SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
-----------------------
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
RULE 13d-2(a)
(Amendment No. 6)
LABORATORY CORPORATION OF AMERICA HOLDINGS
- --------------------------------------------------------------------------------
(Name of Issuer)
COMMON STOCK, $0.10 PAR VALUE
- --------------------------------------------------------------------------------
(Title of Class of Securities)
5054OR 10 2
- --------------------------------------------------------------------------------
(CUSIP Number)
Peter R. Douglas
Davis Polk & Wardwell
450 Lexington Avenue
New York, NY 10017
Tel. No.: (212) 450-4000
- --------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
February 21, 2002
- --------------------------------------------------------------------------------
(Date of Event which Requires Filing of This Statement)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition which is the subject of this Schedule 13D, and is filing
this schedule because of Rule 13d-1 (b)(3) or (4), check the following box [ ].
Note. This document is being electronically filed with the Commission
using the EDGAR system. See Rule 13d-1 (a) for other parties to whom
copies are to be sent.
*The remainder of this cover page should be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which would
alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 ("Act") or otherwise subject to the liabilities of that section of
the Act but shall be subject to all other provisions of the Act (however, see
the Notes).
Schedule 13D
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- --------------------- -----------------
CUSIP No. 5054OR 10 2 13D Page 2 of 8 Pages
- --------------------- -----------------
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Roche Holdings, Inc. 51-0304944
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e). [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER 10,705,074 shares of Common Stock
NUMBER OF
SHARES ----------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER N/A
OWED BY
EACH ----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER 10,705,074 shares of Common Stock
PERSON WITH
----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER N/A
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,705,074 shares of Common Stock
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.1% of Common Stock
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
CO, HC
- --------------------------------------------------------------------------------
The following information amends and supplements the Schedule 13D dated
April 28, 1995, as previously amended (as so amended, the "Schedule 13D").
Item 4. Purpose of Transaction
Item 4 of the Schedule 13D is hereby amended by adding the following:
Holdings plans to sell 7.0 million shares of the Company's Common Stock in
an underwritten public offering. Holdings also plans to grant to the
underwriters a 30-day option to purchase an additional 700,000 shares to cover
over- allotments, if any. Holdings currently owns 10,705,074 shares or 15.13%
of the Company's Common Stock. Following the offering, Holdings' ownership of
the Company's Common Stock will be approximately 5.24% (4.25% if the
underwriters' over-allotment option is exercised in full).
Except as described below, all of Holdings' rights with respect to the
Stockholder Agreement will terminate as a result of the proposed offering.
Holdings currently has the right to designate one director for nomination to
the Board of Directors of the Company. Following the proposed offering,
Holdings will no longer have the right to designate a director. Currently, the
Board of Directors of the Company is comprised of seven members. Holdings will
continue to have demand registration rights and have the benefits of various
covenants of the Company with respect to transfers made by the selling
stockholder pursuant to Rule 144A under the Securities Act of 1933.
The Company has filed a registration statement with the Securities and
Exchange Commission relating to the proposed offer and sale by Holdings of the
Company's Common Stock, but the registration statement has not yet become
effective. Such securities may not be sold nor may offers to buy such
securities be accepted prior to the time such registration statement becomes
effective.
Item 6. Contracts, Arrangements, Understandings or Relationships With Respect
to Securities of the Issuer
Item 6 of the Schedule 13D is hereby amended by adding the following:
Holdings has entered into a number of call option contracts with respect
to the remaining 3,005,074 shares of the Company's Common Stock it currently
owns which are not covered by the registration statement described in Item 4
above. Each of these call option contracts is similar in form and permits the
counterparty to purchase from Holdings a specified number of shares of the
Company's Common Stock, at a price ranging from $75 to $80 per share, upon the
expiration of that call option contract. The table below sets forth, with
respect to each call option contract, the number of shares of the Company's
Common Stock subject to the call option and the date of expiration of the call
option contract. SwissFirst Bank AG is the counterparty to each of the call
option contracts.
