCED MESSAGE-----