UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
| /x/ | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2000 |
/ / | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO |
Commission file number:1-10864
UNITEDHEALTH GROUP INCORPORATED
(Exact name of registrant as specified in its charter)
| MINNESOTA (State or other jurisdiction of incorporation or organization) | 41-1321939 (I.R.S. Employer Identification No.) | |
UNITEDHEALTH GROUP CENTER 9900 BREN ROAD EAST MINNETONKA, MINNESOTA (Address of principal executive offices) | 55343 (Zip Code) |
Registrant's telephone number, including area code:(952) 936-1300
Securities registered pursuant to Section 12(b) of the Act:
| COMMON STOCK, $.01 PAR VALUE (Title of each class) | NEW YORK STOCK EXCHANGE, INC. (Name of each exchange on which registered) |
Securities registered pursuant to Section 12(g) of the Act:NONE
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. YES /x/ NO / /
The aggregate market value of voting stock held by non-affiliates of the registrant as of March 12, 2001, was approximately $18,972,661,725 (based on the last reported sale price of $59.66 per share on March 12, 2001, on the New York Stock Exchange).*
As of March 12, 2001, 322,060,002 shares of the registrant's Common Stock, $.01 par value per share, were issued and outstanding.
Indicate by checkmark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of Registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. / /
DOCUMENTS INCORPORATED BY REFERENCE
Annual Report to Shareholders of Registrant for the fiscal year ended December 31, 2000. Certain information therein is incorporated by reference into Part II hereof.
Proxy Statement for the Annual Meeting of Shareholders of Registrant to be held on May 9, 2001. Certain information therein is incorporated by reference into Part III hereof.
*Only shares of common stock held beneficially by directors, executive officers and subsidiaries of the Company have been excluded in determining this number.
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| Dated: April 2, 2001 | ||||
| UNITEDHEALTH GROUP INCORPORATED | ||||
By: | /s/ William W. McGuire, M.D. | |||
| William W. McGuire, M.D. Chief Executive Officer | ||||
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
| Signature | Title | Date | ||
|---|---|---|---|---|
| /s/ William W. McGuire, M.D. William W. McGuire, M.D. | Director, Chief Executive Officer (principal executive officer) | April 2, 2001 | ||
/s/ Patrick J. Erlandson Patrick J. Erlandson | Chief Financial Officer and Chief Accounting Officer (principal financial and accounting officer) | April 2, 2001 | ||
* William C. Ballard, Jr. | Director | April 2, 2001 | ||
* Richard T. Burke, Sr. | Director | April 2, 2001 | ||
* Stephen J. Hemsley | Director | April 2, 2001 | ||
* James A. Johnson | Director | April 2, 2001 | ||
* Thomas H. Kean | Director | April 2, 2001 | ||
* Douglas W. Leatherdale | Director | April 2, 2001 | ||
* Walter F. Mondale | Director | April 2, 2001 | ||
* Mary O. Mundinger | Director | April 2, 2001 | ||
* Robert L. Ryan | Director | April 2, 2001 | ||
* William G. Spears | Director | April 2, 2001 | ||
* Gail R. Wilensky | Director | April 2, 2001 |
*By | /s/ David J. Lubben | |||||
David J. Lubben As Attorney-in-Fact |
| Number | Description | |
|---|---|---|
| 3(a) | Second Restated Articles of Incorporation of the Company (incorporated by reference to Exhibit 3(a) to the Company's Annual Report on Form 10-K for the year ended December 31, 1995 and Exhibit 3(a) to the Company's Annual Report on Form 10-K for the year ended December 31, 1999) | |
| 3(b) | Amended and Restated Bylaws of the Company (incorporated by reference to Exhibit 4.2 to the Company's Registration Statement on Form S-8 (SEC File No. 333-55666)) | |
| 4(a) | Senior Indenture, dated as of November 15, 1998, between the Company and The Bank of New York (incorporated by reference to Exhibit 4.1 to the Company's Registration Statement on Form S-3 (SEC File No. 333-44569)) | |
| 4(b) | Amendment to Senior Indenture, dated as of November 6, 2000, between the Company and The Bank of New York (incorporated by reference to Exhibit 4.2 to the Company's Current Report on Form 8-K filed November 17, 2000) | |
| 4(c) | Pursuant to Item 601(b)(4)(iii) of Regulation S-K, copies of instruments defining the rights of certain holders of long-term debt are not filed. The Company agrees to furnish copies thereof to the Securities and Exchange Commission upon request. | |
| 10(a) | United HealthCare Corporation 1998 Broad-Based Stock Incentive Plan, as amended (incorporated by reference to Exhibit 10(a) to the Company's Annual Report on Form 10-K for the year ended December 31, 2000) | |
| 10(b) | United HealthCare Corporation Amended and Restated 1991 Stock and Incentive Plan, Amended and Restated Effective May 14, 1997 (incorporated by reference to Exhibit 10(a) to the Company's Quarterly Report on Form 10-Q for the quarter ended June 30, 1997) | |
| 10(c) | United HealthCare Corporation Non-employee Director Stock Option Plan, as amended (incorporated by reference to Exhibit 10(c) to the Company's Annual Report on Form 10-K for the year ended December 31, 2000) | |
| 10(d) | UnitedHealth Group Incorporated Leadership Results Plan (incorporated by reference to Exhibit 10(d) to the Company's Annual Report on Form 10-K for the year ended December 31, 2000) | |
| 10(e) | UnitedHealth Group Incorporated's 2001 Executive Savings Plan Brochure (incorporated by reference to Exhibit 10(e) to the Company's Annual Report on Form 10-K for the year ended December 31, 2000) | |
| 10(f) | Supplemental Long Term Executive Compensation Plan (incorporated by reference to Exhibit 10(f) to the Company's Annual Report on Form 10-K for the year ended December 31, 2000) | |
