-----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, Wkr+FWM9DZznG9mutWLvKfRnvUnEa4H99BcOGF1VWqChx1nUJrBFnbFuDUovhtiy 33tVhn3uV05V2u54LHuN5g== 0000898430-02-003323.txt : 20020830 0000898430-02-003323.hdr.sgml : 20020830 20020830162610 ACCESSION NUMBER: 0000898430-02-003323 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010213 FILED AS OF DATE: 20020830 COMPANY DATA: COMPANY CONFORMED NAME: THIRY KENT J CENTRAL INDEX KEY: 0001097391 DIRECTOR FILING VALUES: FORM TYPE: 4 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 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04034 FILM NUMBER: 02754439 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 12/2001 --------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) 01/2002 --------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director X Officer ___ 10% Owner ___ Other (specify below) --- --- (give title 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) (Instr. 8) Owned at Direct Bene- (Month/ ----------------------------------------------- End of (D) or ficial Day/ Month Indirect Owner- Year) (A) or (Instr. 3 and 4) (I) ship Code V Amount (D) Price (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Commom Stock 02/13/2001 (1) A V 81,168 A $ 0 D - ------------------------------------------------------------------------------------------------------------------------------------ Commom Stock 12/12/2001 M 108,000 A $ 5.1354 D - ------------------------------------------------------------------------------------------------------------------------------------ Commom Stock 12/12/2001 S 108,000 D $ 22.25 D - ------------------------------------------------------------------------------------------------------------------------------------ Commom Stock 12/14/2001 M 20,000 A $ 5.1354 D - ------------------------------------------------------------------------------------------------------------------------------------ Commom Stock 12/14/2001 S 20,000 D $ 22.19 D - ------------------------------------------------------------------------------------------------------------------------------------ Commom Stock 12/19/2001 M 14,000 A $ 5.1354 D - ------------------------------------------------------------------------------------------------------------------------------------ Commom Stock 12/19/2001 S 14,000 D $ 23.47 85,334 D - ------------------------------------------------------------------------------------------------------------------------------------ Commom Stock 12/28/2001 G V 6,000 D $ 0 49,500 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 (Over) collection of information contained in this form SEC 1474 (3-99) 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 Disposed of (D) Deriv- (Month/ (Instr. 3, 4, and 5) ative Day/ Security Year) --------------------------------------------------- Code V (A) (D) - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- Stock Options (Right to buy) $5.1354 12/12/2001 M/(2)/ 108,000 - ----------------------------------------------------------------------------------------------------------------------------- Stock Options (Right to buy) $5.1354 12/14/2001 M/(2)/ 20,000 - ----------------------------------------------------------------------------------------------------------------------------- Stock Options (Right to buy) $5.1354 12/19/2001 M/(2)/ 14,000 - ----------------------------------------------------------------------------------------------------------------------------- Stock Options (Right to buy) $ 15.40 02/13/2001 A/(2)/ V 300,000 - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------------ 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 of In- Date ative Secur- De- direct (Month/Day/ Secur- ities rivative Bene- Year) ity Bene- Security ficial (Instr. ficially Direct Owner- -------------------------------------------- 5) Owned (D) or ship Date Expira- Amount or at End Indirect (Instr. Exer- tion Number of of (I) 4) cisable Date Title Shares Month (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ /(3)/ Stock Options (Right to buy) 10/18/ 01/26/ Common Stock 108,000 $0 D 2000 2010 - ------------------------------------------------------------------------------------------------------------------------------------ /(3)/ Stock Options (Right to buy) 10/18/ 01/26/ Common Stock 20,000 $0 D 2000 2010 - ------------------------------------------------------------------------------------------------------------------------------------ /(3)/ Stock Options (Right to buy) 10/18/ 01/26 Common Stock 14,000 $0 333,000 D 2000 2010 - ------------------------------------------------------------------------------------------------------------------------------------ /(4)/ Stock Options (Right to buy) 02/13/ 02/13/ Common Stock 300,000 $0 300,000 D 2002 2006 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: See attached page(s) ** 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. 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 Number /s/ Kent J. Thiry August 30, 2002 _______________________________ ___________________ **Signature of Reporting Person Date Thiry, Kent J. 21250 Hawthorne Boulevard, Suite 800 Torrance, CA. 90503 DaVita Inc. (DVA) 12/2001 Page 2 FORM 4 (continued) Explanation of Responses Name: Thiry, Kent J. Statement for Month/Year: 12/2001 21250 Hawthorne Boulevard, Issuer Name: DaVita Inc. (DVA) Suite 800 Torrance CA 90503 - -------------------------------------------------------------------------------- Note: 1 Grant of Restricted Units which vest in three equal annual installments beginning on February 13, 2002. Mr Thiry has elected to defer vesting of the first and second installments until February 13, 2003 and February 13, 2004, respectively. Note: 2 Nonqualified stock options granted under the First Amended and Restated 1997 Equity Compensation Plan. Note: 3 Option for a total of 500,000 shares. The indicated option vests according to the following schedule: 125,000 shares vested on October 18, 2000, 125,000 shares vested on January 23, 2001, 125,000 shares vested on October 18, 2001 and 125,000 shares will vest on October 18, 2002. Note: 4 The indicated option vests in four equal annual installments beginning on February 13, 2002. -----END PRIVACY-ENHANCED MESSAGE-----