SEC Form 4 · accession 0001179110-16-020915

ALMOST FAMILY INC · AFAM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

William B Yarmuth

Officer — CEO · Director

Period of report

Mar 1, 2016

Accepted (ET)

Mar 3, 2016 · 5:13 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000799231

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F16	Mar 1, 2016	F	3,919	$37.76	D	369,229	D
Common Stock^F13	holding	—	—		—	51,205	I	By Spouse
Common Stock^F11,F1	holding	—	—		—	55,274	I	See Footnote #1
Common Stock^F2	holding	—	—		—	5,924	I	By self as CO-TTEE for Irrevocable Trust

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option (right to buy)^F14,F17	$37.28	holding	—	—	—	—	Mar 1, 2025	Common Stock	19,800	19,800	D
Option (right to buy)^F14,F15	$24.28	holding	—	—	—	—	Mar 16, 2024	Common Stock	25,200	25,200	D
Option (right to buy)^F6,F12	$20.89	holding	—	—	—	—	Feb 28, 2023	Common Stock	23,600	23,600	D
Option (right to buy)^F6,F10	$24.16	holding	—	—	—	—	Feb 26, 2022	Common Stock	18,600	18,600	D
Option (right to buy)^F4,F3	$19.40	holding	—	—	—	—	Feb 11, 2017	Common Stock	30,000	30,000	D
Option (right to buy)^F6,F7	$33.27	holding	—	—	—	—	Feb 8, 2019	Common Stock	10,400	10,400	D
Option (right to buy)^F6,F5	$22.18	holding	—	—	—	—	Mar 6, 2018	Common Stock	20,000	20,000	D
Option (right to buy)^F6,F8	$40.13	holding	—	—	—	—	Dec 13, 2019	Common Stock	9,000	9,000	D
Option (right to buy)^F6,F9	$36.69	holding	—	—	—	—	Mar 10, 2021	Common Stock	13,000	13,000	D

Explanation of responses

F1Held by WBY Investments Limited Partnership, LLLP, a family limited partnership of which the reporting person is the sole general partner. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
F10The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, February 27, 2012.
F11Mr. Yarmuth may also be deemed to be the indirect beneficial owner of 5,000 shares of common stock held in the William B. Yarmuth Family Foundation, Inc., a charitable 501(c)(3) entity. As a tax-exempt organization, no part of the foundation's income can inure to the benefit of a private individual; therefore, Mr. Yarmuth does not have a pecuniary interest in the foundation's shares and he disclaims any such pecuniary beneficial ownership for purposes of the reporting requirements under Section 16 of the Securities Exchange Act of 1934.
F12The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 1, 2013.
F13The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
F14Granted pursuant to the 2013 Stock & Incentive Compensation Plan.
F15The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 17, 2014.
F16Payment of tax liability by delivery of securities in connection with vesting of previously issued shares of restricted stock in accordance with Rule 16b-3.
F17The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 2, 2015.
F25924 shares consist of 2 individual trusts FBO J.J. Yarmuth and Jacob J. Yarmuth.
F3The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, February 12, 2007.
F4Granted pursuant to the Amended and Restated 2000 Stock Option Plan.
F5The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 7, 2008.
F6Granted pursuant to the 2007 Stock & Incentive Compensation Plan.
F7The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, February 9, 2009.
F8The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, December 14, 2009.
F9The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 11, 2011.