SEC Form 5 · accession 0001628280-16-010377
CareTrust REIT, Inc. · CTRE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory K. Stapley
Officer — President, Chairman and CEO · Director
Period of report
Dec 31, 2015
Accepted (ET)
Jan 26, 2016 · 5:29 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001590717
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01F1 | May 29, 2015 | G | 7,149 | $0.00 | D | 147,866 | D | |
| Common Stock, par value $0.01F2,F3 | Jun 18, 2014 | W | 1,722 | $0.00 | A | 1,722 | I | Marian K. Stapley Estate |
| Common Stock, par value $0.01F4 | holding | — | — | — | 475,520 | I | Stapley Family Trust dated 4/25/2006 | |
| Common Stock, par value $0.01F5 | holding | — | — | — | 28,732 | I | By wife as UGMA custodian for children | |
| Common Stock, par value $0.01F6 | holding | — | — | — | 53,819 | I | Marian K. Stapley Revocable Trust dated 4/29/1965 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the transfer of shares to the Stapley Family Trust dated 4/25/2006. Also reflects a correction in the number of shares beneficially owned by the reporting person as reported in a Form 4 filed on August 17, 2015. The number of shares reported as acquired by the reporting person in such report were acquired by the Stapley Family Trust dated 4/25/2006 and not directly by the reporting person.
- F2Includes shares that were issued in connection with the December 2014 stock dividend.
- F3These shares are directly owned by the Estate of Marian K. Stapley and indirectly by Gregory K. Stapley as the executor of the estate.
- F4These shares are directly owned by the Stapley Family Trust dated 4/25/2006 and indirectly by Gregory K. Stapley as Trustee of the Trust.
- F5These shares are directly owned by Deborah Stapley as custodian for the minor children of Gregory K. Stapley and Deborah Stapley under the California Uniform Transfers to Minors Act and reflects a correction to the number of shares previously reported in the Form 4/A filed on December 19, 2014. The reporting person disclaims beneficial ownership of the shares owned by his children, and this report should not be deemed an admission that the reporting person is the beneficial owner of such shares for the purposes of Section 16 or any other purpose.
- F6These shares are directly owned by the Marian K. Stapley Revocable Trust dated 4/29/65 and indirectly by Gregory K. Stapley as Trustee of the Trust.