-----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, AHA8+jz5TxzIouFqViRkvbv5hMIEGu8wEgkClKrx4e3mmOMvrFpqwxO7b7sb3fxS yFr1s1P1ndktPlwdwbpUDw== 0000950103-02-000212.txt : 20020414 0000950103-02-000212.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950103-02-000212 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 23 FILED AS OF DATE: 20020228 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LABORATORY CORP OF AMERICA HOLDINGS CENTRAL INDEX KEY: 0000920148 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 133757370 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43489 FILM NUMBER: 02561525 BUSINESS ADDRESS: STREET 1: 358 S MAIN ST CITY: BURLINGTON STATE: NC ZIP: 27215 BUSINESS PHONE: 3362291127 MAIL ADDRESS: STREET 1: 358 S MAIN ST CITY: BURLINGTON STATE: NC ZIP: 27215 FORMER COMPANY: FORMER CONFORMED NAME: NATIONAL HEALTH LABORATORIES HOLDINGS INC DATE OF NAME CHANGE: 19940314 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROCHE HOLDINGS INC CENTRAL INDEX KEY: 0000904566 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 510304944 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 410 S STATE STREET CITY: DOVER STATE: DE ZIP: 19901 BUSINESS PHONE: 2124504336 MAIL ADDRESS: STREET 1: 410 S STATE ST CITY: DOVER STATE: DE ZIP: 19901 SC 13D/A 1 feb2702_13da6.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ----------------------- SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 6) LABORATORY CORPORATION OF AMERICA HOLDINGS - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $0.10 PAR VALUE - -------------------------------------------------------------------------------- (Title of Class of Securities) 5054OR 10 2 - -------------------------------------------------------------------------------- (CUSIP Number) Peter R. Douglas Davis Polk & Wardwell 450 Lexington Avenue New York, NY 10017 Tel. No.: (212) 450-4000 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 21, 2002 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of This Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1 (b)(3) or (4), check the following box [ ]. Note. This document is being electronically filed with the Commission using the EDGAR system. See Rule 13d-1 (a) for other parties to whom copies are to be sent. *The remainder of this cover page should be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Schedule 13D - -------------------------------------------------------------------------------- - --------------------- ----------------- CUSIP No. 5054OR 10 2 13D Page 2 of 8 Pages - --------------------- ----------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Roche Holdings, Inc. 51-0304944 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e). [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 10,705,074 shares of Common Stock NUMBER OF SHARES ---------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER N/A OWED BY EACH ---------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER 10,705,074 shares of Common Stock PERSON WITH ---------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER N/A - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,705,074 shares of Common Stock - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 15.1% of Common Stock - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO, HC - -------------------------------------------------------------------------------- The following information amends and supplements the Schedule 13D dated April 28, 1995, as previously amended (as so amended, the "Schedule 13D"). Item 4. Purpose of Transaction Item 4 of the Schedule 13D is hereby amended by adding the following: Holdings plans to sell 7.0 million shares of the Company's Common Stock in an underwritten public offering. Holdings also plans to grant to the underwriters a 30-day option to purchase an additional 700,000 shares to cover over- allotments, if any. Holdings currently owns 10,705,074 shares or 15.13% of the Company's Common Stock. Following the offering, Holdings' ownership of the Company's Common Stock will be approximately 5.24% (4.25% if the underwriters' over-allotment option is exercised in full). Except as described below, all of Holdings' rights with respect to the Stockholder Agreement will terminate as a result of the proposed offering. Holdings currently has the right to designate one director for nomination to the Board of Directors of the Company. Following the proposed offering, Holdings will no longer have the