SEC Form 4 · accession 0001631316-18-000009
Genesis Healthcare, Inc. · GEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Reis
Director
Period of report
Aug 18, 2018
Accepted (ET)
Oct 31, 2018 · 4:15 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 StockF8 | Aug 18, 2018 | J | 227,576 | $0.00 | D | 381,154 | I | See footnote |
| Class A Common StockF5 | Aug 18, 2018 | J | 45,960 | $0.00 | A | 2,593,193 | D | |
| Class A Common StockF8 | Oct 18, 2018 | J | 76,401 | $0.00 | D | 304,753 | I | See footnote |
| Class A Common StockF4,F5 | Oct 29, 2018 | S | 6,711 | $1.6384 | D | 2,586,482 | D | |
| Class A Common StockF4,F6 | Oct 29, 2018 | S | 222 | $1.6384 | D | 89,839 | I | See footnote |
| Class A Common StockF4,F7 | Oct 29, 2018 | S | 482 | $1.6384 | D | 193,041 | I | See footnote |
| Class A Common StockF8 | holding | — | — | — | 304,753 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Senior Care Genesis, LLC distributed these shares to its members.
- F2The reporting person, as a member of Senior Care Genesis, LLC, received these shares in a distribution from Senior Care Genesis, LLC.
- F3Transactions were effected pursuant to a Rule 10b5-1 trading plan.
- F4The 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 $1.67. 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.
- F5Includes 68,650 unvested restricted stock units and 92,000 vested restricted stock units that have not yet been paid in Class A Shares.
- F6Represents 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's pecuniary interest therein.
- F7Represents 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's pecuniary interest therein.
- 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.