SEC Form 4 · accession 0001437749-15-019894
PROVIDENCE SERVICE CORP · PRSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Herman Mark Schwarz
Officer — CEO - LogistiCare
Period of report
Nov 3, 2015
Accepted (ET)
Nov 5, 2015 · 5:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001220754
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 3, 2015 | M | 3,825 | $26.14 | A | 46,797 | D | |
| Common Stock | Nov 3, 2015 | M | 17,000 | $11.72 | A | 63,797 | D | |
| Common Stock | Nov 3, 2015 | F | 5,718 | $52.33 | D | 58,079 | 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 (right to buy) | $26.14 | Nov 3, 2015 | M | 3,825 | D | Dec 30, 2008 | Jun 10, 2018 | Common Stock | 3,825 | 0 | D |
| Stock Option (right to buy)F1 | $11.72 | Nov 3, 2015 | M | 17,000 | D | — | May 16, 2019 | Common Stock | 20,000 | 3,000 | D |
Explanation of responses
- F1The shares were exercisable in three tranches as follows: 1. 6,666 shares vested on May 15, 2010. 2. 6,667 shares vested on May 15, 2011. 3. 6,667 shares vested on May 15, 2012.