right to designate a director. Currently, the Board of Directors of the Company is comprised of seven members. Holdings will continue to have demand registration rights and have the benefits of various covenants of the Company with respect to transfers made by the selling stockholder pursuant to Rule 144A under the Securities Act of 1933. The Company has filed a registration statement with the Securities and Exchange Commission relating to the proposed offer and sale by Holdings of the Company's Common Stock, but the registration statement has not yet become effective. Such securities may not be sold nor may offers to buy such securities be accepted prior to the time such registration statement becomes effective. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer Item 6 of the Schedule 13D is hereby amended by adding the following: Holdings has entered into a number of call option contracts with respect to the remaining 3,005,074 shares of the Company's Common Stock it currently owns which are not covered by the registration statement described in Item 4 above. Each of these call option contracts is similar in form and permits the counterparty to purchase from Holdings a specified number of shares of the Company's Common Stock, at a price ranging from $75 to $80 per share, upon the expiration of that call option contract. The table below sets forth, with respect to each call option contract, the number of shares of the Company's Common Stock subject to the call option and the date of expiration of the call option contract. SwissFirst Bank AG is the counterparty to each of the call option contracts. Number of Shares Contract covered by Contract Expiration Date ------------------- --------------- 50000 6/21/02 51800 6/21/02 148200 6/21/02 250000 6/21/02 250000 6/21/02 105000 9/20/02 Page 3 Number of Shares Contract covered by Contract Expiration Date ------------------- --------------- 145000 9/20/02 250000 9/20/02 203000 9/20/02 47000 9/20/02 161250 9/20/02 93824 9/20/02 500000 11/15/02 50000 11/15/02 200000 11/15/02 65000 11/15/02 44000 11/15/02 28500 11/15/02 66300 11/15/02 46200 11/15/02 250000 11/15/02 If each of the above described call option contracts is exercised in full upon expiration and the underwriters exercise the full over-allotment option described in item 4, then Holdings will no longer own any shares of the Company's Common Stock. Item 7. Material to be Filed as Exhibits 1: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/18/01 2: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/19/01 3: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/21/01 4: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/21/01 5: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/27/01 6: Call Option Contract between Holdings and SwissFirst Bank AG dated 1/14/02 7: Call Option Contract between Holdings and SwissFirst Bank AG dated 1/15/02 Page 4 8: Call Option Contract between Holdings and SwissFirst Bank AG dated 1/16/02 9: Call Option Contract between Holdings and SwissFirst Bank AG dated 1/16/02 10: Call Option Contract between Holdings and SwissFirst Bank AG dated 1/17/02 11: Call Option Contract between Holdings and SwissFirst Bank AG dated 2/11/02 12: Call Option Contract between Holdings and SwissFirst Bank AG dated 2/12/02 13: Call Option Contract between Holdings and SwissFirst Bank AG dated 11/20/01 14: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/21/01 15: Call Option Contract between Holdings and SwissFirst Bank AG dated 11/23/01 16: Call Option Contract between Holdings and SwissFirst Bank AG dated 11/26/01 17: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/5/01 18: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/13/01 19: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/14/01 20: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/17/01 21: Call Option Contract between Holdings and SwissFirst Bank AG dated 2/11/02 22: Executive Officers and Directors of Holdings, Finance and Roche Holding. Page 5 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 accurate. Dated: February 27, 2002 ROCHE HOLDINGS, INC. By: /s/ Marcel Kohler -------------------------- Name: Marcel Kohler Title: Secretary Page 6 Index to Exhibits Exhibit 10.01: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/18/01 Exhibit 10.02: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/19/01 Exhibit 10.03: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/21/01 Exhibit 