Number of Shares Contract
covered by Contract Expiration Date
------------------- ---------------
50000 6/21/02
51800 6/21/02
148200 6/21/02
250000 6/21/02
250000 6/21/02
105000 9/20/02
Page 3
Number of Shares Contract
covered by Contract Expiration Date
------------------- ---------------
145000 9/20/02
250000 9/20/02
203000 9/20/02
47000 9/20/02
161250 9/20/02
93824 9/20/02
500000 11/15/02
50000 11/15/02
200000 11/15/02
65000 11/15/02
44000 11/15/02
28500 11/15/02
66300 11/15/02
46200 11/15/02
250000 11/15/02
If each of the above described call option contracts is exercised in full
upon expiration and the underwriters exercise the full over-allotment option
described in item 4, then Holdings will no longer own any shares of the
Company's Common Stock.
Item 7. Material to be Filed as Exhibits
1: Call Option Contract between Holdings and SwissFirst Bank AG
dated 12/18/01
2: Call Option Contract between Holdings and SwissFirst Bank AG
dated 12/19/01
3: Call Option Contract between Holdings and SwissFirst Bank AG
dated 12/21/01
4: Call Option Contract between Holdings and SwissFirst Bank AG
dated 12/21/01
5: Call Option Contract between Holdings and SwissFirst Bank AG
dated 12/27/01
6: Call Option Contract between Holdings and SwissFirst Bank AG
dated 1/14/02
7: Call Option Contract between Holdings and SwissFirst Bank AG
dated 1/15/02
Page 4
8: Call Option Contract between Holdings and SwissFirst Bank AG
dated 1/16/02
9: Call Option Contract between Holdings and SwissFirst Bank AG
dated 1/16/02
10: Call Option Contract between Holdings and SwissFirst Bank AG
dated 1/17/02
11: Call Option Contract between Holdings and SwissFirst Bank AG
dated 2/11/02
12: Call Option Contract between Holdings and SwissFirst Bank AG
dated 2/12/02
13: Call Option Contract between Holdings and SwissFirst Bank AG
dated 11/20/01
14: Call Option Contract between Holdings and SwissFirst Bank AG
dated 12/21/01
15: Call Option Contract between Holdings and SwissFirst Bank AG
dated 11/23/01
16: Call Option Contract between Holdings and SwissFirst Bank AG
dated 11/26/01
17: Call Option Contract between Holdings and SwissFirst Bank AG
dated 12/5/01
18: Call Option Contract between Holdings and SwissFirst Bank AG
dated 12/13/01
19: Call Option Contract between Holdings and SwissFirst Bank AG
dated 12/14/01
20: Call Option Contract between Holdings and SwissFirst Bank AG
dated 12/17/01
21: Call Option Contract between Holdings and SwissFirst Bank AG
dated 2/11/02
22: Executive Officers and Directors of Holdings, Finance and
Roche Holding.
Page 5
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
accurate.
Dated: February 27, 2002
ROCHE HOLDINGS, INC.
By: /s/ Marcel Kohler
--------------------------
Name: Marcel Kohler
Title: Secretary
Page 6
Index to Exhibits
Exhibit 10.01: Call Option Contract between Holdings and SwissFirst Bank
AG dated 12/18/01
Exhibit 10.02: Call Option Contract between Holdings and SwissFirst Bank
AG dated 12/19/01
Exhibit 10.03: Call Option Contract between Holdings and SwissFirst Bank
AG dated 12/21/01
Exhibit 10.04: Call Option Contract between Holdings and SwissFirst Bank
AG dated 12/21/01
Exhibit 10.05: Call Option Contract between Holdings and SwissFirst Bank
AG dated 12/27/01
Exhibit 10.06: Call Option Contract between Holdings and SwissFirst Bank
AG dated 1/14/02
Exhibit 10.07: Call Option Contract between Holdings and SwissFirst Bank
AG dated 1/15/02
Exhibit 10.08: Call Option Contract between Holdings and SwissFirst Bank
AG dated 1/16/02
Exhibit 10.09: Call Option Contract between Holdings and SwissFirst Bank
AG dated 1/16/02
Exhibit 10.10: Call Option Contract between Holdings and SwissFirst Bank
AG dated 1/17/02
Exhibit 10.11: Call Option Contract between Holdings and SwissFirst Bank
AG dated 2/11/02
Exhibit 10.12: Call Option Contract between Holdings and SwissFirst Bank
AG dated 2/12/02
Exhibit 10.13: Call Option Contract between Holdings and SwissFirst Bank
AG dated 11/20/01
Exhibit 10.14: Call Option Contract between Holdings and SwissFirst Bank
AG dated 12/21/01
Exhibit 10.15: Call Option Contract between Holdings and SwissFirst Bank
AG dated 11/23/01
