SEC Form 4 · accession 0001562180-17-001558
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
Apr 23, 2017
Accepted (ET)
Apr 25, 2017 · 6:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000817135
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 23, 2017 | M | 3,442 | — | A | 5,942 | D | |
| Common Stock | Apr 23, 2017 | F | 1,294 | $10.05 | D | 4,648 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Apr 23, 2017 | M | 3,442 | D | — | — | Common Stock | 3,442 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis
- F2Award vests in equal thirds, annually, over three years on the anniversary of the grant date, which was March 23, 2016. Settlement date is one month after vesting date. Fractional shares are aggregated into the final vesting period.