| 10(g) | Employment Agreement, dated as of October 13, 1999, between United HealthCare Corporation and William W. McGuire, M.D. (incorporated by reference to Exhibit 10(f) to the Company's Annual Report on Form 10-K for the year ended December 31, 1999) | |
| 10(h) | Letter to William W. McGuire, M.D., dated as of February 13, 2001, regarding Employment Agreement (incorporated by reference to Exhibit 10(h) to the Company's Annual Report on Form 10-K for the year ended December 31, 2000) | |
| 10(i) | Employment Agreement dated as of October 13, 1999, between United HealthCare Corporation and Stephen J. Hemsley (incorporated by reference to Exhibit 10(g) to the Company's Annual Report on Form 10-K for the year ended December 31, 1999) | |
| 10(j) | Letter to Stephen J. Hemsley, dated as of February 13, 2001, regarding Employment Agreement (incorporated by reference to Exhibit 10(j) to the Company's Annual Report on Form 10-K for the year ended December 31, 2000) | |
| 10(k) | Employment Agreement, dated as of October 16, 1998, between United HealthCare Services, Inc. and Robert J. Sheehy (incorporated by reference to Exhibit 10(k) to the Company's Annual Report on Form 10-K for the year ended December 31, 2000) |
| 10(l) | Employment Agreement, dated as of October 16, 1998, between United HealthCare Services, Inc. and Lois E. Quam, as amended, and Memorandum of Understanding, effective as of October 11, 1999, between Lois E. Quam and United HealthCare Services, Inc. (incorporated by reference to Exhibit 10(l) to the Company's Annual Report on Form 10-K for the year ended December 31, 2000) | |
| 10(m) | Employment Agreement, dated as of October 1, 1998, between United HealthCare Services, Inc. and Patrick J. Erlandson (incorporated by reference to Exhibit 10(m) to the Company's Annual Report on Form 10-K for the year ended December 31, 2000) | |
| 10(n) | Employment Agreement, dated as of October 16, 1998, between United HealthCare Services, Inc. and Jeannine Rivet (incorporated by reference to Exhibit 10(f) to the Company's Annual Report on Form 10-K for the year ended December 31, 1998) | |
| 10(o) | Employment Agreement, dated as of May 20, 1998, between United HealthCare Services, Inc. and R. Channing Wheeler (incorporated by reference to Exhibit 10(c) to the Company's Quarterly Report on Form 10-Q for the quarter ended June 30, 1998) | |
| 10(p) | Employment Agreement, dated as of October 16, 1998, between United HealthCare Services, Inc. and David J. Lubben, as amended (incorporated by reference to Exhibit 10(p) to the Company's Annual Report on Form 10-K for the year ended December 31, 2000) | |
| †10(q) | Information Technology Services Agreement between The MetraHealth Companies, Inc. and Integrated Systems Solutions Corporation dated as of November 1, 1995 (incorporated by reference to Exhibit 10(t) to the Company's Annual Report on Form 10-K for the year ended December 31, 1995) | |
| †10(r) | AARP Health Insurance Agreement by and among American Association of Retired Persons, Trustees of the AARP Insurance Plan and United HealthCare Insurance Company dated as of February 26, 1997 (incorporated by reference to Exhibit 10(p) to the Company's Annual Report on Form 10-K/A for the year ended December 31, 1996) | |
| †10(s) | First Amendment to the AARP Health Insurance Agreement by and among American Association of Retired Persons, Trustees of the AARP Insurance Plan and United HealthCare Insurance Company effective January 1, 1998 (incorporated by reference to Exhibit 10(a) to the Company's Quarterly Report on Form 10-Q for the quarter ended June 30, 1998) | |
| †10(t) | Second Amendment to the AARP Health Insurance Agreement by and among American Association of Retired Persons, Trustees of the AARP Insurance Plan and United HealthCare Insurance Company effective January 1, 1998 (incorporated by reference to Exhibit 10(b) to the Company's Quarterly Report on Form 10-Q for the quarter ended June 30, 1998) | |
| †10(u) | Information Technology Services Agreement between United HealthCare Services, Inc., a wholly owned subsidiary of the Company, and Unisys Corporation dated June 1, 1996 (incorporated by reference to Exhibit 10 to the Company's Quarterly Report on Form 10-Q for the quarter ended March 31, 1998) | |
| †10(v) | Pharmacy Benefit Management Agreement between United HealthCare Services, Inc. and Merck Medco Managed Care, L.L.C. (incorporated by reference to Exhibit 10(v) to the Company's Annual Report on Form 10-K for the year ended December 31, 2000) | |
| 11 | Statement regarding computation of per share earnings (incorporated by reference to the information contained under the heading "Net Earnings (Loss) Per Common Share" in Note 2 to the Notes to Consolidated Financial Statements included in the Company's Annual Report to Shareholders for the fiscal year ended December 31, 2000 and which is included as part of Exhibit 13 hereto) | |
| 13 | Portions of the Company's Annual Report to Shareholders for the fiscal year ended December 31, 2000 | |
| 21 | Subsidiaries of the Company (incorporated by reference to Exhibit 21 to the Company's Annual Report on Form 10-K for the year ended December 31, 2000) | |
| 23 | Consent of Independent Public Accountants |
| 24 | Power of Attorney (incorporated by reference to Exhibit 24 to the Company's Annual Report on Form 10-K for the year ended December 31, 2000) | |
| † | Pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended, confidential portions of these Exhibits have been deleted and filed separately with the Securities and Exchange Commission pursuant to a request for confidential treatment. |
