-----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, Rz0EaEnHt7TFHL8jqYaeoPrls8WxOkqxanhXJnuWBJ8OUCLqumZRjp0oK1KLYoGM lb68o/VX2Uvx/BrJli3/5g== 0000950172-99-000106.txt : 19990210 0000950172-99-000106.hdr.sgml : 19990210 ACCESSION NUMBER: 0000950172-99-000106 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990209 GROUP MEMBERS: NEW YORK LIFE INSURANCE CO GROUP MEMBERS: NYLIFE HEALTHCARE MANAGEMENT, INC. GROUP MEMBERS: NYLIFE INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EXPRESS SCRIPTS INC CENTRAL INDEX KEY: 0000885721 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-SPECIALTY OUTPATIENT FACILITIES, NEC [8093] IRS NUMBER: 431420563 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-42422 FILM NUMBER: 99525510 BUSINESS ADDRESS: STREET 1: 14000 RIVERPORT DR CITY: ST LOUIS STATE: MO ZIP: 63043 BUSINESS PHONE: 3147701666 MAIL ADDRESS: STREET 1: 14000 RIVERPORT DRIVE CITY: MARYLAND HEIGHTS STATE: MO ZIP: 63102-2750 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NEW YORK LIFE INSURANCE CO CENTRAL INDEX KEY: 0000071633 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 135582869 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 51 MADISON AVE ROOM 207 STREET 2: ATTN INVESTMENT DEPT VENTURE CAP GROUP CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 2125767643 MAIL ADDRESS: STREET 1: 51 MADISON AVE ROOM 207 STREET 2: ATTN INVESTMENT DEPT VENTURE CAP GROUP CITY: NEW YORK STATE: NY ZIP: 10010 SC 13G/A 1 SCHEDULE 13G AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1) EXPRESS SCRIPTS, INC. --------------------- (NAME OF ISSUER) CLASS A COMMON STOCK, PAR VALUE $.01 PER SHARE ---------------------------------------------- (TITLE OF CLASS AND SECURITIES) 302182 10 0 -------------- (CUSIP NUMBER) OCTOBER 12, 1998 ---------------- (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS FILED: ( ) RULE 13D-1(B) ( ) RULE 13D-1(C) (X) RULE 13D-1(D) Schedule 13G CUSIP No. 302182 10 0 ----------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS New York Life Insurance Company ----------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ( ) (b) ( ) ----------------------------------------------------------------------------- (3) SEC USE ONLY ----------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION New York ----------------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 15,020,000 SHARES ------------------------------------------------ BENEFICIALLY (6) SHARED VOTING POWER OWNED BY None EACH REPORTING ------------------------------------------------ PERSON (7) SOLE DISPOSITIVE POWER WITH 15,020,000 ------------------------------------------------ (8) SHARED DISPOSITIVE POWER None ----------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 15,020,000 ----------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES /_/ ----------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 44.7% ----------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON IC ----------------------------------------------------------------------------- Schedule 13G CUSIP No. 302182 10 0 ----------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS NYLIFE Inc. ----------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ( ) (b) ( ) ----------------------------------------------------------------------------- (3) SEC USE ONLY ----------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION New York ----------------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 15,020,000 SHARES ------------------------------------------------ BENEFICIALLY (6) SHARED VOTING POWER OWNED BY None EACH REPORTING ------------------------------------------------ PERSON (7) SOLE DISPOSITIVE POWER WITH 15,020,000 ------------------------------------------------ (8) SHARED DISPOSITIVE POWER None ----------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 15,020,000 ----------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES /_/ ----------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 44.7% ----------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON CO ----------------------------------------------------------------------------- Schedule 13G CUSIP No. 302182 10 0 ----------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS NYLIFE Healthcare Management, Inc. ----------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ( ) (b) ( ) ----------------------------------------------------------------------------- (3) SEC USE ONLY ----------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ----------------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 