SEC Form 5 · accession 0001628280-17-000443
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, 2016
Accepted (ET)
Jan 26, 2017 · 5:07 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 | Dec 1, 2016 | W | 1,722 | $0.00 | D | 0 | I | Marian K. Stapley Estate |
| Common Stock, par value $0.01F1 | Dec 1, 2016 | W | 53,819 | $0.00 | D | 0 | I | Marian K. Stapley Revocable Trust dated 4/29/1965 |
| Common Stock, par value $0.01F1,F2 | Dec 1, 2016 | W | 1,541 | $0.00 | A | 477,061 | I | Stapley Family Trust dated 4/25/2006 |
| Common Stock, par value $0.01 | holding | — | — | — | 128,576 | D | ||
| Common Stock, par value $0.01F3 | holding | — | — | — | 28,732 | I | By wife as UGMA custodian for children |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the settlement of the estate of Marian K. Stapley. In connection with the estate's settlement, Stapley Family Trust dated 4/25/2006 received 1,541 shares from the Marian K. Stapley Estate and the remainder of the shares, 181 from the Marian K. Stapley Estate and 53,819 from the Marian K. Stapley Revocable Trust dated 4/29/1965, were distributed to third parties. Gregory K. Stapley, as executor of the Marian K. Stapley Estate and trustee of the Marian K. Stapley Revocable Trust dated 4/29/1965, previously reported that he was the indirect beneficial owner of all of these shares.
- F2These shares are directly owned by the Stapley Family Trust dated 4/25/2006 and indirectly by Gregory K. Stapley as Trustee of the Trust. Gregory K. Stapley is an officer of the issuer.
- F3These 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. Gregory K. Stapley is an officer of the issuer. 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.