10.04: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/21/01 Exhibit 10.05: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/27/01 Exhibit 10.06: Call Option Contract between Holdings and SwissFirst Bank AG dated 1/14/02 Exhibit 10.07: Call Option Contract between Holdings and SwissFirst Bank AG dated 1/15/02 Exhibit 10.08: Call Option Contract between Holdings and SwissFirst Bank AG dated 1/16/02 Exhibit 10.09: Call Option Contract between Holdings and SwissFirst Bank AG dated 1/16/02 Exhibit 10.10: Call Option Contract between Holdings and SwissFirst Bank AG dated 1/17/02 Exhibit 10.11: Call Option Contract between Holdings and SwissFirst Bank AG dated 2/11/02 Exhibit 10.12: Call Option Contract between Holdings and SwissFirst Bank AG dated 2/12/02 Exhibit 10.13: Call Option Contract between Holdings and SwissFirst Bank AG dated 11/20/01 Exhibit 10.14: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/21/01 Exhibit 10.15: Call Option Contract between Holdings and SwissFirst Bank AG dated 11/23/01 Exhibit 10.16: Call Option Contract between Holdings and SwissFirst Bank AG dated 11/26/01 Exhibit 10.17: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/5/01 Exhibit 10.18: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/13/01 Exhibit 10.19: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/14/01 Exhibit 10.20: Call Option Contract between Holdings and SwissFirst Bank AG dated 12/17/01 Exhibit 10.21: Call Option Contract between Holdings and SwissFirst Bank AG dated 2/11/02 Exhibit 99.1: Executive Officers and Directors of Holdings, Finance and Roche Holding. Page 7 EX-10.1 3 feb2702_ex1001.txt EXHIBIT 10.01 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note Seller: Roche Holdings, Inc. Herrn M.F. Kohler Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Number of Contracts: 50,000 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: December 18, 2001 Value Date: December 21, 2001 Expiration Date: June 21, 2002 Strike Price: USD 75. Price Per Option: USD 10.06 Total Premium: USD 503,000 Total Underlying Value: USD 3,750,000 Payment Instructions: - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.2 4 feb2702_ex1002.txt EXHIBIT 10.02 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note Seller: Roche Holdings, Inc. Herrn M.F. Kohler Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Number of Contracts: 51,800 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: December 19, 2001 Value Date: December 24, 2001 Expiration Date: June 21, 2002 Strike Price: USD 75. Price Per Option: USD 10.06 Total Premium: USD 521,108 Total Underlying Value: USD 3,885,000 Payment Instructions: - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.3 5 feb2702_ex1003.txt EXHIBIT 10.03 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note Seller: Roche Holdings, Inc. Herrn M.F. Kohler Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Number of Contracts: 148,200 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: December 21, 2001 Value Date: December 27, 2001 Expiration Date: June 21, 2002 Strike Price: USD 75. Price Per Option: USD 10.04 Total Premium: USD 1,487,928 Total Underlying Value: USD 11,115,000 Payment Instructions: - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.4 6 feb2702_ex1004.txt EXHIBIT 10.04 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note Seller: Roche Holdings, Inc. Herrn M.F. Kohler Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Number of Contracts: 250,000 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: December 21, 2001 Value Date: December 27, 2001 Expiration Date: June 21, 2002 Strike Price: USD 75. Price Per Option: USD 10.03 Total Premium: USD 2,507,500 Total Underlying Value: USD 18,750,000 Payment Instructions: - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.5 7 feb2702_ex1005.txt EXHIBIT 10.05 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note Seller: Roche Holdings, Inc. Herrn M.F. Kohler Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Number of Contracts: 250,000 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: December 27, 2001 Value Date: January 02, 2002 Expiration Date: June 21, 2002 Strike Price: USD 75. Price Per Option: USD 10.40 Total Premium: USD 2,600,000 Total Underlying Value: USD 18,750,000 Payment Instructions: - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.6 8 feb2702_ex1006.txt EXHIBIT 10.06 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Seller: Roche Holdings, Inc. Mr. Marcel F. Kohler