SEC Form 4 · accession 0001179110-17-001452
ALMOST FAMILY INC · AFAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Goldberg
Director
Period of report
Feb 1, 2017
Accepted (ET)
Feb 2, 2017 · 9:30 am 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 StockF4 | Feb 1, 2017 | M | 4,500 | $19.40 | A | 55,051 | D | |
| Common StockF5 | Feb 1, 2017 | F | 1,848 | $47.25 | D | 53,203 | D | |
| Common Stock | holding | — | — | — | 5,500 | I | By self -directed 401(k) Plan | |
| Common StockF1 | holding | — | — | — | 2,000 | I | By spouse's self- directed 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Employee Director Stock Option (right to buy)F2,F4,F6 | $19.40 | Feb 1, 2017 | M | 4,500 | D | — | Feb 11, 2017 | Common Stock | 4,500 | 0 | D |
| Non-Employee Director Stock Option (Right to Buy)F3 | $33.27 | holding | — | — | — | May 15, 2010 | Feb 8, 2019 | Common Stock | 3,000 | 3,000 | D |
Explanation of responses
- F1The reporting person disclaims beneficial ownership of these securities, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purpose.
- F2Granted pursuant to the Amended and Restated 2000 Stock Option Plan.
- F3Granted pursuant to the 2007 Stock and Incentive Compensation Plan.
- F4This transaction relates to the exercise of expiring stock options granted pursuant to the issuer's Amended and Restated 2000 Stock Option Plan in accordance with Rule 16b-3.
- F5This transaction relates to the payment of the exercise price of expiring stock options granted pursuant to the issuer's Amended and Restated 2000 Stock Option Plan in accordance with Rule 16b-3. The reporting person delivered 1,848 already-owned shares in payment of the exercise price. No shares were sold by the reporting person.
- F6The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, February 12, 2007.