SEC Form 4 · accession 0001631316-18-000012
Genesis Healthcare, Inc. · GEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Reis
Director
Period of report
Nov 7, 2018
Accepted (ET)
Nov 9, 2018 · 3:15 pm EST
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 StockF2,F3 | Nov 7, 2018 | S | 23,503 | $1.6795 | D | 2,535,282 | D | |
| Class A Common StockF2,F4 | Nov 7, 2018 | S | 779 | $1.6795 | D | 88,143 | I | See footnote |
| Class A Common StockF2,F5 | Nov 7, 2018 | S | 1,688 | $1.6795 | D | 189,364 | I | See footnote |
| Class A Common StockF6,F3 | Nov 8, 2018 | S | 26,290 | $1.6623 | D | 2,508,992 | D | |
| Class A Common StockF6,F4 | Nov 8, 2018 | S | 872 | $1.6623 | D | 87,271 | I | See footnote |
| Class A Common StockF6,F5 | Nov 8, 2018 | S | 1,888 | $1.6623 | D | 187,476 | I | See footnote |
| Class A Common StockF7 | holding | — | — | — | 304,753 | 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 $1.65 to $1.70. 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's 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's 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 $1.70. 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.
- F7Represents 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.