-----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, FbYqZ9njv09LLXU5IOI3Gv3wr9/YGU0tU+BHWHQXLqIibJBZuyQPgqHNoIcgLoTZ 6aGUdB/wVYDkoqIDKaNP3Q== 0000950144-02-009762.txt : 20020918 0000950144-02-009762.hdr.sgml : 20020918 20020918164232 ACCESSION NUMBER: 0000950144-02-009762 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020916 FILED AS OF DATE: 20020918 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: GILLINGS DENNIS B PH D CENTRAL INDEX KEY: 0000939158 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 4709 CREEKSTONE DRIVE STREET 2: SUITE 300 CITY: DURHAM STATE: NC ZIP: 27703 BUSINESS PHONE: 9199412002 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: QUINTILES TRANSNATIONAL CORP CENTRAL INDEX KEY: 0000919623 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 561714315 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23520 FILM NUMBER: 02767083 BUSINESS ADDRESS: STREET 1: 4709 CREEKSTONE DR STREET 2: RIVERBIRCH BLDG STE 200 CITY: DURHAM STATE: NC ZIP: 27703-8411 BUSINESS PHONE: 9199982000 MAIL ADDRESS: STREET 1: 4709 CREEKSTONE DR STREET 2: STE 300 CITY: DURHAM STATE: NC ZIP: 27703-8411 4 1 g78372ae4.htm QUINTILES TRANSNATIONAL CORP./GILLINGS e4
 

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UNITED STATES
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(h) of the Investment Company Act of 1940

o Check this box if no longer
subject to Section 16.
Form 4 or Form 5
obligations may continue.
See Instruction 1(b).
1. Name and Address of Reporting
Person*		 2. Issuer Name and Ticker or Trading
Symbol		 3. I.R.S. Identification Number of Reporting
Person, if an entity (Voluntary)
  Gillings, Dennis B.
(Last) (First) (Middle)		   Quintiles Transnational Corp. QTRN
  
     
  4709 Creekstone Drive
Suite 200
(Street)		 4. Statement for Month/Day/Year 5. If Amendment, Date of Original (Month/Day/Year)
    September 16, 2002
  
     
    6. Relationship of Reporting Person(s)
to Issuer (Check All Applicable)		 7. Individual or Joint/Group Filing
(Check Applicable Line)
  Durham NC 27703
(City)        (State)        (Zip)		   x  Director o  10% Owner   x Form Filed by One Reporting Person
    x  Officer (give title below)   o Form Filed by More than One Reporting Person
    o  Other (specify below)  
      Chairman
      
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 4(b)(v).

Page 1 of 10

 

                                               
Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security
(Instr. 3)		 2. Transaction
Date
(Month/Day/Year)		 2A. Deemed Execution
Date, if any
(Month/Day/Year)		 3. Transaction
Code
(Instr. 8)		 4. Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5)		 5. Amount of Sec-
urities Beneficially
Owned Following
Reported Trans-
action(s)
(Instr. 3 and 4)		 6. Ownership
Form:
Direct (D) or
Indirect (I)
(Instr. 4)		 7. Nature of
Indirect
Beneficial
Ownership
(Instr. 4)
              Code V   Amount (A)
or
(D)		 Price          
  Common Stock                   5,749,384     D  
  Common Stock                   13,343     I   by Daughter
  Common Stock                   14,200     I   by GFEF
  Common Stock                   240,000     I   by Limited Partnership
  Common Stock                   161,518.895 (15)     I   by QTRN ESOP Trust
  Common Stock                   259,278     I   by Spouse (1)
                         
                         
                         
                         

