SEC Form 4 · accession 0000899243-15-005204
Addus HomeCare Corp · ADUS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark L First
Director · 10% Owner
Period of report
Sep 11, 2015
Accepted (ET)
Sep 22, 2015 · 5:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001468328
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F5,F2 | Sep 11, 2015 | S | 72,500 | $33.11 | D | 3,950,500 | I | 3,069,194 shares by Eos Capital III, L.P. and 881,306 by Eos Partners SBIC III, L.P. |
| Common StockF3,F6,F2 | Sep 14, 2015 | S | 30,306 | $32.26 | D | 3,920,194 | I | 3,045,649 shares by Eos Capital III, L.P. and 874,545 by Eos Partners SBIC III, L.P. |
| Common StockF4,F7,F2 | Sep 15, 2015 | S | 23,823 | $32.09 | D | 3,896,371 | I | 3,027,141 shares by Eos Capital III, L.P. and 869,230 by Eos Partners SBIC III, L.P. |
| Common Stock | holding | — | — | — | 13,742 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Eos Capital Partners III, L.P. sold 56,326 shares, and Eos Partners SBIC III, L.P. sold 16,174 shares.
- F2Mark L. First is a director of the Issuer and a managing director of Eos Management, L.P. and its affiliates ("Eos"). As a result, Mr. First may be deemed to share beneficial ownership of the securities owned by Eos, and this report is being filed to report sales of securities of the Issuer made by Eos. Mr. First disclaims beneficial ownership of the securities of the Issuer owned by Eos, and this report shall not be deemed an admission that Mr. First is the beneficial owner of the securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.
- F3Eos Capital Partners III, L.P. sold 23,545 shares, and Eos Partners SBIC III, L.P. sold 6,761 shares.
- F4Eos Capital Partners III, L.P. sold 18,508 shares, and Eos Partners SBIC III, L.P. sold 5,315 shares.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.50 to $33.305, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $33.23, inclusive. Each reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $32.25, inclusive. Each reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.