Wilmington, DE 19801 Number of Contracts: 105,000 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: 14, January, 2002 Value Date: 17, January, 2002 Expiration Date: 20, September, 2002 Strike Price: USD 75. Price Per Option: USD 10.23 Total Premium: USD 1,074,150 Total Underlying Value: USD 7,875,000 Payment Instructions: swissfirst Bank AG. for account Nr. 3671_0 - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.7 9 feb2702_ex1007.txt EXHIBIT 10.07 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Seller: Roche Holdings, Inc. Mr. Marcel F. Kohler Wilmington, DE 19801 Number of Contracts: 145,000 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: 15, January, 2002 Value Date: 18, January, 2002 Expiration Date: 20, September, 2002 Strike Price: USD 75. Price Per Option: USD 10.09 Total Premium: USD 1,463,050 Total Underlying Value: USD 10,875,000 Payment Instructions: swissfirst Bank AG. for account Nr. 3671_0 - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.8 10 feb2702_ex1008.txt EXHIBIT 10.08 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Seller: Roche Holdings, Inc. Mr. Marcel F. Kohler Wilmington, DE 19801 Number of Contracts: 250,000 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: 16, January, 2002 Value Date: 22, January, 2002 Expiration Date: 20, September, 2002 Strike Price: USD 75. Price Per Option: USD 10.54 Total Premium: USD 2,635,000 Total Underlying Value: USD 18,750,000 Payment Instructions: swissfirst Bank AG. for account Nr. 3671_0 - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.9 11 feb2702_ex1009.txt EXHIBIT 10.09 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Seller: Roche Holdings, Inc. Mr. Marcel F. Kohler Wilmington, DE 19801 Number of Contracts: 203,000 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: 16, January, 2002 Value Date: 22, January, 2002 Expiration Date: 20, September, 2002 Strike Price: USD 75. Price Per Option: USD 10.08 Total Premium: USD 2,046,240 Total Underlying Value: USD 15,225,000 Payment Instructions: swissfirst Bank AG. for account Nr. 3671_0 - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.10 12 feb2702_ex1010.txt EXHIBIT 10.10 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Seller: Roche Holdings, Inc. Mr. Marcel F. Kohler Wilmington, DE 19801 Number of Contracts: 47,000 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: 17, January, 2002 Value Date: 23, January, 2002 Expiration Date: 20, September, 2002 Strike Price: USD 75. Price Per Option: USD 10.00 Total Premium: USD 470,000 Total Underlying Value: USD 3,525,000 Payment Instructions: swissfirst Bank AG. for account Nr. 3671_0 - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by:Roche Holdings, Inc. EX-10.11 13 feb2702_ex1011.txt EXHIBIT 10.11 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Seller: Roche Holdings, Inc. Mr. Marcel F. Kohler Wilmington, DE 19801 Number of Contracts: 161,250 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: 11, February, 2002 Value Date: 14, February, 2002 Expiration Date: 20, September, 2002 Strike Price: USD 75. Price Per Option: USD 14.48 Total Premium: USD 2,334,900 Total Underlying Value: USD 12,093,750 Payment Instructions: swissfirst Bank AG. for account Nr. 3671_0 - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.12 14 feb2702_ex1012.txt EXHIBIT 10.12 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Seller: Roche Holdings, Inc. Mr. Marcel F. Kohler Wilmington, DE 19801 Number of Contracts: 93,824 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: 12, February, 2002 Value Date: 15, February, 2002 Expiration Date: 20, September, 2002 Strike Price: USD 75. Price Per Option: USD 13.27 Total Premium: USD 1,245,044,48 Total Underlying Value: USD 7,036,800 Payment Instructions: your account 3671_0 at swissfirst Bank AG will be credited - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.13 15 feb2702_ex1013.txt EXHIBIT 10.13 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG Bellariastrasse 23 CH-8002 Zurich OTC Contract Note REF: SWFB036 ------------------------ ---- The following transaction was broked and executed through swissfirst Bank AG: Buyer: swissfirst Bank AG, Zurich Contact Person: Mr. M. Massarotti Seller: Roche Holdings, Inc., Wilmington, USA Contact Person: Mr. Marcel F. Kohler Number of Contracts: 500,000 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: November 20, 2001 Value Date: November 26, 2001 Expiration Date: November 15, 2002 Strike Price: USD 80.00 Price Per Option: USD 12.93 Total Premium: USD 6,465,000.00 Total Underlying Value: USD 40,000,000.00 S.E.