-----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, MtYQnpK8vWuOaXxaprM+GCLZv1aqrkrbDAGMvmWidtmRYE12Vj2qIfB6VJoTamVO Frslp6ovvkSq2fNKhxr/qQ== 0000950144-02-012878.txt : 20021218 0000950144-02-012878.hdr.sgml : 20021218 20021218152616 ACCESSION NUMBER: 0000950144-02-012878 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021216 FILED AS OF DATE: 20021218 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: BIERMAN JAMES L CENTRAL INDEX KEY: 0001189534 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: 02861766 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 g79838ce4.htm QUINTILES TRANSNATIONAL CORP/BIERMAN Quintiles Transnational Corp/Bierman
 

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, DC 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*
(Last, First, Middle)
2. Issuer Name and Ticker or
Trading Symbol
3. I.R.S. Identification Number of Reporting
Person, if an entity
(Voluntary)
  Bierman, James L.
  Quintiles Transnational Corp. (QTRN)
 
  4709 Creekstone Drive
Suite 200

4. Statement for (Month/Day/Year) 5. If Amendment, Date of Original (Month/Day/Year)
    December 16, 2002
 
  (Street) 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)
  o  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)  
        Executive VP and Chief Financial 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).
 

 


 


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 Securities
Beneficially Owned
Following Reported
Transactions(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             3,132 (20)     D  

  Common Stock               422.903     I   by QTRN ESOP Trust

                     

                     

                     

                     

                     

                   

                   

                   

Page 2


 


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)   $48.125          

  Stock Option (right to buy)   $53.375          

  Stock Option (right to buy)   $53.375          

  Stock Option (right to buy)   $50.875          

  Stock Option (right to buy)   $42.4375          

  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)   $29.9375          

  Stock Option (right to buy)   $14.25          

  Stock Option (right to buy)   $14.375          

  Stock Option (right to buy)   $13.4375          

  Stock Option (right to buy)   $13.4375          

  Stock Option (right to buy)   $16.0625          

  Stock Option (right to buy)   $18.9375          

  Stock Option (right to buy)   $18.875          

  Stock Option (right to buy)   $23.23          

  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)   $16.05          

  Stock Option (right to buy)   $17.75          

  Stock Option (right to buy)   $14.20          

  Stock Option (right to buy)   $13.09          

  Stock Option (right to buy)   $9.76          

  Stock Option (right to buy)   $12.11     12/16/02     A   35,620

               

Page 3


 


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
                       

  06/16/01 06/16/08   Common Stock 15,000         15,000     D  

  04/30/99 12/31/08   Common Stock 1,440         1,440     D  

  (1) 12/31/08   Common Stock 7,123         7,123     D  

  (2) 02/04/09   Common Stock 5,000         5,000     D  

  05/15/00 06/07/09   Common Stock 820         820     D  

  (3) 06/07/09   Common Stock 2,859         2,859     D  

  05/15/00 08/15/09   Common Stock 1,065         1,065     D  

  (4) 08/15/09   Common Stock 4,036         4,036     D  

  05/15/00 11/15/09   Common Stock 753         753     D  

  (5) 11/15/09   Common Stock 5,484         5,484     D  

  05/15/00 02/15/10   Common Stock 598         598     D  

  (6) 02/15/10   Common Stock 3,934         3,934     D  

  04/15/02 04/15/10   Common Stock 539         539     D  

  (7) 04/24/10   Common Stock 15,000         15,000     D  

  (8) 05/04/10   Common Stock 117,398         117,398     D  

  05/15/01 05/04/10   Common Stock 17,757         17,757     D  

  (9) 10/13/10   Common Stock 272,500         272,500     D  

  11/05/01 11/05/09   Common Stock 19,100         19,100     D  

  (10) 03/31/11   Common Stock 22,157         22,157     D  

  (11) 06/27/11   Common Stock 10,000         10,000     D  

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

  (12) 06/30/11   Common Stock 16,237         16,237     D  

  (13) 09/30/11   Common Stock 28,998         28,998     D  

  (14) 12/31/11   Common Stock 25,952         25,952     D  

  (15) 03/13/12   Common Stock 23,522         23,522     D  

  (16) 05/06/12   Common Stock 8,493         8,493     D  

  (17) 06/15/12   Common Stock 32,078         32,078     D  

  (18) 09/16/12   Common Stock 44,674         44,674     D  

  (19) 12/16/12   Common Stock 35,620         35,620     D  
                 

Explanation of Responses:

(1) Options vest 25% on 12/31/99, 50% on 12/31/00, 75% on 12/31/01, and 100% on 12/31/02.

(2) Options vest 25% on 02/04/00, 50% on 02/04/01, 75% on 02/04/02, and 100% on 02/04/03.

(3) Options vest 25% on 06/07/00, 50% on 06/07/01, 75% on 06/07/02, and 100% on 06/07/03.

(4) Options vest 25% on 08/15/00, 50% on 08/15/01, 75% on 08/15/02, and 100% on 08/15/03.

(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 04/24/00, 50% on 04/24/01, 75% on 04/24/02, and 100% on 04/24/03.

(8) Options vest 25% on 12/31/01, 50% on 12/31/02, 75% on 12/31/03, and 100% on 12/31/04.

(9) Options vest 25% on 10/13/00, 50% on 10/13/01, 75% on 10/13/02, and 100% on 10/13/03.

(10) Options vest 25% on 03/31/02, 50% on 03/31/03, 75% on 03/31/04, and 100% on 03/31/05.

(11) Options vest 25% on 06/27/02, 50% on 06/27/03, 75% on 06/27/04, and 100% on 06/27/05.

(12) Options vest 25% on 06/30/02, 50% on 06/30/03, 75% on 06/30/04, and 100% on 06/30/05.

(13) Options vest 25% on 09/30/02, 50% on 09/30/03, 75% on 09/30/04, and 100% on 09/30/05.

(14) Options vest 25% on 12/31/02, 50% on 12/31/03, 75% on 12/31/04, and 100% on 12/31/05.

(15) Options vest 25% on 03/31/03, 50% on 03/31/04, 75% on 03/31/05, and 100% on 03/31/06.

(16) Options vest 25% on 05/06/03, 50% on 05/06/04, 75% on 05/06/05, and 100% on 05/06/06.

(17) Options vest 25% on 06/15/03, 50% on 06/15/04, 75% on 06/15/05, and 100% on 06/15/06.

(18) Options vest 25% on 09/16/03, 50% on 09/16/04, 75% on 09/16/05, and 100% on 09/16/06.

(19) Options vest 25% on 12/16/03, 50% on 12/16/04, 75% on 12/16/05, and 100% on 12/16/06.

(20) Includes 1,721 shares acquired under the Quintiles Transnational Corp. Employee Stock Purchase Plan for the quarter ended September 30, 2002.

/s/ Tammy B. Stogner
By: Tammy B. Stogner, Attorney in Fact
For: James L. Bierman
  December 18, 2002

**Signature of Reporting Person
 
Date


**   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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