SEC Form 4 · accession 0001179110-16-021346
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 4, 2016
Accepted (ET)
Mar 8, 2016 · 6:15 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 | 2,500 | $0.00 | D | 366,729 | D | |
| Common StockF18 | Mar 4, 2016 | A | 32,100 | $0.00 | A | 398,829 | D | |
| Common StockF13 | holding | — | — | — | 51,205 | I | By Spouse | |
| Common StockF11,F1 | holding | — | — | — | 55,274 | I | See Footnote #1 | |
| Common StockF2 | 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 | $36.03 | Mar 4, 2016 | A | 21,400 | A | — | Mar 3, 2026 | Common Stock | 21,400 | 21,400 | D |
| Option (right to buy)F14,F16 | $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.
- F16The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 2, 2015.
- F17The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 4, 2016.
- F18Consists of 32,100 shares of Restricted Stock granted pursuant to the 2013 Stock and Incentive Compensation Plan, up to 21,400 of which shares of Restricted Stock will be forfeited if the issuer fails to achieve an established performance measure.
- 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.