SEC Form 4 · accession 0001140361-18-024770
Astrana Health, Inc. · ASTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mihir Shah
Officer — Chief Financial Officer
Period of report
Jan 15, 2018
Accepted (ET)
May 18, 2018 · 6:52 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001083446
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 15, 2018 | M | 23,610 | $4.50 | A | 23,610 | D | |
| Common Stock | Jan 15, 2018 | F | 3,678 | $28.90 | A | 19,932 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $4.50 | Jan 15, 2018 | M | 23,610 | D | Dec 14, 2016 | Dec 14, 2026 | Common Stock | 23,610 | 26,390 | D |
Remarks
The acquisition of the Issuer's common stock reported on this Form 4 resulted from the exercise of an option granted by the Issuer's Compensation Committee, a committee of non-employee directors, and is therefore exempt from section 16(b)of the Securities Exchange Act of 1934, as amended (the "Act"), under rule 16b-3(d)(1) thereunder. The disposition of such common stock reported was made pursuant to a tax withholding right approved by the Compensation Committee in connection with such option at the time it was granted and is therefore also exempt from section 16(b) of the Act pursuant to rule 16b-3(e) thereunder.