SEC Form 4 · accession 0001140361-16-057410
Nobilis Health Corp. · HLTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald Louis Kramer
10% Owner
Period of report
Mar 7, 2016
Accepted (ET)
Mar 10, 2016 · 7:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001409916
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF3 | Mar 7, 2016 | M | 200,000 | — | A | 2,000,000 | D | |
| Common Shares | holding | — | — | — | 1,800,000 | D | ||
| Common SharesF1 | holding | — | — | — | 75,800 | I | Donald Kramer Family LLC | |
| Common SharesF2 | holding | — | — | — | 15,874,482 | I | Healthcare Ventures, Ltd. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3 | — | Mar 7, 2016 | M | 200,000 | D | — | — | Common Shares | 200,000 | 0 | D |
| Restricted Stock UnitsF3 | — | holding | — | — | — | — | — | Common Shares | 200,000 | 200,000 | D |
Explanation of responses
- F1Common shares held by Donald Kramer Family LLC. Donald Kramer owns 50% of Donald Kramer Family LLC and is the President and Manager.
- F2Common shares held by Healthcare Ventures, Ltd., a partnership controlled by Donald Kramer.
- F3The Restricted Share Units ("RSU") originally vested in 10 years; however, the vesting period accelerated upon Donald Kramer ceasing to be executive director of the Issuer. Each RSU represents the contingent right to receive either (i) one share of common stock upon vesting of the RSU or (ii) a cash payment in an amount equal to the US dollar equivalent of the market price per share on the vesting date.