Page 2 of 10

 
Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
  (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative
Security
(Instr. 3)		 2. Conversion or Exercise
Price of Derivative
Security		 3. Transaction
Date
(Month/Day/Year)		 3A.  Deemed Execution
Date, if any
(Month/Day/Year)		 4. Transaction
Code
(Instr. 8)		 5. Number of Derivative Securities
Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
                      Code V   (A) (D)
  Stock Option (right to buy)     $14.64          
  Stock Option (right to buy)     $20.50          
  Stock Option (right to buy)     $33.125          
  Stock Option (right to buy)     $33.125          
  Stock Option (right to buy)     $38.25          
  Stock Option (right to buy)     $38.25          
  Stock Option (right to buy)     $53.375          
  Stock Option (right to buy)     $53.375          
  Stock Option (right to buy)     $42.4375          
  Stock Option (right to buy)     $42.4375          

Page 3 of 10

 
Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned — Continued
(e.g., puts, calls, warrants, options, convertible securities)
6. Date Exercisable and
Expiration Date
(Month/Day/Year)		 7. Title and Amount
of Underlying Securities
(Instr. 3 and 4)		 8. Price of Derivative
Security
(Instr. 5)		 9. Number of Derivative Securities
Beneficially Owned Following
Reported Transaction(s)
(Instr. 4)		 10. Ownership Form of
Derivative Security:
Direct (D) or
Indirect (I)
(Instr. 4)		 11. Nature of
Indirect
Beneficial
Ownership
(Instr. 4)
  Date
Exercisable		 Expiration
Date		   Title Amount or
Number of
Shares		                        
  11/07/99 11/07/05   Common Stock 16,704           16,704     D  
  12/31/99 12/31/05   Common Stock 12,000           12,000     D  
  02/28/97 12/30/06   Common Stock 5,840           5,840     D  
  12/31/00 12/31/06   Common Stock 17,500           17,500     D  
  12/31/01 12/31/07   Common Stock 16,971           16,971     D  
  03/31/98 12/31/07   Common Stock 7,042           7,042     D  
  (2) 12/31/08   Common Stock 18,995           18,995     D  
  04/30/99 12/31/08   Common Stock 6,053           6,053     D  
  06/07/99 06/07/09   Common Stock 53,371           53,371     D  
  05/15/00 06/07/09   Common Stock 3,664           3,664     D  

Explanation of Responses:

(1) The reporting person disclaims beneficial ownership of all shares owned by spouse.
(2) Options vest 25% on 12/31/99, 50% on 12/31/00, 75% on 12/31/01, and 100% on 12/31/02.
(3) Options vest 25% on 6/7/00, 50% on 6/7/01, 75% on 6/7/02, and 100% on 6/7/03.
(4) Options vest 25% on 8/15/00, 50% on 8/15/01, 75% on 8/15/02, and 100% on 8/15/03.
(5) Options vest 25% on 11/15/00, 50% on 11/15/01, 75% on 11/15/02, and 100% on 11/15/03.
(6) Options vest 25% on 02/15/01, 50% on 02/15/02, 75% on 02/15/03, and 100% on 02/15/04.
(7) Options vest 25% on 12/31/01, 50% on 12/31/02, 75% on 12/31/03, and 100% on 12/31/04.

/s/ Tammy B. Stogner   September 18, 2002
**Signature of Reporting Person		  
Date
By: Tammy B. Stogner, Attorney in Fact
For: Dennis B. Gillings		    

**   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.

Page 4 of 10

 
Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
  (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative
Security
(Instr. 3)		 2. Conversion or Exercise
Price of Derivative
Security		 3. Transaction
Date
(Month/Day/Year)		 3A.  Deemed Execution
Date, if any
(Month/Day/Year)		 4. Transaction
Code
(Instr. 8)		 5. Number of Derivative Securities
Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
                      Code V   (A) (D)
  Stock Option (right to buy)     $42.4375          
  Stock Option (right to buy)     $35.875          
  Stock Option (right to buy)     $35.875          
  Stock Option (right to buy)     $22.00          
  Stock Option (right to buy)     $22.00          
  Stock Option (right to buy)     $29.9375          
  Stock Option (right to buy)     $14.2500          
  Stock Option (right to buy)     $13.4375          
  Stock Option (right to buy)     $13.4375          
  Stock Option (right to buy)     $29.9375          

