SEC Form 4 · accession 0001209191-17-012532
KINDRED HEALTHCARE, INC · KND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Causby
Officer — EVP & Pres., Kindred at Home
Period of report
Feb 16, 2017
Accepted (ET)
Feb 21, 2017 · 1:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001060009
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 16, 2017 | A | 3,800 | $0.00 | A | 182,962 | D | |
| Common Stock | Feb 16, 2017 | F | 1,268 | $7.20 | D | 181,694 | D | |
| Common StockF2 | Feb 19, 2017 | M | 41,740 | — | A | 223,434 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Feb 19, 2017 | M | 6,484 | D | — | — | Common Stock | 6,484 | 0 | D |
| Restricted Stock UnitsF2,F4 | — | Feb 19, 2017 | M | 35,256 | D | — | — | Common Stock | 35,256 | 0 | D |
Explanation of responses
- F1These shares represent restricted stock granted to the reporting person in satisfaction of vested Performance Units.
- F2Restricted stock units convert into common stock on a one-for-one basis.
- F3On February 2, 2015, pursuant to his Employment Agreement, the reporting person was granted 25,812 restricted stock units, vesting as follows: 9,664 on February 19, 2015, 9,664 on February 19, 2016 and 6,484 on February 19, 2017.
- F4On February 2, 2015, pursuant to his Employment Agreement, the reporting person was granted 57,051 restricted stock units, vesting as follows: 21,795 on February 19, 2016 and 35,256 on February 19, 2017.