SEC Form 4 · accession 0001140361-16-085271
WEST CORP · WSTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary L West
10% Owner
Period of report
Nov 3, 2016
Accepted (ET)
Nov 7, 2016 · 7:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001024657
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 3, 2016 | P | 30,744 | $21.4624 | A | 2,415,124 | I | By Gary West CRT1 LLC |
| Common StockF1 | Nov 3, 2016 | P | 26,645 | $21.4624 | A | 2,037,076 | I | By Gary West CRT2 LLC |
| Common StockF1 | Nov 3, 2016 | P | 20,497 | $21.4624 | A | 1,655,539 | I | By Gary West CRT3 LLC |
| Common StockF1 | Nov 3, 2016 | P | 14,348 | $21.4624 | A | 1,139,204 | I | By Gary West CRT4 LLC |
| Common StockF1 | Nov 3, 2016 | P | 10,248 | $21.4624 | A | 816,825 | I | By Gary West CRT5 LLC |
| Common StockF2 | Nov 4, 2016 | P | 16,560 | $21.5589 | A | 2,431,684 | I | By Gary West CRT1 LLC |
| Common StockF2 | Nov 4, 2016 | P | 14,352 | $21.5589 | A | 2,051,428 | I | By Gary West CRT2 LLC |
| Common StockF2 | Nov 4, 2016 | P | 11,040 | $21.5589 | A | 1,666,579 | I | By Gary West CRT3 LLC |
| Common StockF2 | Nov 4, 2016 | P | 7,728 | $21.5589 | A | 1,146,932 | I | By Gary West CRT4 LLC |
| Common StockF2 | Nov 4, 2016 | P | 5,520 | $21.5589 | A | 822,345 | I | By Gary West CRT5 LLC |
| Common StockF3 | holding | — | — | — | 109,474 | I | By West Investment Holdings, LLC | |
| Common StockF4 | holding | — | — | — | 93,750 | I | By Gary and Mary West Health Institute | |
| Common StockF5 | holding | — | — | — | 8,118,969 | I | By spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This price reflects the weighted average purchase price for open-market purchases of shares made by the filing person on November 3, 2016, within a $1.00 range. The actual prices for these transactions range from $21.26 to $21.87, inclusive. The filing person further undertake to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.
- F2This price reflects the weighted average purchase price for open-market purchases of shares made by the filing person on November 4, 2016, within a $1.00 range. The actual prices for these transactions range from $21.3575 to $21.64, inclusive. The filing person further undertake to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.
- F3The filing person is a joint indirect owner, with Mary E. West, of West Investment Holdings, LLC. The filing person disclaims any beneficial ownership of any shares held by the West Investment Holdings, LLC except to the extent of his pecuniary interest therein.
- F4The filing person has been appointed sole representative and proxy with respect to the shares held by the Gary and Mary West Health Institute (the "Institute"), a nonprofit organization. The filing person disclaims any beneficial ownership of any shares held by the Institute to the extent of his pecuniary interest therein.
- F5The filing person disclaims beneficial ownership of any shares held by his spouse, Mary E. West, and this report shall not be deemed an admission that the filing person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.