SEC Form 4 · accession 0001628280-18-001142
CareTrust REIT, Inc. · CTRE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Gregory K. Stapley
Officer — President, Chairman and CEO · Director
Period of report
Feb 3, 2018
Accepted (ET)
Feb 6, 2018 · 5:01 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,F2 | Feb 3, 2018 | F | 17,199 | $15.37 | D | 194,502 | D | |
| Common Stock, par value $0.01F3 | Feb 6, 2018 | A | 110,460 | $0.00 | A | 304,962 | D | |
| Common Stock, par value $0.01F4 | Feb 6, 2018 | G | 34,219 | $0.00 | D | 270,743 | D | |
| Common Stock, par value $0.01F4,F5 | Feb 6, 2018 | G | 34,219 | $0.00 | A | 511,280 | I | Stapley Family Trust dated 4/25/2006 |
| Common Stock, par value $0.01 per shareF6,F7 | holding | — | — | — | 28,672 | I | By wife as UGMA custodian for children |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of common stock withheld by the Issuer to pay tax withholding obligations of the Reporting Person upon the vesting of restricted stock granted to the Reporting Person on February 3, 2017.
- F2This Form 4 corrects the total shares of common stock directly and indirectly held by the Reporting Person, as applicable. On prior Form 4s, certain shares of common stock were reported as directly owned, but should have been reported as indirectly owned by the Reporting Person through the Stapley Family Trust dated 4/25/2006.
- F3Represents restricted shares of common stock granted to the Reporting Person. 50% of the grant vests in four equal installments beginning on the first anniversary of the grant date and the other 50% vests over four years based on the Issuer's satisfaction of certain performance criteria during such period.
- F4Represents shares of common stock acquired in connection with the vesting of restricted stock that have been transferred by the Reporting Person to the Stapley Family Trust dated 4/25/2006.
- F5These 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.
- F6Excludes 60 shares of common stock that were previously included in the Reporting Person's prior Form 4s.
- F7These 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.