SEC Form 4/A · accession 0001596771-15-000011
Diplomat Pharmacy, Inc. · DPLO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owners
Philip R Hagerman
Officer — Chairman and CEO · Director · 10% Owner
Philip R. Hagerman Revocable Trust
10% Owner
JH GST Trust
10% Owner
2007 Hagerman Family GST Trust
10% Owner
Jocelyn Hagerman
10% Owner
Period of report
Oct 9, 2014
Accepted (ET)
Jan 15, 2015 · 5:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001610092
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 9, 2014 | S | 2,502,500 | $13.00 | D | 2,105,309 | I | Philip R. Hagerman Rev Trust |
| Common StockF1,F3 | Oct 9, 2014 | S | 455,000 | $13.00 | D | 4,141,207 | I | 2007 Hagerman Family GST |
| Common StockF1,F4 | Oct 9, 2014 | S | 455,000 | $13.00 | D | 4,699,689 | I | The JH GST Trust |
| Common StockF1,F6 | Oct 9, 2014 | S | 189,583 | $13.00 | D | 1,722,917 | I | 2013 Irrev Exempt Trust for Daughter |
| Common StockF1,F6 | Oct 9, 2014 | S | 189,584 | $13.00 | D | 1,722,916 | I | 2013 Irrev Exempt Trust for Daughter |
| Common StockF5 | holding | — | — | — | 1,912,500 | I | 2013 Irrev Exempt Trust for Son | |
| Common StockF5 | holding | — | — | — | 1,912,500 | I | 2013 Irrev Exempt Trust for Daughter | |
| Common StockF5 | holding | — | — | — | 646,000 | I | 2014 Irrev Exempt Trust for Son | |
| Common StockF5 | holding | — | — | — | 646,000 | I | 2014 Irrev Exempt Trust for Daughter | |
| Common StockF6 | holding | — | — | — | 646,000 | I | 2014 Irrev Exempt Trust for Daughter | |
| Common StockF6 | holding | — | — | — | 646,000 | I | 2014 Irrev Exempt Trust for Daughter | |
| Common StockF5 | holding | — | — | — | 1,275,000 | I | Philip Hagerman 2014 GRAT | |
| Common StockF6 | holding | — | — | — | 1,275,000 | I | Jocelyn Hagerman 2014 GRAT | |
| Common StockF6 | holding | — | — | — | 263,500 | I | JH Marital Trust | |
| Common StockF5 | holding | — | — | — | 272,000 | I | PH Marital Trust | |
| Common Stock | holding | — | — | — | 394,910 | I | Irrevocable Trust for Son | |
| Common Stock | holding | — | — | — | 394,910 | I | Irrevocable Trust for Daughter |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were sold as part of the initial public offering of the issuer's common stock. This amendment reflects the additional shares sold in the initial public offering pursuant to the underwriters' exercise of an option to purchase such shares in connection with such offering; the additional sale of shares was inadvertently omitted from the initial filing.
- F2These shares are owned directly by the Philip R. Hagerman Revocable Trust, a ten percent owner of the issuer, and indirectly by Philip Hagerman as trustee of the trust. Mr. Hagerman is Chairman, CEO and a director of the issuer.
- F3These shares are owned directly by the 2007 Hagerman Family GST Trust, a ten percent owner of the issuer, and indirectly by Jocelyn Hagerman as trustee of the trust. Mrs. Hagerman is the wife of Philip Hagerman.
- F4These shares are owned directly by the JH GST Trust, a ten percent owner of the issuer, and indirectly by Philip R. Hagerman as trustee of the trust.
- F5As trustee of the 2013 Irrevocable Exempt Trusts and 2014 Irrevocable Exempt Trusts for a son and daughter, the Philip Hagerman 2014 GRAT and the PH Marital Trust, Jocelyn Hagerman indirectly owns these shares.
- F6These shares are indirectly owned by Mr. Hagerman, who serves as the trustee of the 2013 Irrevocable Exempt Trusts and 2014 Irrevocable Exempt Trusts for two daughters, the Jocelyn Hagerman 2014 GRAT and the JH Marital Trust.