SEC Form 4 · accession 0001179110-17-015583
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 15, 2017
Accepted (ET)
Dec 19, 2017 · 10:16 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 Stock | Dec 15, 2017 | M | 10,400 | $33.27 | A | 441,941 | D | |
| Common StockF12 | Dec 15, 2017 | F | 6,028 | $57.40 | D | 435,913 | D | |
| Common Stock | Dec 15, 2017 | M | 18,900 | $24.28 | A | 454,813 | D | |
| Common StockF13 | Dec 15, 2017 | F | 7,995 | $57.40 | D | 446,818 | D | |
| Common Stock | Dec 15, 2017 | M | 5,350 | $36.03 | A | 452,168 | D | |
| Common StockF14 | Dec 15, 2017 | F | 3,358 | $57.40 | D | 448,810 | D | |
| Common Stock | Dec 15, 2017 | M | 9,900 | $37.28 | A | 458,710 | D | |
| Common StockF15 | Dec 15, 2017 | F | 6,430 | $57.40 | D | 452,280 | D | |
| Common StockF5 | holding | — | — | — | 25,274 | I | By family limited partnership | |
| Common StockF6 | holding | — | — | — | 51,205 | I | By Spouse | |
| Common StockF1 | 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,F3 | $33.27 | Dec 15, 2017 | M | 10,400 | D | — | Feb 8, 2019 | Common Stock | 10,400 | 0 | D |
| Option (right to buy)F7,F8 | $24.28 | Dec 15, 2017 | M | 18,900 | D | — | Mar 16, 2024 | Common Stock | 18,900 | 6,300 | D |
| Option (right to buy)F7,F10 | $36.03 | Dec 15, 2017 | M | 5,350 | D | — | Mar 3, 2026 | Common Stock | 5,350 | 16,050 | D |
| Option (right to buy)F7,F9 | $37.28 | Dec 15, 2017 | M | 9,900 | D | — | Mar 1, 2025 | Common Stock | 9,900 | 9,900 | D |
| Option (right to buy)F7,F11 | $49.05 | holding | — | — | — | — | Mar 9, 2027 | Common Stock | 16,100 | 16,100 | 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.
- F10The option became exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 4, 2016.
- F11The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 10, 2017.
- F12Reflects 6,028 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.
- F13Reflects 7,995 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.
- F14Reflects 3,358 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.
- F15Reflects 6,430 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 became 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 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.
- F6The 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.
- F7Granted pursuant to the 2013 Stock & Incentive Compensation Plan.
- F8The option became exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 17, 2014.
- F9The option became exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 2, 2015.