SEC Form 4 · accession 0001104659-15-067091
DAVITA INC. · DVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kim M Rivera
Officer — Chief Legal Officer
Period of report
Sep 22, 2015
Accepted (ET)
Sep 24, 2015 · 9:35 pm EDT
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 | Sep 22, 2015 | M | 90,000 | $43.35 | A | 97,438 | D | |
| Common Stock | Sep 22, 2015 | F | 51,323 | $76.02 | D | 46,115 | D | |
| Common StockF1 | Sep 22, 2015 | S | 38,677 | $75.4725 | D | 7,438 | D | |
| Common Stock | Sep 22, 2015 | M | 5,000 | $55.34 | A | 12,438 | D | |
| Common Stock | Sep 22, 2015 | F | 3,640 | $76.02 | D | 8,798 | D | |
| Common StockF2 | Sep 22, 2015 | S | 1,360 | $75.7269 | D | 7,438 | D |
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 | $43.35 | Sep 22, 2015 | M | 90,000 | D | Apr 13, 2014 | Apr 13, 2016 | Common Stock | 90,000 | 0 | D |
| Stock Appreciation RightsF4 | $55.34 | Sep 22, 2015 | M | 5,000 | D | Apr 1, 2015 | Dec 18, 2017 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Represents the weighted average sale price of $75.4725. The range of prices for the sale of these shares was $75.21 - $75.68, rounded to the nearest hundredths. 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.
- F2Represents the weighted average sale price of $75.7269. The range of prices for the sale of these shares was $75.68 - $75.76, rounded to the nearest hundredths. 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.
- F3The Stock Appreciation Rights were granted on 4/13/2011 and vested 50% on 4/13/2014 and 4/13/2015.
- F4The Stock Appreciation Rights were granted on 12/18/2012 and vested 50% on 4/1/2015 with the remaining vesting on 4/1/2016.