-----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, N1EhVj+FwsLw/2xiNL8OLiIIRNifPIv9Lc0J2P9HAZ8MdgoNSK3J0NU9ci2NSLne GUqorrDBxoEeKU/IDyE6JA== 0000898430-02-003322.txt : 20021004 0000898430-02-003322.hdr.sgml : 20021004 20020830162051 ACCESSION NUMBER: 0000898430-02-003322 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010514 FILED AS OF DATE: 20020830 DATE AS OF CHANGE: 20021003 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: THIRY KENT J CENTRAL INDEX KEY: 0001097391 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4/A BUSINESS ADDRESS: STREET 1: C/O TOTAL RENAL CARE HOLDINGS INC STREET 2: 21250 HAWTHORNE BLVD CITY: TORRANCE STATE: CA ZIP: 90503 MAIL ADDRESS: STREET 1: C/O TOTAL RENAL CARE HOLDINGS INC STREET 2: 21250 HAWTHORNE BLVD CITY: TORRANCE STATE: CA ZIP: 90503 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DAVITA 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: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-04034 FILM NUMBER: 02754420 BUSINESS ADDRESS: STREET 1: 21250 HAWTHORNE BLVD STREET 2: STE 800 CITY: TORRANCE STATE: CA ZIP: 90503-5517 BUSINESS PHONE: 3107922600 MAIL ADDRESS: STREET 1: 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 FORMER COMPANY: FORMER CONFORMED NAME: TOTAL RENAL CARE HOLDINGS INC DATE OF NAME CHANGE: 19950524 4 1 d4.txt FORM 4 /------------------------------/ / OMB APPROVAL / /------------------------------/ / OMB Number: 3235-0287 / / Expires: December 31, 2001 / / Estimated average burden / / hours per response...... 0.5 / /------------------------------/ +--------+ | FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION +--------+ Washington, D.C. 20549 [_] Check this box if no longer subject STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP to Section 16. Form 4 or Form 5 Filed pursuant to Section 16(a) of the Securities obligations may Exchange Act of 1934, Section 17(a) of the continue. See Public Utility Holding Company Act of 1935 or Instruction 1(b). Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Thiry Kent J - -------------------------------------------------------------------------------- (Last) (First) (Middle) 21250 Hawthorne Boulevard, Suite 800 - -------------------------------------------------------------------------------- (Street) Torrance CA 90503 - -------------------------------------------------------------------------------- (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol DaVita Inc. (DVA) ----------------------------------- 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) -------------- 4. Statement for Month/Year 05/2001 --------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) 06/2001 --------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director X Officer ___ 10% Owner ___ Other --- --- (give title below) (specify below) Chairman & CEO ---------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person ---- ____ Form filed by More than One Reporting Person Table I--Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
- ------------------------------------------------------------------------------------------------------------------------------------ 1. Title 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature of action action or Disposed of (D) Securities ship of In- Security Date Code (Instr. 3, 4 and 5) Beneficially Form: direct (Instr. 3) (Month/ (Instr. 8) Owned at Direct Bene- Day/ ----------------------------------------------- End of (D) or ficial Year) Month Indirect Owner- Code V Amount (A) or Price (Instr. 3 and 4) (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 05/14/01 M 250,000 A $2.6875 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 05/14/01 M 25,000 A $5.1354 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 05/14/01 S 40,887 D $18.7435 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 05/15/01 S 166,950 D $18.7081 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 05/16/01 S 67,163 D $18.6596 4,166/1/ D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 55,500 I By Trust - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
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). Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
FORM 4 (continued) Table II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ----------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- Security (Instr. 3) sion or action tion Code ative Securities Exercise Date (Instr. 8) Acquired (A) or Price of (Month/ Disposed of (D) Deriv- Day/ (Instr. 3, 4, and 5) ative Year) Security --------------------------------------------------- Code V (A) (D) - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- Stock Options (Right to buy) $2.6875 05/14/01 M 250,000 - ----------------------------------------------------------------------------------------------------------------------------- Stock Options (Right to buy) $5.1354 05/14/01 M 25,000 - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - -----------------------------------------------------------------------------------------------------------------------------
Table II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ------------------------------------------------------------------------------------------------------------------------------------ 6. Date Exer- 7. Title and Amount of 8. Price 9. Number 10. Owner- 11. Na- cisable and Underlying Securities of of Deriv- ship ture Expiration (Instr. 3 and 4) Deriv- ative Form of In- Date ative Secur- of De- direct (Month/Day/ Secur- ities rivative Bene- Year) ity Bene- Securities ficial (Instr. ficially Bene- Owner- -------------------------------------------- 5) Owned ficially ship Date Expira- Amount or at End Owned at (Instr. Exer- tion Title Number of of End of 4) cisable Date Shares Month Month(1) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ (2) Stock Options (Right to buy) 03/29/01 03/29/05 Common Stock 250,000 $0 250,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Stock Options (Right to buy) 10/18/00 01/26/10 Common Stock 25,000 $0 475,000 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: /s/ Kent J Thiry August 30, 2002 ------------------------------- --------------- See attached page(s) **Signature of Reporting Person Date Thiry, Kent J ** Intentional misstatements or omissions of facts constitute Federal 21250 Hawthorne Boulevard, Suite 800 Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Torrance CA 90503 Note: File three copies of this form, one of which must be manually signed. If DaVita Inc. (DVA) space provided is insufficient, see Instruction 6 for procedure. 05/2001
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. FORM 4 (continued) Explanation of Responses Name: Thiry, Kent J Statement for Month/Year: 05/2001 21250 Hawthorne Boulevard, Suite 800 Issuer Name: DaVita Inc. (DVA) Torrance CA 90503 - -----------------------------------------------------------------------------------------------
Note: 1 Acquired under the Company Employee Stock Purchase Plan in January 2001. Note: 2 125,000 of the indicated options vested on 3/29/01. The vesting of the remaining 125,000 options was accelerated on 6/27/00 due to DaVita's stock price closing at $5.01 or above for 10 of 20 consecutive trading days. -----END PRIVACY-ENHANCED MESSAGE-----