SEC Form 5 · accession 0001171843-16-007602
JOINT Corp · JYNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Fred Gerretzen
10% Owner
Period of report
Nov 20, 2015
Accepted (ET)
Feb 3, 2016 · 12:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001612630
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3,F4 | May 20, 2015 | S | 3,000 | $9.63 | D | 321,720 | D | |
| Common Stock | May 26, 2015 | S | 3,000 | $9.80 | D | 318,720 | D | |
| Common StockF5 | Jun 1, 2015 | S | 3,000 | $9.50 | D | 315,720 | D | |
| Common Stock | Jun 3, 2015 | S | 620 | $9.75 | D | 315,100 | D | |
| Common Stock | Jun 25, 2015 | S | 1,000 | $11.24 | D | 314,100 | D | |
| Common Stock | Jun 26, 2015 | S | 9,000 | $11.25 | D | 305,100 | D | |
| Common Stock | Jul 9, 2015 | S | 2,207 | $9.77 | D | 302,893 | D | |
| Common Stock | Jul 10, 2015 | S | 3,400 | $10.13 | D | 299,493 | D | |
| Common Stock | Jul 13, 2015 | S | 2,080 | $9.79 | D | 297,413 | D | |
| Common Stock | Jul 14, 2015 | S | 1,040 | $9.83 | D | 296,373 | D | |
| Common Stock | Jul 15, 2015 | S | 3,280 | $9.94 | D | 293,093 | D | |
| Common Stock | Jul 16, 2015 | S | 291 | $9.87 | D | 292,802 | D | |
| Common Stock | Jul 17, 2015 | S | 6,562 | $9.79 | D | 286,240 | D | |
| Common Stock | Aug 12, 2015 | S | 2,000 | $8.96 | D | 284,240 | D | |
| Common Stock | Aug 13, 2015 | S | 2,000 | $8.75 | D | 282,240 | D | |
| Common Stock | Aug 14, 2015 | S | 200 | $8.74 | D | 282,240 | D | |
| Common StockF1 | holding | — | — | — | 369,480 | I | By the Joint Franchise Co., LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Since the date of the reporting person's last ownership report, 57,720 were transferred from The Joint Franchise Co., LLC to the reporting person to be owned by him directly.
- F2This transaction was executed in multiple trades at prices ranging from $9.60 to $9.75. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3Includes 57,720 shares transferred from The Joint Franchise Co., LLC to the reporting person (as described in Note 1 above).
- F4Since the date of the reporting person's last ownership report, he transferred 534,000 shares to his ex-wife pursuant to a domestic relations order.
- F5This transaction was executed in multiple trades at prices ranging from $9.50 to $9.55. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Remarks
The date inserted in Item 3 preceding Table I is the date that the reporting person ceased to be an insider during the issuer's last fiscal year.