Exhibit 10.16: Call Option Contract between Holdings and SwissFirst Bank
AG dated 11/26/01
Exhibit 10.17: Call Option Contract between Holdings and SwissFirst Bank
AG dated 12/5/01
Exhibit 10.18: Call Option Contract between Holdings and SwissFirst Bank
AG dated 12/13/01
Exhibit 10.19: Call Option Contract between Holdings and SwissFirst Bank
AG dated 12/14/01
Exhibit 10.20: Call Option Contract between Holdings and SwissFirst Bank
AG dated 12/17/01
Exhibit 10.21: Call Option Contract between Holdings and SwissFirst Bank
AG dated 2/11/02
Exhibit 99.1: Executive Officers and Directors of Holdings, Finance and
Roche Holding.
Page 7
EXHIBIT 10.01
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
Seller: Roche Holdings, Inc.
Herrn M.F. Kohler
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Number of Contracts: 50,000
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: December 18, 2001
Value Date: December 21, 2001
Expiration Date: June 21, 2002
Strike Price: USD 75.
Price Per Option: USD 10.06
Total Premium: USD 503,000
Total Underlying Value: USD 3,750,000
Payment Instructions:
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.02
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
Seller: Roche Holdings, Inc.
Herrn M.F. Kohler
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Number of Contracts: 51,800
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: December 19, 2001
Value Date: December 24, 2001
Expiration Date: June 21, 2002
Strike Price: USD 75.
Price Per Option: USD 10.06
Total Premium: USD 521,108
Total Underlying Value: USD 3,885,000
Payment Instructions:
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.03 swissfirst - -------------------------------------------------------------------------------- swissfirst Bank AG OTC Contract Note Seller: Roche Holdings, Inc. Herrn M.F. Kohler Buyer: swissfirst Bank AG Herrn T. Maag Fax 01 204 81 81 Number of Contracts: 148,200 Call/Put: Call Option Style: European Underlying: Laboratory Corp of America Holdings Security Number: US50540R4092 Multiplier 1 Trade Date: December 21, 2001 Value Date: December 27, 2001 Expiration Date: June 21, 2002 Strike Price: USD 75. Price Per Option: USD 10.04 Total Premium: USD 1,487,928 Total Underlying Value: USD 11,115,000 Payment Instructions: - -------------------------------------------------------------------------------- To be transmitted by telefax to swissfirst Bank AG: Telefax Number +4441-1-204 81 81 Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.04
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
Seller: Roche Holdings, Inc.
Herrn M.F. Kohler
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Number of Contracts: 250,000
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: December 21, 2001
Value Date: December 27, 2001
Expiration Date: June 21, 2002
Strike Price: USD 75.
Price Per Option: USD 10.03
Total Premium: USD 2,507,500
Total Underlying Value: USD 18,750,000
Payment Instructions:
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.05
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
Seller: Roche Holdings, Inc.
Herrn M.F. Kohler
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Number of Contracts: 250,000
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: December 27, 2001
Value Date: January 02, 2002
Expiration Date: June 21, 2002
Strike Price: USD 75.
Price Per Option: USD 10.40
Total Premium: USD 2,600,000
Total Underlying Value: USD 18,750,000
Payment Instructions:
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.06
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Seller: Roche Holdings, Inc.
Mr. Marcel F. Kohler
Wilmington, DE 19801
Number of Contracts: 105,000
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: 14, January, 2002
Value Date: 17, January, 2002
Expiration Date: 20, September, 2002
Strike Price: USD 75.
Price Per Option: USD 10.23
Total Premium: USD 1,074,150
Total Underlying Value: USD 7,875,000
Payment Instructions: swissfirst Bank AG. for account Nr. 3671_0
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.07
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Seller: Roche Holdings, Inc.
