UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Options (right to buy) | Â (1) | 01/01/2012 | Common Stock | 6,845 | $ 14.61 | D | Â |
Employee Stock Options (right to buy) | Â (2) | 10/15/2014 | Common Stock | 10,268 | $ 14.61 | D | Â |
Employee Stock Options (right to buy) | Â (3) | 01/01/2012 | Common Stock | 6,845 | $ 14.61 | D | Â |
Employee Stock Options (right to buy) | Â (4) | 10/15/2014 | Common Stock | 13,690 | $ 14.61 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sullivan James T C/O ROCKWOOD HOLDINGS. INC. 100 OVERLOOK CENTER PRINCETON, NJ 08540 |
 |  |  Controller & Princ. Acct. Off. |  |
/s/ James T. Sullivan | 08/12/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | These options were granted on January 1, 2002 and vest 10% on each of the first and second anniversary of grant, 25% on each of the third and fourth anniversary of grant and 30% on the fifth anniversary of grant. |
(2) | These options were granted on October 15, 2004 and vest in five equal annual installments beginning October 15, 2005. |
(3) | These options vest on January 1, 2010, but may vest earlier upon the satisfaction of certain performance targets. |
(4) | These options vest on October 15, 2012, but may vest earlier upon the satisfaction of certain performance targets. |