15,020,000 SHARES ------------------------------------------------ BENEFICIALLY (6) SHARED VOTING POWER OWNED BY None EACH REPORTING ------------------------------------------------ PERSON (7) SOLE DISPOSITIVE POWER WITH 15,020,000 ------------------------------------------------ (8) SHARED DISPOSITIVE POWER None ----------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 15,020,000 ----------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES /_/ ----------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 44.7% ----------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON CO ----------------------------------------------------------------------------- ITEM 1(A). NAME OF ISSUER: Express Scripts, Inc. ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 14000 Riverport Drive Maryland Heights, MO 63043 ITEM 2(A). NAME OF PERSON FILING: New York Life Insurance Company ("New York Life"); its wholly owned subsidiary, NYLIFE, Inc. ("NYLIFE"); and NYLIFE's wholly owned subsidiary, NYLIFE Healthcare Management, Inc. ("Healthcare"). ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 51 Madison Avenue New York, NY 10010 ITEM 2(C). CITIZENSHIP: New York Life is a New York mutual insurance company; NYLIFE is a New York corporation; and Healthcare is a Delaware corporation. ITEM 2(D). TITLE OF CLASS OF SECURITIES: Class A Common Stock, par value $.01 per share ITEM 2(E). CUSIP NUMBER: 302182 10 0 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B), 13D-2(B), CHECK WHETHER THE PERSON FILING IS A: (a) ( ) Broker or dealer registered under Section 15 of the Act, (b) ( ) Bank as defined in Section 3(a)(6) of the Act, (c) ( ) Insurance Company as defined under Section 3(a)(19) of the Act, (d) ( ) Investment Company registered under Section 8 of the Investment Company Act, (e) ( ) Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, (f) ( ) Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see 13d- 1(b)(1)(ii)(F), (g) ( ) Parent Holding Company, in accordance with Rule 13d- 1(b)(ii)(G); see Item 7, (h) ( ) Group, in accordance with Rule 13d-1(b)(1)(ii)(H). ITEM 4. OWNERSHIP. (*) If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount beneficially owned as of December 31, 1998: 15,020,000 (b) Percent of Class: 44.7% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 15,020,000 (ii) Shared power to vote or to direct the vote: Not applicable (iii) Sole power to dispose or to direct the disposition of: 15,020,000 (iv) Shared power to dispose or to direct disposition of: Not applicable ---------------------------- (*) Healthcare is the beneficial owner of 15,020,000 shares (the "Shares") of Class B Common Stock, par value $.01 per share, of the Issuer ("Class B Common Stock"). Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a share-for-share basis at any time at the option of the holder. As a result, upon conversion to shares of Class A Common Stock, the shares of Class B Common Stock owned by Healthcare would represent approximately 44.7% of the outstanding shares of Class A Common Stock. NYLIFE owns all of the out- standing capital stock of Healthcare and, as a result, may be deemed the beneficial owner of the Shares. New York Life owns all of the outstanding capital stock of NYLIFE and, as a result, may be deemed the beneficial owner of the Shares. This Amendment No. 1 is being filed to report the effect of a two-for-one stock split of the Issuer's Class A and Class B Common Stock for stockhold- ers of record on October 20, 1998, effective October 30, 1998. The split was effected in the form of a dividend by issuance of one additional share of Class A Common Stock for each share of Class A Common Stock outstanding and one additional share of Class B Common Stock for each share of Class B Common Stock outstanding. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. Not applicable. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. NEW YORK LIFE INSURANCE COMPANY By: /s/ Howard I. Atkins __________________________ Name: Howard I. Atkins Title: Executive Vice President Dated: February 8, 1999 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. NYLIFE INC. By: /s/ Melbourne Nunes __________________________ Name: Melbourne Nunes Title: Senior Vice President Dated: February 8, 1999 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. NYLIFE HEALTHCARE MANAGEMENT, INC. By: /s/ Howard I. Atkins __________________________ Name: Howard I. Atkins Title: Executive Vice President Dated: February 8, 1999 -----END PRIVACY-ENHANCED MESSAGE-----