Page 5 of 10

 
Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned — Continued
(e.g., puts, calls, warrants, options, convertible securities)
6. Date Exercisable and
Expiration Date
(Month/Day/Year)		 7. Title and Amount
of Underlying Securities
(Instr. 3 and 4)		 8. Price of Derivative
Security
(Instr. 5)		 9. Number of Derivative Securities
Beneficially Owned Following
Reported Transaction(s)
(Instr. 4)		 10. Ownership Form of
Derivative Security:
Direct (D) or
Indirect (I)
(Instr. 4)		 11. Nature of
Indirect
Beneficial
Ownership
(Instr. 4)
  Date
Exercisable		 Expiration
Date		   Title Amount or
Number of
Shares		                        
  (3) 06/07/09   Common Stock 23,826           23,826     D  
  05/15/00 08/15/09   Common Stock 5,940           5,940     D  
  (4) 08/15/09   Common Stock 33,630           33,630     D  
  05/15/00 11/15/09   Common Stock 3,188           3,188     D  
  (5) 11/15/09   Common Stock 45,697           45,697     D  
  (6) 02/15/10   Common Stock 32,787           32,787     D  
  04/15/02 04/15/10   Common Stock 539           539     D  
  (7) 05/04/10   Common Stock 293,496           293,496     D  
  05/04/00 05/04/10   Common Stock 164,358           164,358     D  
  05/15/00 02/15/10 (16)   Common Stock 2,350           2,350     D  

Explanation of Responses:

(8) Options vest 25% on 03/31/02, 50% on 03/31/03, 75% on 03/31/04, and 100% on 03/31/05.
(9) Options vest 25% on 06/30/02, 50% on 06/30/03, 75% on 06/30/04, and 100% on 06/30/05.
(10) Options vest 25% on 09/30/02, 50% on 09/30/03, 75% on 09/30/04, and 100% on 09/30/05.
(11) Options vest 25% on 12/31/02, 50% on 12/31/03, 75% on 12/31/04, and 100% on 12/31/05.
(12) Options vest 25% on 03/31/03, 50% on 03/31/04, 75% on 03/31/05, and 100% on 03/31/06.
(13) Options vest 25% on 06/15/03, 50% on 06/15/04, 75% on 06/15/05, and 100% on 06/15/06.
(14) Options vest 25% on 09/16/03, 50% on 09/16/04, 75% on 09/16/05, and 100% on 09/16/06.

/s/ Tammy B. Stogner   September 18, 2002
**Signature of Reporting Person		  
Date
By: Tammy B. Stogner, Attorney in Fact
For: Dennis B. Gillings		    

**   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.

Page 6 of 10

 
Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
  (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative
Security
(Instr. 3)		 2. Conversion or Exercise
Price of Derivative
Security		 3. Transaction
Date
(Month/Day/Year)		 3A.  Deemed Execution
Date, if any
(Month/Day/Year)		 4. Transaction
Code
(Instr. 8)		 5. Number of Derivative Securities
Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
                      Code V   (A) (D)
  Stock Option (right to buy)     $13.4375          
  Stock Option (right to buy)     $18.875          
  Stock Option (right to buy)     $18.875          
  Stock Option (right to buy)     $25.25          
  Stock Option (right to buy)     $25.25          
  Stock Option (right to buy)     $25.25          
  Stock Option (right to buy)     $14.60          
  Stock Option (right to buy)     $14.60          
  Stock Option (right to buy)     $16.05          
  Stock Option (right to buy)     $16.05          

