SEC Form 4 · accession 0001209191-18-046693

Genesis Healthcare, Inc. · GEN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

David A Reis

Director

Period of report

Aug 10, 2018

Accepted (ET)

Aug 14, 2018 · 7:37 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001351051

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Class A Common Stock^F2,F3	Aug 10, 2018	S	29,798	$1.6545	D	2,770,505	D
Class A Common Stock^F2,F4	Aug 10, 2018	S	988	$1.6545	D	97,463	I	See footnote
Class A Common Stock^F2,F5	Aug 10, 2018	S	2,140	$1.6545	D	209,558	I	See footnote
Class A Common Stock^F6,F3	Aug 13, 2018	S	11,032	$1.6324	D	2,759,473	D
Class A Common Stock^F6,F4	Aug 13, 2018	S	366	$1.6324	D	97,097	I	See footnote
Class A Common Stock^F6,F5	Aug 13, 2018	S	792	$1.6324	D	208,766	I	See footnote
Class A Common Stock^F7,F3	Aug 14, 2018	S	2,039	$1.6304	D	2,757,434	D
Class A Common Stock^F7,F4	Aug 14, 2018	S	64	$1.6304	D	97,033	I	See footnote
Class A Common Stock^F7,F5	Aug 14, 2018	S	146	$1.6304	D	208,620	I	See footnote
Class A Common Stock^F8	holding	—	—		—	608,730	I	See footnote

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1Transactions were effected pursuant to a Rule 10b5-1 trading plan.
F2The price reported in column 4 is a weighted average price. These shares of the Issuer's Class A Common Stock ("Class A Shares") were purchased in multiple transactions at prices ranging from $1.63 to $1.715. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
F3Includes 68,650 unvested restricted stock units and 92,000 vested restricted stock units that have not yet been paid in Class A Shares.
F4Represents Class A Shares held by David Reis Family Trust, of which Mr. Reis serves as trustee. Mr. Reis disclaims beneficial ownership of such Class A Shares, except to the extent of Mr. Reis' pecuniary interest therein.
F5Represents Class A Shares held by The David Reis Subchapter S Trust, of which Mr. Reis serves as trustee. Mr. Reis disclaims beneficial ownership of such Class A Shares, except to the extent of Mr. Reis' pecuniary interest therein.
F6The price reported in column 4 is a weighted average price. These Class A Shares were purchased in multiple transactions at prices ranging from $1.63 to $1.65. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
F7The price reported in column 4 is a weighted average price. These Class A Shares were purchased in multiple transactions at prices ranging from $1.63 to $1.64. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
F8Represents Class A Shares held by Senior Care Genesis, LLC, of which Mr. Reis may be deemed to be the beneficial owner. Mr. Reis disclaims beneficial ownership of such Class A Shares, except to the extent of Mr. Reis's pecuniary interest therein.