3 1 kind30104gsgmain.txt KINDRED HEALTHCARE, INC. FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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(f) of the Investment Company Act of 1940 ================================================================================ 1. Name and Address of Reporting Person* The Goldman Sachs Group, Inc. -------------------------------------------------------------------------------- (Last) (First) (Middle) 85 Broad Street -------------------------------------------------------------------------------- (Street) New York, NY 10004 -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Date of Event Requiring Statement (Month/Day/Year) April 20, 2001 ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ================================================================================ 4. Issuer Name and Ticker or Trading Symbol Kindred Healthcare, Inc. (KIND) ================================================================================ 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ X ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) -------------------------------------------------------------------- ================================================================================ 6. If Amendment, Date of Original (Month/Year) ================================================================================ 7. Individual or Joint/Group Filing (Check applicable line) [ ] Form Filed by One Reporting Person [ X ] Form Filed by More than One Reporting Person ================================================================================
==================================================================================================================================== Table I -- Non-Derivative Securities Beneficially Owned | ==================================================================================================================================== | | | | | | | | | | 3. Ownership Form: | | | 2. Amount of Securities | Direct (D) or | | 1. Title of Security | Beneficially Owned | Indirect (I) | 4. Nature of Indirect Beneficial Ownership | (Instr. 4) | (Instr. 4) | (Instr. 5) | (Instr.5) | ------------------------------------------------------------------------------------------------------------------------------------ | | | | Common Stock | 1,416,405 | 01 | 01 | ====================================================================================================================================
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 5(b)(v). FORM 3 (continued)
==================================================================================================================================== Table II -- Derivative Securities Beneficially Owned | (e.g., puts, calls, warrants, options, convertible securities) | ==================================================================================================================================== | | | | | | | | | | 5. Owner- | | | | 3. Title and Amount of Securities | | ship | | | | Underlying Derivative Security | | Form of | | |2. Date Exercisable | (Instr. 4) | | Derivative | | | and Expiration Date | --------------------------------- | 4. Conver- | Security: | | | (Month/Day/Year) | | Amount | sion or | Direct |6.Nature of | |---------------------- | | or | Exercise | (D) or | Indirect | |Date |Expira- | | Number | Price of | Indirect | Beneficial| 1. Title of Derivative |Exer- |tion | | of | Derivative| (I) | Ownership | Security (Instr. 4) |cisable |Date | Title | Shares | Security | (Instr.5) | (Instr. 5)| ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | Series A Warrants | 4/20/01 | 4/20/06 |Common Stock | 170,594 | $30.00 | 01 | 01 | ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | Series B Warrants | 4/20/01 | 4/20/06 |Common Stock | 426,484 | $33.33 | 01 | 01 | ====================================================================================================================================
Instruction 5(b)(v) list of other Reporting Persons: This statement is being filed by Goldman, Sachs & Co. ("Goldman Sachs") and The Goldman Sachs Group, Inc. ("GS Group" and, together with Goldman Sachs, the "Reporting Persons"). The principal business address of each of Goldman Sachs and GS Group is 85 Broad Street, New York, New York, 10004. Explanation of Responses: 01: The securities reported herein are beneficially owned directly by Goldman Sachs and may be deemed to be beneficially owned indirectly be GS Group. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. **Signatures: GOLDMAN, SACHS & CO. By: s/ Roger S. Begelman ----------------------------- Name: Roger S. Begelman Title: Attorney-in-fact THE GOLDMAN SACHS GROUP, INC. By: s/ Roger S. Begelman ----------------------------- Name: Roger S. Begelman Title: Attorney-in-fact Date: April 30, 2001 ** 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 provided is insufficient, See Instruction 6 for procedure. Alternatively, this form is permitted to be submitted to the Commission in electronic format at the option of the reporting person pursuant to Rule 101(b)(4) of Regulation S-T.