-----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, U3Jw7vEejzVGoVAMNuEphg7riVnL0v2KJMNpBqlteQfwkBpTrU22d8PVIocnJW8P 9rRvJD+/C/YRHVoxGyQJOw== 0000950144-02-009763.txt : 20020918 0000950144-02-009763.hdr.sgml : 20020918 20020918164336 ACCESSION NUMBER: 0000950144-02-009763 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: KIRBY PAMELA J CENTRAL INDEX KEY: 0001189542 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 MAIL ADDRESS: STREET 1: 4709 CREEKSTONE DRIVE STREET 2: STE 200 CITY: DURHAM STATE: NC ZIP: 27703 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: 02767087 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 g78372be4.htm QUINTILES TRANSNATIONAL CORP./KIRBY 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)
  Kirby, Pamela J.
(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)  
      Chief Executive Officer
     

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 6


 

                                               

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                   54.398 (9)     D   by QTRN ESOP Trust

  Common Stock                   26.279 (10)     I   by Spouse in QTRN ESOP Trust (1)

                                 

                                 

                               

                         

                         

                         

                         

                         

Page 2 of 6


 


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)     $14.9375          

  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          

  Stock Option (right to buy)     $17.75     03/31/02     A V   41,163

  Stock Option (right to buy)     $17.75     03/31/02     A V   1,552

  Stock Option (right to buy)     $13.09     06/15/02     A V   56,137

Page 3 of 6


 


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
                       

  (2) 03/12/11   Common Stock 1,000,000           1,000,000     D  

  07/31/01 06/30/11   Common Stock 3,126           3,126     D  

  (3) 06/30/11   Common Stock 28,415           28,415     D  

  (4) 09/30/11   Common Stock 50,746           50,746     D  

  (4) 09/30/11   Common Stock 1,914           1,914     I   by Spouse (1)

  (5) 12/31/11   Common Stock 45,416           45,416     D  

  (5) 12/31/11   Common Stock 1,713           1,713     I   by Spouse (1)

  (6) 03/31/12   Common Stock 41,163           41,163     D  

  (6) 03/31/12   Common Stock 1,552           1,552     I   by Spouse (1)

  (7) 06/15/12   Common Stock 56,137           56,137     D  

Explanation of Responses:

(1) The reporting person disclaims beneficial ownership of all shares owned by spouse.
(2) Options vest 25% on 03/12/02, 50% on 03/12/03, 75% on 03/12/04, and 100% on 03/12/05.
(3) Options vest 25% on 06/30/02, 50% on 06/30/03, 75% on 06/30/04, and 100% on 06/30/05.
(4) Options vest 25% on 09/30/02, 50% on 09/30/03, 75% on 09/30/04, and 100% on 09/30/05.
(5) Options vest 25% on 12/31/02, 50% on 12/31/03, 75% on 12/31/04, and 100% on 12/31/05.
(6) Options vest 25% on 03/31/03, 50% on 03/31/04, 75% on 03/31/05, and 100% on 03/31/06.
(7) Options vest 25% on 06/15/03, 50% on 06/15/04, 75% on 06/15/05, and 100% on 06/15/06.

/s/ Tammy B. Stogner   September 18, 2002

**Signature of Reporting Person
 
Date
By: Tammy B. Stogner, Attorney in Fact
For: Pamela J. Kirby
   


**   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 6


 


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)     $13.09     06/15/02     A V   4,812

  Stock Option (right to buy)     $9.76     09/16/02     A   78,179

  Stock Option (right to buy)     $9.76     09/16/02     A   6,701

               

               

               

               

               

               

               

Page 5 of 6


 


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
                       

  (7) 06/15/12   Common Stock 4,812           4,812     I   by Spouse (1)

  (8) 09/16/12   Common Stock 78,179           78,179     D  

  (8) 09/16/12   Common Stock 6,701           6,701     I   by Spouse (1)

                   

                   

                   

                   

                   

                   

                   

Explanation of Responses:

(8) Options vest 25% on 09/16/03, 50% on 09/16/04, 75% on 09/16/05, and 100% on 09/16/06.
(9) Includes 54.398 shares allocated in March 2002 to the reporting person’s account under the Quintiles Transnational Corp. Employee Stock Ownership Plan.
(10) Includes 26.279 shares allocated in March 2002 to the reporting person’s spouse’s account under the Quintiles Transnational Corp. Employee Stock Ownership Plan.

/s/ Tammy B. Stogner   September 18, 2002

**Signature of Reporting Person
 
Date
By: Tammy B. Stogner, Attorney in Fact
For: Pamela J. Kirby
   


**   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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