SEC Form 4 · accession 0001179110-17-015264

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

Dec 8, 2017

Accepted (ET)

Dec 12, 2017 · 6:43 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	Dec 8, 2017	M	23,600	$20.89	A	424,413	D
Common Stock^F15	Dec 8, 2017	F	8,500	$58.00	D	415,913	D
Common Stock	Dec 8, 2017	M	13,000	$36.69	A	428,913	D
Common Stock^F16	Dec 8, 2017	F	8,224	$58.00	D	420,689	D
Common Stock	Dec 8, 2017	M	18,600	$24.16	A	439,289	D
Common Stock^F17	Dec 8, 2017	F	7,748	$58.00	D	431,541	D
Common Stock^F7	holding	—	—		—	25,274	I	By family limited partnership
Common Stock^F9	holding	—	—		—	51,205	I	By Spouse
Common Stock^F1	holding	—	—		—	5,924	I	By 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)^F2,F8	$20.89	Dec 8, 2017	M	23,600	D	—	Feb 28, 2023	Common Stock	23,600	0	D
Option (right to buy)^F2,F5	$36.69	Dec 8, 2017	M	13,000	D	—	Mar 10, 2021	Common Stock	13,000	0	D
Option (right to buy)^F2,F6	$24.16	Dec 8, 2017	M	18,600	D	—	Feb 26, 2022	Common Stock	18,600	0	D
Option (right to buy)^F10,F14	$49.05	holding	—	—	—	—	Mar 9, 2027	Common Stock	16,100	16,100	D
Option (right to buy)^F10,F13	$36.03	holding	—	—	—	—	Mar 3, 2026	Common Stock	21,400	21,400	D
Option (right to buy)^F10,F12	$37.28	holding	—	—	—	—	Mar 1, 2025	Common Stock	19,800	19,800	D
Option (right to buy)^F10,F11	$24.28	holding	—	—	—	—	Mar 16, 2024	Common Stock	25,200	25,200	D
Option (right to buy)^F2,F3	$33.27	holding	—	—	—	—	Feb 8, 2019	Common Stock	10,400	10,400	D
Option (right to buy)^F2,F4	$40.13	holding	—	—	—	—	Dec 13, 2019	Common Stock	9,000	9,000	D

Explanation of responses

F15,924 shares consist of 2 individual trusts FBO J.J. Yarmuth and Jacob J. Yarmuth.
F10Granted pursuant to the 2013 Stock & Incentive Compensation Plan.
F11The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 17, 2014.
F12The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 2, 2015.
F13The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 4, 2016.
F14The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 10, 2017.
F15Reflects 8,500 shares withheld to pay the exercise price upon the exercise of stock options issued in accordance with Rule 16b-3. No shares were sold by the reporting person.
F16Reflects 8,224 shares withheld to pay the exercise price upon the exercise of stock options issued in accordance with Rule 16b-3. No shares were sold by the reporting person.
F17Reflects 7,748 shares withheld to pay the exercise price upon the exercise of stock options issued in accordance with Rule 16b-3. No shares were sold by the reporting person.
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, February 9, 2009.
F4The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, December 14, 2009.
F5The option became exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 11, 2011.
F6The option became exercisable in four equal annual installments beginning on the first anniversary of the date of grant, February 27, 2012.
F7The reporting person may also be deemed to be the indirect beneficial owner of 13,000 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, the reporting person does not have a pecuniary interest in the foundation's shares and he disclaims any such pecuniary interest for purposes of the reporting requirements under Section 16 of the Securities Exchange Act of 1934.
F8The option became exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 1, 2013.
F9The 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.