SEC Form 4 · accession 0001179110-15-014792
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
Nov 9, 2015
Accepted (ET)
Nov 12, 2015 · 5:53 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 | Nov 9, 2015 | M | 1,000,000 | $43.35 | A | 1,000,000 | D | |
| Common Stock | Nov 9, 2015 | F | 561,020 | $77.27 | D | 438,980 | D | |
| Common StockF1 | Nov 9, 2015 | S | 300,000 | $75.6052 | D | 138,980 | D | |
| Common StockF2 | holding | — | — | — | 392,078 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF3 | $43.35 | Nov 9, 2015 | M | 1,000,000 | D | Apr 13, 2014 | Apr 13, 2016 | Common Stock | 1,000,000 | 0 | D |
Explanation of responses
- F1Represents the weighted average sale price of $75.6052. The range of prices for the sale of these shares was $75.38-$75.88, 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.
- F2These shares are held by Thiry O'Leary Living Trust UAD 3/8/1990.
- F3The Stock Appreciation Rights were granted on 4/13/2011 and vested 50% on 4/13/2014 and 4/13/2015.