|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (right to buy) | $ 19.23 | 11/03/2009 | D | 240,000 | (3) | 05/18/2013 | Common Shares | 240,000 | (4) | 0 | D | ||||
Option (right to buy) | $ 15.87 | 11/03/2009 | D | 350,000 | (3) | 11/16/2013 | Common Shares | 350,000 | (4) | 0 | D | ||||
Option (right to buy) | $ 18.2 | 11/03/2009 | D | 250,000 | (3) | 02/22/2014 | Common Shares | 250,000 | (4) | 0 | D | ||||
Option (right to buy) | $ 31.57 | 11/03/2009 | D | 345,000 | (3) | 04/30/2014 | Common Shares | 345,000 | (4) | 0 | D | ||||
Option (right to buy) | $ 20.7 | 11/03/2009 | D | 250,000 | (3) | 04/24/2015 | Common Shares | 250,000 | (4) | 0 | D | ||||
Option (right to buy) | $ 18.85 | 11/03/2009 | D | 260,000 | (3) | 04/30/2015 | Common Shares | 260,000 | (4) | 0 | D | ||||
Option (right to buy) | $ 22.91 | 11/03/2009 | D | 264,600 | (3) | 04/30/2016 | Common Shares | 264,600 | (4) | 0 | D | ||||
Phantom Stock Unit | (5) | 11/03/2009 | D | 65,587.15 | (6) | (6) | Common Shares | 65,587.15 | (6) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BERTOLINI ROBERT J 2000 GALLOPING HILL ROAD KENILWORTH, NJ 07033 |
Executive Vice President |
/s/ Michael Pressman attorney-in-fact for Robert J. Bertolini | 11/04/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Pursuant to the agreement and plan of merger ("Merger Agreement") between the Issuer and Merck & Co., Inc. ("Merger"), upon closing of the Merger, each common share of the Issuer was converted into 0.5767 shares of Merck & Co., Inc. common stock and $10.50 in cash. |
(2) | In connection with the Merger, each share held in the Issuer's stock fund of the Issuer's 401(k) plan was converted into 0.5767 shares of Merck & Co., Inc. common stock and $10.50 in cash. Both the shares and cash will remain in the plan until such time as the reporting person elects a distribution therefrom. |
(3) | The options vested and became exercisable on varying dates pursuant to the terms of the plans under which they were granted. Options that had not vested prior to the Merger, vested upon the closing of the Merger or the reporting person's termination of employment thereafter. |
(4) | Pursuant to the Merger Agreement, upon closing of the Merger, the option was converted into an option to purchase common shares of Merck & Co., Inc. in accordance with the exchange ratio set forth in the Merger Agreement. |
(5) | Each unit of phantom stock is the economic equivalent of one share of common stock. |
(6) | In connection with the Merger, each unit of phantom stock was converted into 0.5767 phantom shares of Merck & Co., Inc. common stock and $10.50 in cash. The cash value of the phantom stock units will be paid to the reporting person in accordance with the reporting person's distribution election under the Issuer's nonqualified deferred compensation plan. |