SEC Form 4 · accession 0001179110-17-004571
ALMOST FAMILY INC · AFAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raj Kaushal
Officer — SVP & Chief Clinical Officer
Period of report
Mar 10, 2017
Accepted (ET)
Mar 14, 2017 · 5:28 pm EDT
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 StockF8 | Mar 10, 2017 | A | 2,100 | $0.00 | A | 13,280 | D |
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)F4,F9 | $49.05 | Mar 10, 2017 | A | 1,400 | A | — | Mar 9, 2027 | Common Stock | 1,400 | 1,400 | D |
| Option (right to buy)F4,F7 | $36.03 | holding | — | — | — | — | Mar 3, 2026 | Common Stock | 2,700 | 2,700 | D |
| Option (right to buy)F4,F6 | $37.28 | holding | — | — | — | — | Mar 1, 2025 | Common Stock | 3,400 | 3,400 | D |
| Option (right to buy)F4,F5 | $24.28 | holding | — | — | — | — | Mar 16, 2024 | Common Stock | 4,100 | 4,100 | D |
| Option (right to buy)F2,F3 | $20.89 | holding | — | — | — | — | Feb 28, 2023 | Common Stock | 5,200 | 5,200 | D |
| Options (right to buy)F2,F1 | $24.16 | holding | — | — | — | — | Feb 26, 2022 | Common Stock | 4,100 | 4,100 | D |
Explanation of responses
- F1The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, February 27, 2012.
- F2Granted pursuant to the 2007 Stock & Incentive Compensation Plan.
- F3The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 1, 2013.
- F4Granted pursuant to the 2013 Stock & Incentive Compensation Plan.
- F5The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 17, 2014.
- F6The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 2, 2015.
- F7The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 4, 2016.
- F8Consists of 2,100 shares of Restricted Stock granted pursuant to the 2013 Stock and Incentive Compensation Plan, up to 1,400 of which shares of Restricted Stock will be forfeited if the issuer fails to achieve an established performance measure.
- F9The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 10, 2017.