Mr. Marcel F. Kohler
Wilmington, DE 19801
Number of Contracts: 145,000
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: 15, January, 2002
Value Date: 18, January, 2002
Expiration Date: 20, September, 2002
Strike Price: USD 75.
Price Per Option: USD 10.09
Total Premium: USD 1,463,050
Total Underlying Value: USD 10,875,000
Payment Instructions: swissfirst Bank AG. for account Nr. 3671_0
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.08
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Seller: Roche Holdings, Inc.
Mr. Marcel F. Kohler
Wilmington, DE 19801
Number of Contracts: 250,000
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: 16, January, 2002
Value Date: 22, January, 2002
Expiration Date: 20, September, 2002
Strike Price: USD 75.
Price Per Option: USD 10.54
Total Premium: USD 2,635,000
Total Underlying Value: USD 18,750,000
Payment Instructions: swissfirst Bank AG. for account Nr. 3671_0
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.09
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Seller: Roche Holdings, Inc.
Mr. Marcel F. Kohler
Wilmington, DE 19801
Number of Contracts: 203,000
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: 16, January, 2002
Value Date: 22, January, 2002
Expiration Date: 20, September, 2002
Strike Price: USD 75.
Price Per Option: USD 10.08
Total Premium: USD 2,046,240
Total Underlying Value: USD 15,225,000
Payment Instructions: swissfirst Bank AG. for account Nr. 3671_0
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.10
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Seller: Roche Holdings, Inc.
Mr. Marcel F. Kohler
Wilmington, DE 19801
Number of Contracts: 47,000
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: 17, January, 2002
Value Date: 23, January, 2002
Expiration Date: 20, September, 2002
Strike Price: USD 75.
Price Per Option: USD 10.00
Total Premium: USD 470,000
Total Underlying Value: USD 3,525,000
Payment Instructions: swissfirst Bank AG. for account Nr. 3671_0
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by:Roche Holdings, Inc.
EXHIBIT 10.11
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Seller: Roche Holdings, Inc.
Mr. Marcel F. Kohler
Wilmington, DE 19801
Number of Contracts: 161,250
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: 11, February, 2002
Value Date: 14, February, 2002
Expiration Date: 20, September, 2002
Strike Price: USD 75.
Price Per Option: USD 14.48
Total Premium: USD 2,334,900
Total Underlying Value: USD 12,093,750
Payment Instructions: swissfirst Bank AG. for account Nr. 3671_0
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.12
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Seller: Roche Holdings, Inc.
Mr. Marcel F. Kohler
Wilmington, DE 19801
Number of Contracts: 93,824
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: 12, February, 2002
Value Date: 15, February, 2002
Expiration Date: 20, September, 2002
Strike Price: USD 75.
Price Per Option: USD 13.27
Total Premium: USD 1,245,044,48
Total Underlying Value: USD 7,036,800
Payment Instructions: your account 3671_0 at swissfirst Bank AG
will be credited
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.13
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
Bellariastrasse 23
CH-8002 Zurich OTC Contract Note REF: SWFB036
------------------------ ----
The following transaction was broked and executed
through swissfirst Bank AG:
Buyer: swissfirst Bank AG, Zurich
Contact Person: Mr. M. Massarotti
Seller: Roche Holdings, Inc., Wilmington, USA
Contact Person: Mr. Marcel F. Kohler
Number of Contracts: 500,000
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: November 20, 2001
Value Date: November 26, 2001
Expiration Date: November 15, 2002
Strike Price: USD 80.00
Price Per Option: USD 12.93
Total Premium: USD 6,465,000.00
Total Underlying Value: USD 40,000,000.00
S.E.&O.
