SEC Form 4 · accession 0000927066-17-000096
DAVITA INC. · DVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kent J Thiry
Officer — Chairman and CEO · Director
Period of report
Dec 8, 2017
Accepted (ET)
Dec 12, 2017 · 8:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000927066
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 | 1,000,000 | $55.34 | A | 1,000,000 | D | |
| Common Stock | Dec 8, 2017 | F | 824,248 | $67.14 | D | 175,752 | D | |
| Common StockF1 | Dec 8, 2017 | S | 81,800 | $68.043 | D | 93,952 | D | |
| Common Stock | Dec 8, 2017 | J | 93,952 | $0.00 | D | 0 | D | |
| Common Stock | Dec 8, 2017 | J | 93,952 | $0.00 | A | 594,436 | I | By Thiry O'Leary Living Trust UAD 3/8/1990. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF3 | $55.34 | Dec 8, 2017 | M | 1,000,000 | D | — | Dec 18, 2017 | Common Stock | 1,000,000 | 0 | D |
Explanation of responses
- F1Represents the weighted average sale price of $68.0430. The range of prices for the sale of these shares was $67.5500 - $68.2800 rounded to the nearest ten-thousandths. The reporting person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F2Transfer of shares from direct holdings to indirect holdings.
- F3The Stock Appreciation Rights were granted on 12/18/2012. 50% vested on 4/1/2015 and the remaining 50% vested on 4/1/2016.