&O. - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 Acknowledged by: Roche Holdings, Inc., Wilmington, USA EX-10.14 16 feb2702_ex1014.txt EXHIBIT 10.14 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG Bellariastrasse 23 CH-8002 Zurich OTC Contract Note REF: SWFB039 ------------------------ ---- The following transaction was broked and executed through swissfirst Bank AG: Buyer: swissfirst Bank AG, Zurich Contact Person: Mr. M. Massarotti Seller: Roche Holdings, Inc., Wilmington, USA Contact Person: Mr. Marcel F. Kohler Number of Contracts: 50,000 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: November 21, 2001 Value Date: November 27, 2001 Expiration Date: November 15, 2002 Strike Price: USD 80.00 Price Per Option: USD 13.44 Total Premium: USD 672,000.00 Total Underlying Value: USD 400,000.00 S.E.&O. - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc., Wilmington, USA EX-10.15 17 feb2702_ex1015.txt EXHIBIT 10.15 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note ----------------- Seller: Roche Holdings, Inc. Herrn M.F. Kohler Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Number of Contracts: 200,000 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: November 23, 2001 Value Date: November 28, 2001 Expiration Date: November 15, 2002 Strike Price: USD 80.00 Price Per Option: USD 13.1 Total Premium: USD 2,620,000 Total Underlying Value: USD 16,000,000 - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.16 18 feb2702_ex1016.txt EXHIBIT 10.16 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG Bellariastrasse 23 CH-8002 Zurich OTC Contract Note ------------------------ The following transaction was broked and executed through swissfirst Bank AG: Seller: Roche Holdings, Inc., Wilmington, USA Contact Person: Mr. Marcel F. Kohler Buyer: swissfirst Bank AG, Zurich Contact Person: Mr. M. Massarotti Number of Contracts: 65,000 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: November 26, 2001 Value Date: November 29, 2001 Expiration Date: November 15, 2002 Strike Price: USD 80.00 Price Per Option: USD 13.00 Total Premium: USD 845,000.00 Total Underlying Value: USD 5,200,000.00 S.E.&O. - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc., Wilmington, USA EX-10.17 19 feb2702_ex1017.txt EXHIBIT 10.17 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note ----------------- Seller: Roche Holdings, Inc. Herrn M.F. Kohler Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Number of Contracts: 44,000 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: December 5, 2001 Value Date: December 10, 2001 Expiration Date: November 15, 2002 Strike Price: USD 80.00 Price Per Option: USD 11.00 Total Premium: USD 484,000.00 Total Underlying Value: USD 3,520,000.00 - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.18 20 feb2702_ex1018.txt EXHIBIT 10.18 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note ----------------- Seller: Roche Holdings, Inc. Herrn M.F. Kohler Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Number of Contracts: 28,500 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: December 13, 2001 Value Date: December 18, 2001 Expiration Date: November 15, 2002 Strike Price: USD 80.00 Price Per Option: USD 10.65 Total Premium: USD 303,525.00 Total Underlying Value: USD 2,280,000.00 - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.19 21 feb2702_ex1019.txt EXHIBIT 10.19 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note ----------------- Seller: Roche Holdings, Inc. Herrn M.F. Kohler Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Number of Contracts: 66,300 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: December 14, 2001 Value Date: December 19, 2001 Expiration Date: November 15, 2002 Strike Price: USD 80.00 Price Per Option: USD 10.62 Total Premium: USD 704,106 Total Underlying Value: USD 5,304,000 - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.20 22 feb2702_ex1020.txt EXHIBIT 10.20 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note ----------------- Seller: Roche Holdings, Inc. Herrn M.F. Kohler Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Number of Contracts: 46,200 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: December 17, 2001 Value Date: December 20, 2001 Expiration Date: November 15, 2002 Strike Price: USD 80.00 Price Per Option: USD 10.59 Total Premium: USD 489,528 