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG: Telefax
Number +4441-1-204 81 Acknowledged by: Roche Holdings, Inc., Wilmington,
USA
EXHIBIT 10.14
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
Bellariastrasse 23
CH-8002 Zurich OTC Contract Note REF: SWFB039
------------------------ ----
The following transaction was broked and executed
through swissfirst Bank AG:
Buyer: swissfirst Bank AG, Zurich
Contact Person: Mr. M. Massarotti
Seller: Roche Holdings, Inc., Wilmington, USA
Contact Person: Mr. Marcel F. Kohler
Number of Contracts: 50,000
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: November 21, 2001
Value Date: November 27, 2001
Expiration Date: November 15, 2002
Strike Price: USD 80.00
Price Per Option: USD 13.44
Total Premium: USD 672,000.00
Total Underlying Value: USD 400,000.00
S.E.&O.
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81 Acknowledged by:
Roche Holdings, Inc., Wilmington, USA
EXHIBIT 10.15
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
-----------------
Seller: Roche Holdings, Inc.
Herrn M.F. Kohler
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Number of Contracts: 200,000
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: November 23, 2001
Value Date: November 28, 2001
Expiration Date: November 15, 2002
Strike Price: USD 80.00
Price Per Option: USD 13.1
Total Premium: USD 2,620,000
Total Underlying Value: USD 16,000,000
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.16
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
Bellariastrasse 23
CH-8002 Zurich OTC Contract Note
------------------------
The following transaction was broked and executed
through swissfirst Bank AG:
Seller: Roche Holdings, Inc., Wilmington, USA
Contact Person: Mr. Marcel F. Kohler
Buyer: swissfirst Bank AG, Zurich
Contact Person: Mr. M. Massarotti
Number of Contracts: 65,000
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: November 26, 2001
Value Date: November 29, 2001
Expiration Date: November 15, 2002
Strike Price: USD 80.00
Price Per Option: USD 13.00
Total Premium: USD 845,000.00
Total Underlying Value: USD 5,200,000.00
S.E.&O.
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc., Wilmington, USA
EXHIBIT 10.17
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
-----------------
Seller: Roche Holdings, Inc.
Herrn M.F. Kohler
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Number of Contracts: 44,000
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: December 5, 2001
Value Date: December 10, 2001
Expiration Date: November 15, 2002
Strike Price: USD 80.00
Price Per Option: USD 11.00
Total Premium: USD 484,000.00
Total Underlying Value: USD 3,520,000.00
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.18
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
-----------------
Seller: Roche Holdings, Inc.
Herrn M.F. Kohler
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Number of Contracts: 28,500
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: December 13, 2001
Value Date: December 18, 2001
Expiration Date: November 15, 2002
Strike Price: USD 80.00
Price Per Option: USD 10.65
Total Premium: USD 303,525.00
Total Underlying Value: USD 2,280,000.00
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.19
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
-----------------
Seller: Roche Holdings, Inc.
Herrn M.F. Kohler
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Number of Contracts: 66,300
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: December 14, 2001
Value Date: December 19, 2001
Expiration Date: November 15, 2002
Strike Price: USD 80.00
Price Per Option: USD 10.62
Total Premium: USD 704,106
Total Underlying Value: USD 5,304,000
- --------------------------------------------------------------------------------
To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.20
swissfirst
- --------------------------------------------------------------------------------
swissfirst Bank AG
OTC Contract Note
-----------------
Seller: Roche Holdings, Inc.
Herrn M.F. Kohler
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Number of Contracts: 46,200
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: December 17, 2001
Value Date: December 20, 2001
Expiration Date: November 15, 2002
Strike Price: USD 80.00
Price Per Option: USD 10.59
Total Premium: USD 489,528
Total Underlying Value: USD 3,696,000
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To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 10.21
swissfirst
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swissfirst Bank AG
OTC Contract Note
-----------------
Buyer: swissfirst Bank AG
Herrn T. Maag
Fax 01 204 81 81
Seller: Roche Holdings, Inc.
Mr. Marcel F. Kohler
Number of Contracts: 250,000
Call/Put: Call
Option Style: European
Underlying: Laboratory Corp of America Holdings
Security Number: US50540R4092
Multiplier 1
Trade Date: 11, February 2002
Value Date: 14, February 2002
Expiration Date: 15, November 2002
Strike Price: USD 80
Price Per Option: USD 12.92
Total Premium: USD 3,320,000
Total Underlying Value: USD 20,000,000
Payment Instructions swissfirst Bank AG. for account Nr. 3671_0
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To be transmitted by telefax to swissfirst Bank AG:
Telefax Number +4441-1-204 81 81
Acknowledged by: Roche Holdings, Inc.
