SEC Form 4 · accession 0001209191-18-060296

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

Nov 27, 2018

Accepted (ET)

Nov 29, 2018 · 6:00 pm EST

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 Stock^F1,F2,F3	Nov 27, 2018	S	254,520	$72.00	D	2,457,118	I	See Footnotes
Common Stock^F1,F4,F3	Nov 27, 2018	S	16,140	$73.23	D	2,440,978	I	See Footnotes
Common Stock^F1,F5,F3	Nov 27, 2018	S	78,915	$74.31	D	2,362,063	I	See Footnotes
Common Stock^F1,F6,F3	Nov 27, 2018	S	2,825	$75.21	D	2,359,238	I	See Footnotes
Common Stock^F7,F8,F3	Nov 28, 2018	S	185,417	$72.19	D	2,173,821	I	See Footnotes
Common Stock^F7,F9,F10,F3	Nov 28, 2018	S	2,183	$73.08	D	2,171,638	I	See Footnotes
Common Stock	holding	—	—		—	19,151	D

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1The reported securities are held by ECP Helios Partners III, L.P. ("Helios III"), ECP General III, L.P. ("General III") and Eos Partners SBIC III, L.P. ("SBIC III"), of which the reporting person is an affiliate. The reporting person disclaims beneficial ownership of the Issuer's common stock held by Helios III, General III and SBIC III except to the extent of his pecuniary interest therein.
F10Following the reported transactions, 795,556 shares are held by Helios III, 708,538 shares are held by General III and 667,544 shares are held by SBIC III.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.00 to $72.54, inclusive. The reporting person undertakes to provide to Addus HomeCare Corporation, any security holder of Addus HomeCare Corporation, 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 footnotes (2), (4), (5), (6), (8) and (9) to this Form 4.
F3Mark 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. Mr. First disclaims beneficial ownership of such securities, 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.
F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.00 to $73.88, inclusive.
F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.00 to $74.99, inclusive.
F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.77, inclusive.
F7The reported securities are held by Helios III, General III and SBIC III, of which the reporting person is an affiliate. The reporting person disclaims beneficial ownership of the Issuer's common stock held by Helios III, General III and SBIC III except to the extent of his pecuniary interest therein.
F8The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.00 to $72.91, inclusive.
F9The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.00 to $73.25, inclusive.

Remarks

Exhibit Index: Exhibit 24 - Power of Attorney for Mark L. First dated November 30, 2016