Statement of Changes in Beneficial Ownership (4)
06 März 2015 - 11:26PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
CARLSON JAMES G
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2. Issuer Name
and
Ticker or Trading Symbol
OMNICARE INC
[
OCR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
900 OMNICARE CENTER, 201 EAST FOURTH STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/5/2015
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(Street)
CINCINNATI, OH 45202
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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3.25% Convertible Senior Debentures due 2035
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$77.00
(1)
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3/5/2015
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S
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25000
(2)
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(1)
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12/15/2035
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Common Stock
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(2)
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$27093.75
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0
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D
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Explanation of Responses:
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(
1)
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Convertible (a) during a fiscal quarter if the closing price of the company's common stock exceeds 130% of the then current conversion price for at least 20 trading days in the 30 trading day period ending on the last trading day of the preceding quarter, (b) during a five trading day period following any five consecutive trading day period in which the average trading price of the debentures was less than 98% of the average closing sale price of the company's common stock multiplied by the then current conversion rate, (c) on or after December 15, 2033 and (d) upon certain other events as set forth in the related indenture.
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(
2)
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The reporting person sold $25,000 principal amount of debentures, which are convertible, if and when applicable, into cash and shares of the company's common stock based on a conversion rate of 12.9869 shares of common stock per $1,000 principal amount of debentures (or $77.00 per share of common stock), subject to adjustment upon certain events as set forth in the related indenture.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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CARLSON JAMES G
900 OMNICARE CENTER
201 EAST FOURTH STREET
CINCINNATI, OH 45202
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X
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Signatures
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/s/ Nathan Scott, attorney-in-fact for James G. Carlson
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3/6/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who 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.
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