KAI » Topics » * Less than 1%

This excerpt taken from the KAI DEF 14A filed Apr 9, 2009.

* Less than 1%

 

(1) The number of shares beneficially owned by each stockholder is determined under the rules of the SEC, and the information provided is not necessarily indicative of beneficial ownership for any other purpose. Unless otherwise indicated, as determined under such rules, each stockholder has sole investment and voting power (or shares such power with his or her spouse) with respect to the shares reported in this table. The inclusion of any shares deemed beneficially owned does not constitute an admission of beneficial ownership of such shares.

 

(2) Shares beneficially owned by the following individuals or group include the following shares that could be acquired upon the exercise of stock options within 60 days of March 1, 2009: Dr. Albertine (8,334), Mr. Rainville (48,000) and all directors and executive officers as a group (57,134). Shares beneficially owned by the following individuals include the following shares underlying restricted stock units that will vest within 60 days of March 1, 2009: Dr. Albertine (1,250), Dr. Allen (1,250), Mr. Leonard (1,250), Mr. McKone (1,250) and all directors and executive officers as a group (5,000). Shares beneficially owned by the following individuals include shares of restricted stock that may not be sold or transferred until future dates: Dr. Albertine (5,000), Dr. Allen (5,000), Mr. Leonard (5,000) and Mr. McKone (5,000). Shares beneficially owned by Mr. McKone include 2,568 shares allocated to his account maintained under our deferred compensation plan for directors, which was discontinued in 2002. Shares beneficially owned by Mr. Painter include three shares held in a custodial account for the benefit of a minor child.

 

(3) The address of Wells Fargo & Company is 420 Montgomery Street, San Francisco, California 94163. Wells Fargo & Company has filed on its own behalf and as the parent holding company of Calibre Advisory Services, Inc.; Evergreen Investment Management Company, LLC; Wachovia Bank, National Association; Wachovia Securities, LLC; Wells Fargo Bank, National Association; and Wells Fargo Investments, LLC. Calibre Advisory Services, Inc., Evergreen Investment Management Company, LLC, and Wachovia Securities, LLC are registered investment advisors; Wachovia Bank, National Association and Wells Fargo Bank, National Association are banks; and Wells Fargo Investments, LLC is a registered broker dealer. The information about Wells Fargo & Company is based on an amendment to its Schedule 13G filed with the SEC on January 22, 2009, and is as of December 31, 2008.

 

(4)

The address of Dimensional Fund Advisors LP is Palisades West, Building One, 6300 Bee Cave Road, Austin, Texas 78746. Dimensional Fund Advisors LP is a registered investment advisor that furnishes investment advice to four registered investment companies and serves as investment manager to certain other commingled group trusts and separate accounts (the “Dimensional Funds”). In its role as investment

 

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advisor or manager, Dimensional Fund Advisors LP possesses investment and/or voting power over our shares that are owned by the Dimensional Funds. Dimensional Fund Advisors LP disclaims beneficial ownership of such shares. The information about Dimensional Fund Advisors LP is based on an amendment to its Schedule 13G filed with the SEC on February 9, 2009, and is as of December 31, 2008.

 

(5) The address of Barclays Global Investors, NA, and Barclays Global Fund Advisors is 400 Howard Street, San Francisco, California 94105. Barclays Global Investors, NA, and Barclays Global Fund Advisors have reported beneficial ownership of shares held in trust accounts for the benefit of the beneficiaries of those accounts by the following companies: Barclays Global Investors Ltd., Barclays Global Investors Japan Limited, Barclays Global Investors Canada Limited, Barclays Global Investors Australia Limited, and Barclays Global Investors (Deutschland) AG. The information about the Barclays Global Investors, NA, and Barclays Global Fund Advisors is based on a Schedule 13G filed with the SEC on February 5, 2009, and is as of December 31, 2008.
This excerpt taken from the KAI DEF 14A filed Apr 11, 2008.

* Less than 1%

 

(1) The number of shares beneficially owned by each stockholder is determined under the rules of the SEC, and the information provided is not necessarily indicative of beneficial ownership for any other purpose. Unless otherwise indicated, as determined under such rules, each stockholder has sole investment and voting power (or shares such power with his or her spouse) with respect to the shares reported in this table. The inclusion of any shares deemed beneficially owned does not constitute an admission of beneficial ownership of such shares.

 

(2) Shares beneficially owned by the following individuals or group include the following shares that could be acquired upon the exercise of stock options within 60 days of March 1, 2008: Dr. Albertine (8,334), Dr. Allen (16,667), Mr. McKone (25,000), Mr. Painter (706), Mr. Rainville (148,000) and all directors and executive officers as a group (203,507). Shares beneficially owned by the following individuals include the following shares underlying restricted stock units that will vest within 60 days of March 1, 2008: Dr. Albertine (1,250), Dr. Allen (1,250), Mr. Leonard (1,250), Mr. McKone (1,250) and all directors and executive officers as a group (5,000). Shares beneficially owned by the following individuals include shares of restricted stock that may not be sold or transferred until future dates: Dr. Albertine (11,500), Dr. Allen (11,300), Mr. Leonard (7,500) and Mr. McKone (12,500). Shares beneficially owned do not include 10,000 restricted shares held on March 1, 2008 by each of Dr. Albertine, Dr. Allen, Mr. Leonard and Mr. McKone, which were forfeited on March 29, 2008 and would have vested only if a change in control of the company had occurred prior to that date. Shares beneficially owned by Mr. McKone include 2,568 shares allocated to his account maintained under our deferred compensation plan for directors, which was discontinued in 2002. Shares beneficially owned by Mr. Painter include three shares held in a custodial account for the benefit of a minor child.