EXHIBIT 99.1
SCHEDULE A
Executive Officers and Directors (*)
of
Roche Holdings, Inc.
The names of the Directors and the names and titles of the Executive
Officers of Roche Holdings, Inc. and their business addresses and principal
occupations are set forth below. If no address is given, the Director's or
Executive Officer's business address is that of Roche Holding Ltd which is
Grenzacherstrasse 124, 4002 Basel, Switzerland. Unless otherwise indicated,
each occupation set forth opposite an individual's name refers to Roche Holding
Ltd and each individual is a Swiss citizen.
Name, Business Address Present Principal Occupation
* Dr. h.c. Fritz Gerber..................Chairman of the Board and President
* Dr. Franz B. Humer....................Vice President
* Dr. Erich Hunziker.....................Vice President- Finance and Treasurer
SCHEDULE B
Executive Officers and Directors (*)
of
Roche Finance Ltd
The names of the Directors and the names and titles of the Executive
Officers of Roche Finance Ltd and their business addresses and principal
occupations are set forth below. If no address is given, the Director's or
Executive Officer's business address is that of Roche Holding Ltd, which is
Grenzacherstrasse 124, 4002 Basel, Switzerland. Unless otherwise indicated,
each occupation set forth opposite an individual's name refers to Roche Holding
Ltd and each individual is a Swiss citizen.
Name, Business Address Present Principal Occupation
* Dr. Franz B. Humer...............................President
* Dr. Erich Hunziker...............................Director
* Dr. Gottlieb Keller..............................Director
SCHEDULE C
Executive Officers and Directors
of
Roche Holding Ltd
The names of the Directors and the names and titles of the Executive
Officers of Roche Holding Ltd and their business addresses and principal
occupations are set forth below. If no address is given, the Director's or
Executive Officer's business address is that of Roche Holding Ltd, which is
Grenzacherstrasse 124, 4002 Basel, Switzerland. Unless otherwise indicated,
each occupation set forth opposite an individual's name refers to Roche Holding
Ltd and each individual is a Swiss citizen, except that Mr. Brabeck-Letmathe is
an Austrian citizen, Mr. von Prondzynski is a German citizen, Professor Bell is
a Canadian citizen and Mr. Burns and Professor Knowles are citizens of the
United Kingdom. Dr. Gottlieb A. Keller is the Secretary to the Board of
Directors. Mr. Pierre Jaccoud is the Secretary to the Executive Committee.
Board of Directors Dr. Franz B. Humer Chairman
Dr. Andres F. Leuenberger Vice-Chairman
Dr. Rolf Hanggi Vice-Chairman
Mr. Peter Brabeck-Letmathe Chief Executive Officer of Nestle
Nestle SA
Avenue Nestle, CH-1800 Verey
Mr. Andre Hoffman Businessman
Massellaz S.A.
Place du Casino 4
1110 Morges
Dr. h.c. Fritz Gerber Businessman
Dr. Henri B. Meier Businessman
Dr. Andreas Oeri Surgeon
Praxisgemeinschaft Clarahof
Clarahofweg 19a
CH-4005 Basel
Professor John Bell University Professor
Nuffield Professor of Clinical Medicine
University of Oxford
Level 7, John Radcliffe Hospital
Headington, Oxford OX 3 9DU
United Kingdom
Mr.Walter Frey Chairman of the Board of Directors
Prasident des Verwaltungsrates of Emil Frey A.G.
Emil Frey AG
Badenerstrasse 600
8048 Zurich
Executive Committee Dr. Franz B. Humer Chief Executive Officer
Dr. Erich Hunziker Chief Financial Officer
Mr. William M. Burns Pharmaceuticals Division
Mr. Heino von Prondzynski Diagnostics Division
Dr. Markus Altwegg Vitamins and Fine Chemicals
Division
Mr. Richard Laube Pharma Consumer Health
Professor Jonathan Knowles Global Pharmaceutical Research
Dr. Daniel Villiger Corporate Services