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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 or Section 30(h) of the Investment Company Act of 1940 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Options (Right to Buy) | $ 11.65 | 08/21/2003 | D(2) | 2,500 | 05/08/2003 | 05/08/2013 | Common Stock | 2,500 | (2) | 2,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CIVC PARTNERS FUND LLC 231 SOUTH LASALLE STREET CHICAGO, IL 60697 |
X | X | ||
CIVC PARTNERS FUND LP 231 SOUTH LASALLE STREET CHICAGO, IL 60697 |
X | X | ||
BANKAMERICA INVESTMENT CORP 231 SOUTH LASALLE STREET CHICAGO, IL 60697 |
X | X | ||
BANK OF AMERICA CORP /DE/ BANK OF AMERICA CORPORATE CENTER 100 N TRYON ST CHARLOTTE, NC 28255 |
X | X |
Christopher J. Perry, Managing Member | 08/21/2003 | |
**Signature of Reporting Person | Date | |
CIVC Partners Fund, LP By: CIVC Partners, LLC, its general partner By: Christopher J. Perry, Managing Member | 08/21/2003 | |
**Signature of Reporting Person | Date | |
CIVC Partners, LLC By: Christopher J. Perry, Managing Member | 08/21/2003 | |
**Signature of Reporting Person | Date | |
BankAmerica Investment Corporation By: Christopher J. Perry, Managing Director | 08/21/2003 | |
**Signature of Reporting Person | Date | |
Bank of America Corporation By: Charles F. Bowman, Senior Vice President | 08/21/2003 | |
**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) | Disposed of pursuant to a merger agreement between issuer and Kroll Inc. In exchange for each share of common stock it held, the Reporting Person received $14.00 in cash and 0.1497 shares of Kroll Inc. common stock. |
(2) | This option was assumed by Kroll Inc. in the merger and was replaced with a option to purchase 1,871 shares of Kroll Inc., common stock at $15.56 per share. |
Remarks: The Reporting Person is also checking the Director box because CIVC Partners Fund, LLC may be considered a director by deputization as a result of its right to designate a member of the Issuer's board of directors. |