Total Underlying Value: USD 3,696,000 - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-10.21 23 feb2702_ex1021.txt EXHIBIT 10.21 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note ----------------- Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Seller: Roche Holdings, Inc. Mr. Marcel F. Kohler Number of Contracts: 250,000 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: 11, February 2002 Value Date: 14, February 2002 Expiration Date: 15, November 2002 Strike Price: USD 80 Price Per Option: USD 12.92 Total Premium: USD 3,320,000 Total Underlying Value: USD 20,000,000 Payment Instructions swissfirst Bank AG. for account Nr. 3671_0 - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc. EX-99.1 24 feb2702_ex9901.txt EXHIBIT 99.1 SCHEDULE A Executive Officers and Directors (*) of Roche Holdings, Inc. The names of the Directors and the names and titles of the Executive Officers of Roche Holdings, Inc. and their business addresses and principal occupations are set forth below. If no address is given, the Director's or Executive Officer's business address is that of Roche Holding Ltd which is Grenzacherstrasse 124, 4002 Basel, Switzerland. Unless otherwise indicated, each occupation set forth opposite an individual's name refers to Roche Holding Ltd and each individual is a Swiss citizen. Name, Business Address Present Principal Occupation * Dr. h.c. Fritz Gerber..................Chairman of the Board and President * Dr. Franz B. Humer....................Vice President * Dr. Erich Hunziker.....................Vice President- Finance and Treasurer SCHEDULE B Executive Officers and Directors (*) of Roche Finance Ltd The names of the Directors and the names and titles of the Executive Officers of Roche Finance Ltd and their business addresses and principal occupations are set forth below. If no address is given, the Director's or Executive Officer's business address is that of Roche Holding Ltd, which is Grenzacherstrasse 124, 4002 Basel, Switzerland. Unless otherwise indicated, each occupation set forth opposite an individual's name refers to Roche Holding Ltd and each individual is a Swiss citizen. Name, Business Address Present Principal Occupation * Dr. Franz B. Humer...............................President * Dr. Erich Hunziker...............................Director * Dr. Gottlieb Keller..............................Director SCHEDULE C Executive Officers and Directors of Roche Holding Ltd The names of the Directors and the names and titles of the Executive Officers of Roche Holding Ltd and their business addresses and principal occupations are set forth below. If no address is given, the Director's or Executive Officer's business address is that of Roche Holding Ltd, which is Grenzacherstrasse 124, 4002 Basel, Switzerland. Unless otherwise indicated, each occupation set forth opposite an individual's name refers to Roche Holding Ltd and each individual is a Swiss citizen, except that Mr. Brabeck-Letmathe is an Austrian citizen, Mr. von Prondzynski is a German citizen, Professor Bell is a Canadian citizen and Mr. Burns and Professor Knowles are citizens of the United Kingdom. Dr. Gottlieb A. Keller is the Secretary to the Board of Directors. Mr. Pierre Jaccoud is the Secretary to the Executive Committee. Board of Directors Dr. Franz B. Humer Chairman Dr. Andres F. Leuenberger Vice-Chairman Dr. Rolf Hanggi Vice-Chairman Mr. Peter Brabeck-Letmathe Chief Executive Officer of Nestle Nestle SA Avenue Nestle, CH-1800 Verey Mr. Andre Hoffman Businessman Massellaz S.A. Place du Casino 4 1110 Morges Dr. h.c. Fritz Gerber Businessman Dr. Henri B. Meier Businessman Dr. Andreas Oeri Surgeon Praxisgemeinschaft Clarahof Clarahofweg 19a CH-4005 Basel Professor John Bell University Professor Nuffield Professor of Clinical Medicine University of Oxford Level 7, John Radcliffe Hospital Headington, Oxford OX 3 9DU United Kingdom Mr.Walter Frey Chairman of the Board of Directors Prasident des Verwaltungsrates of Emil Frey A.G. Emil Frey AG Badenerstrasse 600 8048 Zurich Executive Committee Dr. Franz B. Humer Chief Executive Officer Dr. Erich Hunziker Chief Financial Officer Mr. William M. Burns Pharmaceuticals Division Mr. Heino von Prondzynski Diagnostics Division Dr. Markus Altwegg Vitamins and Fine Chemicals Division Mr. Richard Laube Pharma Consumer Health Professor Jonathan Knowles Global Pharmaceutical Research Dr. Daniel Villiger Corporate Services
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