Page 7 of 10

 
Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned — Continued
(e.g., puts, calls, warrants, options, convertible securities)
6. Date Exercisable and
Expiration Date
(Month/Day/Year)		 7. Title and Amount
of Underlying Securities
(Instr. 3 and 4)		 8. Price of Derivative
Security
(Instr. 5)		 9. Number of Derivative Securities
Beneficially Owned Following
Reported Transaction(s)
(Instr. 4)		 10. Ownership Form of
Derivative Security:
Direct (D) or
Indirect (I)
(Instr. 4)		 11. Nature of
Indirect
Beneficial
Ownership
(Instr. 4)
  Date
Exercisable		 Expiration
Date		   Title Amount or
Number of
Shares		                        
  05/15/01 05/04/10   Common Stock 59,873           59,873     D  
  03/31/01 03/31/11   Common Stock 31,020           31,020     D  
  (8) 03/31/11   Common Stock 55,393           55,393     D  
  06/30/01 06/30/11   Common Stock 22,732           22,732     D  
  07/31/01 06/30/11   Common Stock 8,281           8,281     D  
  (9) 06/30/11   Common Stock 40,593           40,593     D  
  09/30/01 09/30/11   Common Stock 40,597           40,597     D  
  (10) 09/30/11   Common Stock 72,494           72,494     D  
  (11) 12/31/11   Common Stock 64,880           64,880     D  
  12/31/01 12/31/11   Common Stock 36,333           36,333     D  

Explanation of Responses:

(15) Includes 15.174 shares allocated in March 2002 to the reporting person’s account under the Quintiles Transnational Corp. Employee Stock Ownership Plan.
(16) In prior Form 4 and Form 5 filings, the reporting person reported the incorrect “expiration date” for this option. The correct expiration date is 02/15/10.

/s/ Tammy B. Stogner   September 18, 2002
**Signature of Reporting Person		  
Date
By: Tammy B. Stogner, Attorney in Fact
For: Dennis B. Gillings		    

**   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.

Page 8 of 10

 
Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
  (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative
Security
(Instr. 3)		 2. Conversion or Exercise
Price of Derivative
Security		 3. Transaction
Date
(Month/Day/Year)		 3A.  Deemed Execution
Date, if any
(Month/Day/Year)		 4. Transaction
Code
(Instr. 8)		 5. Number of Derivative Securities
Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
                      Code V   (A) (D)
  Stock Option (right to buy)     $17.75     03/31/02       A V   32,930
  Stock Option (right to buy)     $17.75     03/31/02     A V   58,804
  Stock Option (right to buy)     $13.09     06/15/02     A V   44,909
  Stock Option (right to buy)     $13.09     06/15/02     A V   80,195
  Stock Option (right to buy)     $9.76     09/16/02     A   62,544
  Stock Option (right to buy)     $9.76     09/16/02     A   111,685
                   
                   
                   
                   

Page 9 of 10

 
Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned — Continued
(e.g., puts, calls, warrants, options, convertible securities)
6. Date Exercisable and
Expiration Date
(Month/Day/Year)		 7. Title and Amount
of Underlying Securities
(Instr. 3 and 4)		 8. Price of Derivative
Security
(Instr. 5)		 9. Number of Derivative Securities
Beneficially Owned Following
Reported Transaction(s)
(Instr. 4)		 10. Ownership Form of
Derivative Security:
Direct (D) or
Indirect (I)
(Instr. 4)		 11. Nature of
Indirect
Beneficial
Ownership
(Instr. 4)
  Date
Exercisable		 Expiration
Date		   Title Amount or
Number of
Shares		                        
  03/31/02 03/31/12   Common Stock 32,930           32,930     D  
  (12) 03/31/12   Common Stock 58,804           58,804     D  
  06/15/02 06/15/12   Common Stock 44,909           44,909     D  
  (13) 06/15/12   Common Stock 80,195           80,195     D  
  09/16/02 09/16/12   Common Stock 62,544           62,544     D  
  (14) 09/16/12   Common Stock 111,685           116,685     D  
                               
                               
                               
                               

Explanation of Responses:

 

/s/ Tammy B. Stogner   September 18, 2002
**Signature of Reporting Person		  
Date
By: Tammy B. Stogner, Attorney in Fact
For: Dennis B. Gillings		    

**   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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