SEC Form 4 · accession 0001209191-16-110666
Alliance HealthCare Services, Inc · AIQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard W Johns
Officer — COO and CLO
Period of report
Mar 23, 2016
Accepted (ET)
Mar 25, 2016 · 7:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000817135
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $6.93 | Mar 23, 2016 | A | 17,128 | A | — | Mar 23, 2026 | Common Stock | 17,128 | 17,128 | D |
| Restricted Stock UnitsF2 | — | Mar 23, 2016 | A | 10,328 | A | — | — | Common Stock | 10,328 | 10,328 | D |
Explanation of responses
- F1Vests in three substantially equal installments on each of March 23, 2017, 2018 and 2019, subject to continued service through each applicable vesting date. The vesting of the award was also subject to timely execution by the Reporting Person of an amendment to the severance agreement between the Issuer and the Reporting Person (the "Vesting Condition"), which has been met.
- F2Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units vest in three substantially equal installments on each of March 23, 2017, 2018 and 2019, subject to continued service through each applicable vesting date. The vesting of the award was also subject to the Vesting Condition, which has been met.