SEC Form 4 · accession 0001179110-16-021341
ALMOST FAMILY INC · AFAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Schwartz
Officer — SVP & COO
Period of report
Mar 4, 2016
Accepted (ET)
Mar 8, 2016 · 6:13 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 | Mar 4, 2016 | D | 600 | $0.00 | D | 10,100 | D | |
| Common StockF6 | Mar 4, 2016 | A | 8,500 | $0.00 | A | 18,600 | D | |
| Common Stock | holding | — | — | — | 350 | I | By Spouse |
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)F5 | $36.03 | Mar 4, 2016 | A | 5,700 | A | — | Mar 3, 2026 | Common Stock | 5,700 | 5,700 | D |
| Option (right to buy)F1,F4 | $37.28 | holding | — | — | — | — | Mar 1, 2025 | Common Stock | 4,900 | 4,900 | D |
| Option (right to buy)F1,F3 | $24.28 | holding | — | — | — | — | Mar 16, 2024 | Common Stock | 5,400 | 5,400 | D |
| Option (right to buy)F1,F2 | $19.52 | holding | — | — | — | — | May 8, 2023 | Common Stock | 8,800 | 8,800 | D |
Explanation of responses
- F1Granted pursuant to the 2013 Stock and Incentive Compensation Plan.
- F2The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, May 9, 2013.
- F3The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 17, 2014.
- F4The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 2, 2015.
- F5The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 4, 2016.
- F6Consists of 8,500 shares of Restricted Stock granted pursuant to the 2013 Stock and Incentive Compensation Plan, up to 5,700 of which shares of Restricted Stock will be forfeited if the issuer fails to achieve an established performance measure.