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PART III
ITEM 12 -- SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
The following table sets forth specified information with respect to the
beneficial ownership of our common stock as of February 28, 2001 by: (1) each
person (or group of affiliate persons) who is known by us to beneficially own 5%
or more of our outstanding common stock; (2) each of the Named Executive
Officers; (3) each of our directors; and (4) all directors and executive
officers as a group.
The beneficial ownership is calculated based on 36,771,893 shares of our
common stock outstanding as of February 28, 2001. Beneficial ownership is
determined in accordance with SEC rules. In computing the number of shares
beneficially owned by a person and the percentage ownership of that person,
shares of common stock subject to options held by that person that are currently
exercisable within 60 days of February 28, 2001 are deemed outstanding. Such
shares, however, are not deemed outstanding for the purpose of computing the
percentage of each other person. To our knowledge, except pursuant to applicable
community property laws, the persons named in the table have sole voting and
investment power with respect to the shares set forth opposite such person's
name. Unless otherwise indicated, the business address of such stockholder is
c/o The TriZetto Group, Inc., 567 San Nicolas Drive, Suite 360, Newport Beach,
California 92660.
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NUMBER OF SHARES |
| |
BENEFICIALLY OWNED |
|
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| NAME AND ADDRESS OF BENEFICIAL OWNERS |
NUMBER |
PERCENTAGE |
 |
IMS Health Incorporated
200 Nyala Farms
Westport, CT 06880 |
12,142,857 |
33% |
Delphi Ventures IV, L.P.
Delphi BioInvestments IV, L.P.
3000 Sand Hill Road
Building One, Suite 135
Menlo Park, CA 94025 |
2,736,014 |
7% |
FMR Corp(1)
82 Devonshire St., R25C
Boston, MA 02109-3614 |
2,378,372 |
6% |
Raymond D. Croghan(2)
275 South Main St., Ste. 105
Longmont, CO 80501 |
2,182,281 |
6% |
| David M. Thomas(3) |
12,142,857 |
33% |
| Jeffrey H. Margolis(4) |
2,688,700 |
7% |
| Donald J. Lothrop(5) |
2,736,014 |
7% |
| William E. Fisher(6) |
322,595 |
<1% |
| Willard A. Johnson, Jr |
400 |
<1% |
| Paul F. LeFort(7) |
44,900 |
<1% |
| Eric D. Sipf |
8,000 |
<1% |
| Daniel J. Spirek(8) |
332,500 |
<1% |
| Michael J. Sunderland |
38,036 |
<1% |
| Anthony Bellomo(9) |
97,562 |
<1% |
| Gail H. Knopf(10) |
31,700 |
<1% |
| All executive officers and directors as a group (11 persons)(11) |
18,443,264 |
50% |
- (1)
- FMR Corp is the parent holding company of Fidelity Ventures Limited,
Fidelity Investors Limited Partnership and Fidelity Investors II Limited
Partnership, all of which own shares of our common stock.
- (2)
- 550,000 of these shares are subject to an option granted by Mr. Croghan to
Mr. Margolis, with a term of five years and an exercise price of $6.50 per
share.
- (3)
- Consists of 12,142,857 shares held by IMS Health Incorporated. Mr. Thomas
is the Chairman of the Board and Chief Executive Officer of IMS Health
Incorporated and disclaims beneficial ownership of such shares.
- (4)
- 1,708,700 shares are held by Jeffrey H. Margolis and his wife, in their
capacities as trustees of the Margolis Family Trust, over which the
trustees have shared voting power. 300,000 shares are held in two
additional trusts over which Mr. Margolis has sole voting power and Mr.
Margolis disclaims beneficial ownership in 150,000 of such shares. The
remaining 10,000 shares are held by Jeffrey H. Margolis. Includes options
for 550,000 shares of common stock granted by Mr. Croghan to Mr. Margolis,
which are immediately exercisable. Also includes Mr. Margolis' options for
120,000 shares of common stock, which are exercisable within 60 days of
February 28, 2001.
- (5)
- Consists of 2,736,014 shares held by Delphi Ventures IV, L.P. and Delphi
BioInvestments IV, L.P. Mr. Lothrop is a Managing Member of Delphi
Management Partners IV, LLC, the general partner of Delphi Ventures IV,
L.P. and Delphi BioInvestments IV, L.P., and disclaims beneficial ownership
of the 2,736,014 shares except to the extent of his pecuniary interest. Mr.
Lothrop's business address is the same as that of Delphi.
- (6)
- Includes options for 10,000 shares of common stock which are exercisable
within 60 days of February 28, 2001. Also includes 162,595 shares of common
stock held by KFS Management, Inc. Mr. Fisher owns 50% of the issued and
outstanding stock of KFS and is an officer and director of KFS and
disclaims beneficial ownership of the 162,595 shares except to the extent
of his pecuniary interest.
- (7)
- Includes options for 10,000 shares of common stock, which are exercisable
within 60 days of February 28, 2001. Also includes 23,000 shares held by
Mr. LeFort's wife, as trustee of a trust of which she is the sole
beneficiary, and Mr. LeFort disclaims beneficial ownership of such shares.
- (8)
- Includes options for 27,500 shares of common stock, which are exercisable
within 60 days of February 28, 2001.
- (9)
- Includes 92,562 shares of restricted stock.
- (10)
- Includes options for 27,500 shares of common stock, which are exercisable
within 60 days of February 28, 2001.
- (11)
- Includes options for 745,000 shares of common stock, which are exercisable
within 60 days of February 28, 2001.
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