 

(3) The address of Wachovia Corporation is One Wachovia Center, Charlotte, North Carolina 28288-0137. Wachovia Corporation has filed as the parent holding company of Evergreen Investment Management Company, Wachovia Securities, LLC, Calibre Advisory Services, Inc., Wachovia Capital Markets, LLC and Wachovia Bank, N.A. Evergreen Investment Management Company, Wachovia Securities, LLC and Calibre Advisory Services, Inc. are investment advisors for mutual funds and/or other clients, which entities are the beneficial owners of our shares. Wachovia Securities, LLC is a corporation holding our shares. Wachovia Bank, N.A. holds our shares in a fiduciary capacity for its customers. The information about Wachovia Corporation is based on an amendment to its Schedule 13G filed with the SEC on February 1, 2008, and is as of December 31, 2007.

 

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(4)

The address of Dimensional Fund Advisors LP is 1299 Ocean Avenue, 11th Floor, Santa Monica, California 90401. Dimensional Fund Advisors LP is a registered investment advisor that furnishes investment advice to four registered investment companies and serves as investment manager to certain other commingled group trusts and separate accounts (the “Dimensional Funds”). In its roles as investment advisor or manager, Dimensional Fund Advisors LP possesses investment and/or voting power over our shares, which are owned by the Dimensional Funds. Dimensional Fund Advisors LP disclaims beneficial ownership of such shares. The information about Dimensional Fund Advisors LP is based on an amendment to its Schedule 13G filed with the SEC on February 6, 2008, and is as of December 31, 2007.

 

(5)

The address of NWQ Investment Management Company, LLC is 2049 Century Park East, 18th Floor, Los Angeles, California 90067. The reported shares are beneficially owned by clients of NWQ Investment Management Company, LLC and may include registered investment companies and/or employee benefit plans, pensions, charitable funds or other institutional and high net worth clients. The information about NWQ Investment Management Company, LLC is based on an amendment to its Schedule 13G filed with the SEC on February 14, 2008, and is as of December 31, 2007.

This excerpt taken from the KAI DEF 14A filed Apr 26, 2005.

* Less than 1%

 

(1) Except as reflected in the footnotes to this table, shares beneficially owned consist of shares owned by the person and by that person for the benefit of minor children, and all share ownership includes sole voting and investment power.

 

(2) Shares beneficially owned by Dr. Albertine, Dr. Allen, Mr. Healy, Mr. McKone, Mr. O’Brien, Mr. Painter, Mr. Rainville, Mr. Ribeiro, Mr. Sindoni and all directors and current executive officers as a group include 8,334, 16,667, 13,334, 25,000, 169,700, 84,567, 602,614, 8,333, 129,667 and 1,175,391 shares, respectively, that the person or group had the right to acquire within 60 days of March 1, 2005, through the exercise of stock options. Shares beneficially owned by Mr. McKone and all directors and current executive officers as a group include 2,568 shares allocated to Mr. McKone’s account maintained under our deferred compensation plan for directors, which was discontinued in 2002. Shares beneficially owned by Mr. Painter include three shares held in a custodial account for the benefit of a minor child.

 

(3) The address of PNC Financial Services Group, Inc. is One PNC Plaza, 249 Fifth Avenue, Pittsburgh, Pennsylvania 15222-2707. PNC Financial Services Group, Inc. has filed as the parent holding company of the following subsidiaries: PNC Bancorp, Inc.; PNC Bank, National Association; BlackRock Advisors, Inc.; BlackRock Financial Management, Inc.; and State Street Research & Management Company. BlackRock Advisors, Inc., BlackRock Financial Management, Inc. and State Street Research & Management Company are investment advisors and the other PNC entities are banks. The address and number of shares of our common stock beneficially owned by PNC Financial Services Group, Inc. is based on its Schedule 13G filed with the SEC on February 10, 2005, and is as of December 31, 2004.

 

(4)

The address of Dimensional Fund Advisors Inc. is 1299 Ocean Avenue, 11th Floor, Santa Monica, California 90401. Dimensional Fund Advisors Inc. is a registered investment advisor that furnishes investment advice

 

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to four registered investment companies and serves as investment manager to certain other commingled group trusts and separate accounts (the “Dimensional Funds”). Our shares are owned by the Dimensional Funds and Dimensional Fund Advisors Inc. disclaims beneficial ownership of our shares. The address and number of shares of our common stock beneficially owned by Dimensional Fund Advisors Inc. is based on an amendment to its Schedule 13G filed with the SEC on February 9, 2005, and is as of December 31, 2004.

 

(5) The address of Wellington Management Company, LLP is 75 State Street, Boston, Massachusetts 02109. Wellington Management Company, LLP serves as an investment advisor to its clients, which are the record owners of our shares. The address and number of shares of our common stock beneficially owned by Wellington Management Company, LLP is based on an amendment to its Schedule 13G filed with the SEC on February 14, 2005, and is as of December 31, 2004.

 

(6) The address of Wachovia Corporation is One Wachovia Center, Charlotte, North Carolina 28288-0137. Wachovia Corporation has filed as the parent holding company of Wachovia Securities, LLC, Evergreen Investment Management Company, Calibre Advisory Services, Inc., Delaware Trust Company, N.A. and Wachovia Bank, N.A. Wachovia Securities, LLC, Evergreen Investment Management Company and Calibre Advisory Services, Inc. are investment advisors for mutual funds and/or other clients, which entities are the beneficial owners of our shares. The other Wachovia entities hold our shares in a fiduciary capacity for their customers. The address and number of shares of our common stock beneficially owned by Wachovia Corporation is based on an amendment to its Schedule 13G filed with the SEC on February 16, 2005, and is as of December 31, 2004.

 

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