-----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, SdIOqinrz/hMf3LK8FD6Lv7YlEfRlD9kmVCNJzFLmrXUHKgGXfBJkcivuPiJ157g L65m9n7oF3DJ3G5uQWXSYg== 0000898430-00-000912.txt : 20000327 0000898430-00-000912.hdr.sgml : 20000327 ACCESSION NUMBER: 0000898430-00-000912 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000301 FILED AS OF DATE: 20000324 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TOTAL RENAL CARE HOLDINGS INC CENTRAL INDEX KEY: 0000927066 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090] IRS NUMBER: 510354549 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 001-04034 FILM NUMBER: 577824 BUSINESS ADDRESS: STREET 1: 21250 HAWTHORNE BLVD STREET 2: SIE 800 CITY: TORRANCE STATE: CA ZIP: 90503-5517 BUSINESS PHONE: 3107922600 MAIL ADDRESS: STREET 1: 21250 HAWTHORNE BLVD SUITE 800 STREET 2: 21250 HAWTHORNE BLVD SUITE 800 CITY: TORRANCE STATE: CA ZIP: 90503-5517 FORMER COMPANY: FORMER CONFORMED NAME: TOTAL RENAL CARE INC DATE OF NAME CHANGE: 19940719 COMPANY DATA: COMPANY CONFORMED NAME: WHITNEY RICHARD K CENTRAL INDEX KEY: 0001109736 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O TOTAL RENAL CARE STREET 2: 21250 HAWTHORNE BLVD CITY: TORRANCE STATE: CA ZIP: 90503 BUSINESS PHONE: 3107922600 MAIL ADDRESS: STREET 1: C/O TOTAL RENAL CARE STREET 2: 21250 HAWTHORNE BLVD CITY: TORRANCE STATE: CA ZIP: 90503 3 1 FORM 3 - RICHARD K. WHITNEY U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 OMB APPROVAL ----------------------------- OMB NUMBER: 3235-0104 Expires: April 30, 1997 Estimated average burden hours per response ...... 0.5 ----------------------------- INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section16(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 Whitney Richard K. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 21250 Hawthorne Boulevard - -------------------------------------------------------------------------------- (Street) Torrance CA 90503 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) 03/01/2000 - -------------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) - -------------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol Total Renal Care Holdings, Inc. (TRL) - -------------------------------------------------------------------------------- 5. Relationship of Reporting Person to Issuer: (Check all applicable) Director 10% Owner ----- ------ X Officer (give Other (Specify ----- title below) ------ below) Chief Financial Officer ---------------------------------- - -------------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) - --------------------------------------------------------------------------------
Table 1 -- Non-Derivative Securities Beneficially Owned 1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect Beneficial Ownership (Instr. 4) Beneficially Owned Direct (D) or (Instr. 5) (Instr. 4) Indirect (I) (Instr. 5) - -------------------------- --------------------------- ----------------- ------------------------------------------ Common Stock 5,925 D - -------------------------- --------------------------- ----------------- ------------------------------------------ - -------------------------- --------------------------- ----------------- ------------------------------------------ - -------------------------- --------------------------- ----------------- ------------------------------------------ - -------------------------- --------------------------- ----------------- ------------------------------------------ - -------------------------- --------------------------- ----------------- ------------------------------------------ - -------------------------- --------------------------- ----------------- ------------------------------------------ - -------------------------- --------------------------- ----------------- ------------------------------------------ - -------------------------- --------------------------- ----------------- ------------------------------------------ - -------------------------- --------------------------- ----------------- ------------------------------------------ - -------------------------- --------------------------- ----------------- ------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over) SEC 1473 (8-92) ++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++ FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security 2. Date Exer- 3. Title and Amount of Securities 4. Conversion 5. Ownership 6. Nature of cisable and Underlying Derivative Security or Exercise Form of Indirect Expiration (Instr. 4) Price of Derivative Beneficial Date Derivative Security: Ownership (Month Day Security Direct (D) (Instr. 5) Year) or ------- ------- --------------------------------- Indirect (I) Date Expira- Amount (Instr. 5) Exer- tion or cisable Date Title Number of Shares - ------------------------------- --- ---------- ------------------------ ------ --------------- --------------- ------------- Options (16b-3 plan; right (1) 07/05/2005 Common Stock 4,167 $ 3.60/share D - ------------------------------- --- ---------- ------------------------ ------ --------------- --------------- ------------- to buy) - ------------------------------- --- ---------- ------------------------ ------ --------------- --------------- ------------- Options (16b-3 plan; right (2) 05/08/2006 Common Stock 21,417 $18.75/share D - ------------------------------- --- ---------- ------------------------ ------ --------------- --------------- ------------- to buy) - ------------------------------- --- ---------- ------------------------ ------ --------------- --------------- ------------- Options (16b-3 plan; right (3) 04/24/2007 Common Stock 25,000 $18.75/share D - ------------------------------- --- ---------- ------------------------ ------ --------------- --------------- ------------- to buy) - ------------------------------- --- ---------- ------------------------ ------ --------------- --------------- ------------- Options (16b-3 plan; right (4) 08/31/2008 Common Stock 20,000 $19.00/share D - ------------------------------- --- ---------- ------------------------ ------ --------------- --------------- ------------- to buy) - ------------------------------- --- ---------- ------------------------ ------ --------------- --------------- ------------- Options (16b-3 plan; right (5) 03/11/2009 Common Stock 100,000 $ 9.0625/share D - ------------------------------- --- ---------- ------------------------ ------ --------------- --------------- ------------- to buy) - ------------------------------- --- ---------- ------------------------ ------ --------------- --------------- ------------- - ------------------------------- --- ---------- ------------------------ ------ --------------- --------------- -------------
Explanation of Responses: (1) All of these options are currently exercisable. (2) 14,278 shares currently exercisable, remaining 7,131 shares vest on April 24, 2000. (3) 12,500 shares currently exercisable, remaining shares vest 6,250 shares each on April 24, 2000 and April 24, 2001. (4) 5,000 shares currently exercisable, remaining shares vest 5,000 shares each on August 31, 2000, August 31, 2001 and August 31, 2002. (5) Vest 25,000 shares each on March 11, 2000, March 11, 2001, March 11, 2002 and March 11, 2003. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Richard K. Whitney 3/16/2000 ------------------------------- --------------- **Signature of Reporting Person Date Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----